TITLE 16. Professional And Vocational Regulations
Division 1. State Board of Accountancy

(Originally Printed 12-5-46)
Article 1. General
§1. Definition of “Accountancy Act.”
Note     •     History

“Accountancy Act” as used in these regulations means Division 3, Chapter 1, of the Business and Professions Code.
NOTE

Authority cited: Section 5010, Business and Professions Code. Reference: Section 5010, Business and Professions Code.
HISTORY

1. Amendment filed 6-24-66 as organizational; effective upon filing (Register 66, No. 19). For prior history see Registers 61, No. 22 and 12, No. 6.
2. Amendment filed 7-10-70; effective thirtieth day thereafter (Register 70, No. 28).
3. Repealer of former Section 1 and renumbering and amendment of Section 5.2 to Section 1 filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16). For prior history, see Registers 77, No. 16 and 60, No. 3.
§2. Confusing Titles.
Note     •     History

The following are titles or designations likely to be confused with the titles Certified Public Accountant and Public Accountant within the meaning of Section 5058 of the Business and Professions Code:
(a) “Accountant,” “auditor,” “accounting,” or “auditing,” when used either singly or collectively or in conjunction with other titles.
(b) Any other titles or designations which imply that the individual is engaged in the practice of public accountancy.
NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Sections 5055, 5056, 5057 and 5058, Business and Professions Code.
HISTORY

1. New Sections 2, 3, 4 and 5 filed 5-8-48 (Register 12, No. 6).
2. Amendment filed 2-4-60; effective thirtieth day thereafter (Register 60, No. 3).
3. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
§2.4. Definition of Attest Services and Attest Report.
Note     •     History

Attest services as used in Section 5095 of the Business and Professions Code and attest report as used in Section 5096.5 of the Business and Professions Code include an audit, a review of financial statements, or an examination of prospective financial information. Attest services shall not include the issuance of compiled financial statements.
NOTE

Authority cited: Sections 5010, 5095 and 5096.9, Business and Professions Code. Reference: Sections 5095 and 5096.5, Business and Professions Code.
HISTORY

1. New section filed 1-6-2010; operative 2-5-2010 (Register 2010, No. 2).
§2.5. Definition of “Audits.”
Note     •     History

“Making audits--as a part of bookkeeping operations,” as used in Section 5052 of the Business and Professions Code, refers to the evaluation of financial and operational data solely for review by management and not intended for distribution to outside parties, and does not include those activities set forth in Sections 5051(c) and (d) of the Business and Professions Code.
NOTE

Authority cited: Section 5010, Business and Professions Code. Reference: Sections 5051 and 5052, Business and Professions Code.
HISTORY

1. New section filed 12-14-61; effective thirtieth day thereafter (Register 61, No. 25).
2. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
§3. Notification of Change of Address.
Note     •     History

(a) Address Notification--Individual Licensees
(1) Each licensee shall notify the Board of any change in his or her address of record within 30 days after the change. The address of record is public information. If the address of record is a post office box or mail drop, the change of address notification shall include the street address of either the licensee's primary place of employment or his or her residence.
(2) For purposes of this section, “licensee” includes any holder of an active, inactive, suspended, or expired certified public accountant license or public accountant license issued by the Board which is not canceled or revoked.
(3) All notification required under this subsection shall be in writing and shall be signed by the licensee.
(b) Notification of Change of Address--Licensed Firm
(1) Each licensed firm shall notify the Board of any change in its address of record within 30 days after the change. The address of record is public information. If the address of record is a post office box or mail drop, the change of address notification shall include the street address of the firm's principal office.
(2) For purposes of this section “licensed firm” includes any partnership or professional corporation licensed by the Board to practice public accountancy even if the license is suspended or expired, provided the license is not canceled or revoked.
(3) All notifications required under this subsection shall be in writing and shall be signed by a licensed partner or licensed shareholder of the firm.
NOTE

Authority cited: Section 5010, Business and Professions Code. Reference: Sections 136 and 5009, Business and Professions Code.
HISTORY

1. Amendment filed 9-2-64; effective thirtieth day thereafter (Register 64, No. 19).
2. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16). For prior history, see Register 12, No. 6.
3. Repealer and new section and amendment of Note filed 6-16-97; operative 6-30-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 25).
4. Repealer and new section filed 11-20-98; operative 12-20-98 (Register 98, No. 47).
§4. Safe Harbor Language.
Note     •     History

A person who is not licensed by the California Board of Accountancy, and who prepares a financial report in a form substantially the same as that set forth in subsection (a) or (b) below, shall not be deemed to be engaged in the practice of public accountancy as defined in Section 5051 of the Business and Professions Code. 
(a) “I [we] have prepared the accompanying financial statements of [name of entity] as of [time period] for the [period] then ended. This presentation is limited to preparing in the form of financial statements information that is the representation of management [owners]. 
I [we] have not audited or reviewed the accompanying financial statements and accordingly do not express an opinion or any other form of assurance on them.” 
(b) “We [I] have prepared the accompanying statement of assets, liabilities and equity for [name of company] as of [month-day-year], together with the related statements of revenue, expense, [and cash flow] for the year [or month] then ended on the income tax basis of accounting. 
The preparation of financial statements on the income tax basis of accounting is limited to presenting information that is the representation of management [the owners]. We [I] have not audited nor reviewed the accompanying statements. Accordingly, we [I] do not express an opinion or any other form of assurance on them. 
Management has [The owners have] elected to omit substantially all of the disclosures ordinarily included in financial statements prepared on the income tax basis of accounting. If the omitted disclosures were included in the financial statements, they might influence the user's conclusions about the company's assets, liabilities, equity, revenues, expenses [and cash flow]. Accordingly, these financial statements are not designed for those who are not informed about such matters.” 
NOTE

Authority cited: Sections 5010, Business and Professions Code. Reference: Sections 5051 and 5052, Business and Professions Code. 
HISTORY

1. New section filed 6-12-2002; operative 6-12-2002  pursuant to Government Code section 11343.4 (Register 2002, No. 24). For prior history, see Register 83, No. 16.
§5. Observance of Rules.
Note     •     History

A licensee of the State Board of Accountancy engaged in the practice of public accountancy as defined in Section 5051 of the Business and Professions Code or engaged in an occupation in which the licensee renders services of the type performed by certified public accountants or public accountants or renders other professional services shall observe and is subject to rules and regulations of the State Board of Accountancy in the conduct of such activity. For purposes of Section 5, the term “activity” includes but is not limited to bookkeeping, financial planning, investment planning, tax services and management services.
NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Section 5051, Business and Professions Code.
HISTORY

1. Repealer of former Section 5 and renumbering and amendment of Section 5.3 to Section 5 filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16). For prior history, see Register 12, No. 6.
§5.1. Permit Processing Times.
Note     •     History

(a) Applications must be filed at the designated office of the Board in Sacramento on a form provided by the Board and must be accompanied by any required application fee as provided for in Section 70.
(b) The maximum period of time in which the Board will notify an applicant in writing that an application is complete and accepted for filing or deficient and if deficient what specific information or documentation is required to complete the application, is as follows:
1) Examination/Authorization to test - 115 days
2) Licensure - Individual - 100 days
3) Licensure - Partnership, Corporation - 90 days
4) Fictitious Names Approval - 90 days
5) Continuing Education Course/Provider Approval - 120 days
6) Renewal - 45 days
(7) Credential Evaluation Service Application - 45 days
(c) The maximum period of time, after filing of a complete application, in which the Board will notify an applicant of the results of the certified public accountant examination is 225 days.
(d) During the last two years, the minimum, median and maximum permit processing times, of applications for examination, from the date of receipt of a completed application until the results of the examination are released were as follows:

	Minimum	-	100 days
	Median	-	150 days
	Maximum	-	225 days
(e) The maximum period of time after the filing of a complete application in which the Board will notify an applicant of a permit decision is as follows:

1) Licensure - Individual - 	105 days

2) Licensure - Partnership and Corporation - 	100 days

3) Fictitious Names - 	100 days

4) Continuing Education Course/Provider - 	120 days

5) Renewal - 	45 days

6) Credential Evaluation Service 	150 days

7) Examination/Authorization to test 	100 days
(f) During the last two years the minimum, median and maximum processing times of applications for a permit from the date of receipt of the completed application until the first official action by the Board were as follows: 

1) Licensure - Individual -	Minimum	-	  3 days
	Median	-	 97 days
	Maximum	-	105 days

2) Licensure - Partnership
  and Corporation - 
	Minimum	-	  1 day
	Median	-	 25 days
	Maximum	-	100 days

3) Fictitious Names -	Minimum	-	  1 day
	Median	-	 25 days
	Maximum	-	100 days

4) Continuing Education 
 Course/Provider 
 Approval -
	Minimum	-	  1 day
	Median	-	 67 days
	Maximum	-	120 days

5) Renewal -	Minimum	-	  1 day
	Median	-	 14 days
	Maximum	-	 45 days
(g) An application is considered complete when all requested information designated on the application form is received by the Board.
(h) The Board is not responsible for delays attributable to applicants in the form of application deficiencies or other factors beyond the Board's control which may impede the processing of applications.
NOTE

Authority cited: Section 5010, Business and Professions Code. Section 15376, Government Code. Reference: Section 15376, Government Code.
HISTORY

1. Renumbering and amendment of former section 7 to section 5.1 filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16). For prior history, see Registers 75, No. 33 and 64, No. 15.
2. Amendment of section filed 9-23-91; operative 10-23-91 (Register 91, No. 52).
3. Change without regulatory effect amending subsections (b)(5), (e)(4) and (f)(4) filed 3-18-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 12).
4. Amendment of subsection (b) and new subsections (b)(7) and (e)(6) filed 5-3-2001; operative 7-1-2001 (Register 2001, No. 18).
5. Amendment of subsection (b)(1) and new subsection (e)(7) filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4). 
§5.2. Definition of “Accountancy Act.” [Renumbered]
Note     •     History

NOTE

Authority cited: Section 5010, Business and Professions Code. Reference: Sections 5000-5157, Business and Professions Code.
HISTORY

1. New section filed 2-4-60; effective thirtieth day thereafter (Register 60, No. 3).
2. Amendment of section and note filed 4-15-77 as procedural and organizational; effective upon filing (Register 77, No. 16).
3. Renumbering and amendment of Section 5.2 to Section 1 filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
§5.3. Observance of Rules. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 5010, Business and Professions Code.
HISTORY

1. New section filed 10-24-61; effective thirtieth day thereafter (Register 61, No. 22).
2. Renumbering and amendment of Section 5.3 to Section 5 filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
Article 2. Examinations
§6. Examination Required, Passing Grades, Provisions for Disabled Applicants.
Note     •     History

(a) Every candidate for the CPA license is required to pass or to have passed the Uniform Certified Public Accountant Examination prepared by the American Institute of Certified Public Accountants or to otherwise have met the examination requirements of Business and Professions Code Sections 5082, 5092, or 5093 and the requirements of this article. 
(b) The passing score for any section of the Uniform Certified Public Accountant Examination is 75.
(c) A disabled candidate, upon request and presentation of satisfactory evidence of need, in accordance with the Americans with Disabilities Act will be afforded such accommodation in the examination procedures or the examination conditions as may be reasonable.
NOTE

Authority cited: Section 5010, Business and Professions Code. Reference: Sections 313.2, 5082, 5082.1, 5082.3, 5092 and 5093, Business and Professions Code.
HISTORY

1. Amendment filed 6-18-68; effective thirtieth day thereafter (Register 68, No. 23). For prior history, see Register 64, No. 15.
2. Amendment filed 12-24-69; effective thirtieth day thereafter (Register 69, No. 52).
3. Amendment filed 1-26-79; effective thirtieth day thereafter (Register 79, No. 4).
4. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
5. Amendment of section heading, text and Note filed 3-14-94; operative 4-13-94 (Register 94, No. 11).
6. Redesignation and amendment of first paragraph as subsection (a), amendment of subsection (b) and Note filed 2-26-96; operative 3-27-96 (Register 96, No. 9).
7. Change without regulatory effect amending subsection (a) filed 1-12-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 2).
8. Amendment of section and Note filed 6-12-2002; operative 6-12-2002  pursuant to Government Code section 11343.4 (Register 2002, No. 24).
§6.1. Additional Requirements for Computer-Based Testing.
Note     •     History

Upon the commencement of computer-based testing in California, applicants are responsible for contacting the National Association of State Boards of Accountancy to obtain a Notice to Schedule pursuant to Section 8.1 and the examination test centers to obtain a date to examine. Applicants shall pay all required fees and comply with test center procedures and rules. 
NOTE

Authority cited: Section 5010, Business and Professions Code. Reference: Sections 5082, 5082.1, 5082.2, 5092, 5093 and 5131, Business and Professions Code. 
HISTORY

1. New section filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4). 
§7. Conditional Examination Credit Requirements for Applicants Who Will Be Applying for Licensure Pursuant to Business and Professions Code Section 5090(b).
Note     •     History

(a) A candidate who passes two or more subjects at any examination shall receive a conditional credit for such subject or subjects and shall have the right to be re-examined in the remaining subject or subjects for the six (6) examinations immediately following receipt of such conditional credit and, if such remaining subject or subjects are passed during the six subsequent examinations, the candidate shall be considered to have passed the examination.
(b) The conditional period in subsection (a) may be extended by the Board upon a showing of extraordinary extenuating circumstances which prevented the applicant from retaking the examination in such period.
(c) Time during which a candidate is serving in the armed forces shall be excluded in determining the conditional period in subsection (a) unless the candidate takes an examination while so serving, in which case such time shall be included in computing the conditional period.
(d) This section shall become inoperative on January 1, 2010.
(e) Upon commencement of the computer-based Uniform Certified Public Accountant Examination, candidates holding conditional credit under this section may complete the examination pursuant to Section 7.2. 
NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Sections 114, 5082, 5082.2 and 5090, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 7 to section 5.1 and renumbering and amendment of section 17 to section 7 filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16). For prior history, see Registers 79, No. 49 and 75, No. 33.
2. Amendment of subsection (a) filed 3-14-94; operative 4-13-94 (Register 94, No. 11).
3. Amendment of subsections (a) and (b), repealer of subsection (d) and amendment of Note filed 2-26-96; operative 3-27-96 (Register 96, No. 9).
4. Amendment of section heading, new subsection (d) and amendment of Note filed 6-12-2002; operative 6-12-2002  pursuant to Government Code section 11343.4 (Register 2002, No. 24).
5. New subsection (e) filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4). 
6. Change without regulatory effect amending subsection (d) filed 10-11-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 41).
§7.1. Credit Status for the Computerized Uniform CPA Examination.
Note     •     History

(a) Upon the commencement of computer-based testing in California, an applicant may sit for the four sections of the computer-based Uniform Certified Public Accountant Examination individually and in any order. An applicant who fails to pass any section of the examination may retake that section. When the applicant has credit for all four sections of the examination within an 18-month period as defined in subsection (b), the applicant shall be considered to have passed the examination. 
(b) Except as provided in subsections (c) and (d), an applicant shall retain credit for any section the applicant has passed for an 18-month period beginning with the date that the section of the exam was passed. At the end of the 18-month period, credit for that section expires, and that section must be re-taken and passed to re-establish credit. 
(c) A first-time applicant who passes any section of the computer-based Uniform Certified Public Accountant Examination during the six months immediately following commencement of computer-based testing in California shall retain credit for that section for a 24-month period beginning with the date the section of the exam was passed. At the end of the 24-month period, credit for that section expires. The section may be re-taken pursuant to subsection (b) of this section. 
(d) A candidate may sit for any unpassed section of the examination only one time during each testing window. A testing window is a three-month period as determined by the American Institute of Certified Public Accountants during which applicants may take the exam. There are four three-month testing windows in a year. To allow for routine maintenance, the exam may be unavailable for up to one month during each testing window. 
(e) Credit for passed examination sections may be extended by the Board because the applicant was prevented from sitting for an unpassed section or sections before credit for passed sections expired pursuant to subsections (b) or (c) because of one of the following events: 
(1) Death of an immediate family member. Documentation, such as a copy of the death certificate, must be submitted. 
(2) Catastrophic illness, contagious disease, or major traumatic injury to the candidate or immediate family member (spouse, child or parent). Submit an original letter on letterhead from the physician, which includes the date(s), nature of the illness, and the physician's signature. 
(3) Natural disaster (earthquake, flood, fire, etc.). 
(4) Non-issuance of visa for travel to the U.S. Documentation, such as an official letter from the U.S. Embassy or a copy of the passport indicating a visa was requested, must be submitted. 
(5) Other good cause. 
NOTE

Authority cited: Section 5010, Business and Professions Code. Reference: Sections 5081, 5082, 5082.1, 5082.2, 5092 and 5093, Business and Professions Code. 
HISTORY

1. New section filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4). 
2. Change without regulatory effect repealing subsection (d), relettering subsections and amending Note filed 10-11-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 41).
§7.2. Transition to Computer Based Testing.
Note     •     History

(a) Upon commencement of computer-based testing in California, a candidate who has already passed two or more sections of the examination in accordance with the requirements of Section 5092 or 5093 of the Business and Professions Code or Section 7 of these regulations will receive credit for the computer-based equivalent of those sections as specified in subsection (b). This credit will expire 18 months after commencement of computer-based testing in California. During this 18 month period, a candidate will have the same number of opportunities to sit for the exam as the candidate would have had to take the paper-and-pencil exam. 
(b) This table indicates the computer-based equivalent of the sections of the paper-and-pencil Uniform Certified Public Accountant Examination: 

Paper-and-Pencil Examination	Computer-Based Examination
Auditing 	Auditing & Attestation 

Financial Accounting & Reporting	Financial Accounting & Reporting (FARE) 

Accounting & Reporting (ARE) 	Regulation 

Business Law & Professional 	Business Environment & Concepts
Responsibilities (LPR)  
(c) A candidate who does not pass the examination in accordance with subsection (a) will retain credit for sections of the computerized exam passed by the candidate in accordance with subsection (b) of Section 7.1. 
NOTE

Authority cited: Section 5010, Business and Professions Code. Reference: Sections 5081, 5082, 5082.1, 5082.2, 5090, 5092 and 5093, Business and Professions Code. 
HISTORY

1. New section filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4). 
§8. Examination Final Filing Dates.
Note     •     History

(a) During the time the Uniform CPA Examination is a paper and pencil examination, applications for the Uniform CPA Examination must be received by the Board at its office or postmarked on or before the below final filing dates in order to be accepted for that exam. Applications postmarked after the final filing dates listed in this section shall be rejected and returned to the applicant. Meter marks are not acceptable proof of mailing.
(b) First-time Applicant Final Filing Date.
(1) The final filing date for applicants who have never sat for the Uniform CPA Exam in California shall be February 1 for the May examination, or August 1 for the November examination. If the examination final filing date falls on a Sunday or a National holiday on which the United States Postal Service is not open, the final filing date will be the next business day.
(2) The application must be complete, including official transcripts and/or foreign evaluations pursuant to Section 9 or Section 9.2, and the appropriate fees, or it shall be rejected by the Board and the applicant will not be scheduled to sit for the examination.
(c) Repeat Applicant Final Filing Date.
(1) The final filing date for applicants who have previously taken the Uniform CPA Exam in California shall be March 1 for the May examination, or September 1 for the November examination. If the examination final filing date falls on a Sunday or a National holiday on which the United States Postal Service is not open, the final filing date will be the next business day.
(2) The application must be complete including the appropriate fees or it shall be rejected by the Board and the applicant will not be scheduled to sit for the examination.
NOTE

Authority cited: Section 5010, Business and Professions Code. Reference: Sections 5081, 5082, 5082.1, 5082.2, 5092 and 5093, Business and Professions Code.
HISTORY

1. New section filed 5-9-2000; operative 6-8-2000 (Register 2000, No. 19). For prior history, see Register 74, No. 15. 
2. New subsection designators, amendment of newly designated subsection (b)(2) and amendment of Note filed 6-12-2002; operative 6-12-2002  pursuant to Government Code section 11343.4 (Register 2002, No. 24).
3. Amendment of subsection (a) filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4). 
§8.1. The Authorization to Test and Notice to Schedule for the Computer-Based Uniform CPA Examination.
Note     •     History

(a) An Authorization to Test (ATT) is issued by the Board to permit the applicant to test for specified sections of the computer-based Uniform Certified Public Accountant Examination. An ATT for a specified section or sections of the exam shall go into effect (be open) on the date of issuance. Within 90 calendar days of the date the ATT is issued, the applicant must remit the required fees to the National Association of State Boards of Accountancy to obtain a Notice to Schedule (NTS) pursuant to Section 6.1. If the applicant fails to remit fees and obtain the NTS, the ATT shall be deemed expired and the applicant must reapply and be issued another ATT to be able to test for that section. 
(b) The NTS will enable the applicant to schedule testing at an examination test center. Except as provided in subsection (e), the NTS shall remain open until either the applicant schedules testing for the specified section(s) or nine months have transpired since the date the NTS was issued, whichever occurs first. The ATT will remain open until the applicant completes testing for the specified section(s) or nine months have transpired since the date the NTS was issued, whichever occurs first. 
(c) If for any reason an applicant does not pass a section of the exam during the time the applicant holds an open ATT for that section, the applicant cannot test for that section until the applicant reapplies and is issued another ATT for that section pursuant to Section 8.2. 
(d) An ATT may be suspended by the Board based on a report from the National Association of State Boards of Accountancy that its National Candidate Database has identified that the applicant holds another open ATT for the same section of the exam, has unpaid fees, or may have engaged in subversion of the exam. An ATT may also be suspended by the Board for other good cause. 
(e) The nine-month time periods specified in subsection (b) may be extended by the Board because the applicant was prevented from testing due to one of the following events:
(1) Death of an immediate family member, when accompanied by documentation, such as a copy of the death certificate.
(2) Catastrophic illness, contagious disease, or major traumatic injury to the candidate or immediate family member (spouse, child or parent), when accompanied by an original letter on letterhead from the physician, which includes the date(s), nature of the illness, and the physician's signature.
(3) Natural disaster (earthquake, flood, fire, etc.).
(4) Non-issuance of visa for travel to the U.S., when accompanied by documentation, such as an official letter from the U.S. Embassy or a copy of the passport indicating a visa was requested.
(5) Other good cause.
NOTE

Authority cited: Section 5010, Business and Professions Code. Reference: Sections 5081, 5082, 5082.1, 5082.2, 5092, 5093 and 5131, Business and Professions Code. 
HISTORY

1. New section filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4). 
2. Amendment of subsection (b) and new subsections (e)-(e)(5) filed 5-1-2006; operative 5-31-2006 (Register 2006, No. 18).
§8.2. Requirements for Issuance of the Authorization to Test.
Note     •     History

(a) An application for an Authorization to Test (ATT) for the computer-based Uniform CPA Examination pursuant to Section 8.1 must be complete including the candidate's name, application date, date of birth, address, telephone number, summary of education, the appropriate fees pursuant to Section 70, and a signature (or the electronic equivalent) authorizing the release of application information to the National Association of State Boards of Accountancy and the designated exam administrator. The application must also specify the section(s) of the exam the applicant is applying to take. First-time applicants must also provide official transcripts and/or foreign evaluations pursuant to Section 9.2. 
(b) An applicant shall not have more than one open ATT for any section of the examination at the same time. At the time of application and during the time any ATT issued by the California Board of Accountancy is open, the applicant shall not have an open ATT for the same section in any other state or jurisdiction. 
(c) The applicant shall not apply to take, or take, any section or sections of the examination for which the applicant holds unexpired credit pursuant to Sections 7.1 or 7.2, with the following exceptions: 
(1) An applicant may reapply and retake the examination pursuant to Section 13(b) or Section 14(b) of these regulations. 
(2) An applicant for reissuance who does not currently hold a Certified Public Accountant license in another jurisdiction may retake the examination pursuant to Section 37 of these regulations. 
(d) The applicant shall certify at the time of application that he or she is in compliance with subsections (b) and (c). Falsifying this certification; or including any false, fraudulent, or materially misleading statements on the application for the examination; or including any material omission on the application for the examination shall be cause for action by the Board pursuant to Business and Professions Code 5110. 
(e) Except for a CPA who is required to take specified sections of the examination pursuant to a disciplinary action of the Board, no CPA shall apply to take, or take, any section of the Uniform Certified Public Accountant Examination. A CPA who fails to comply with this requirement shall be subject to disciplinary action by the Board. 
NOTE

Authority cited: Section 5010, Business and Professions Code. Reference: Sections 5081, 5082, 5082.1, 5082.2, 5092, 5093 and 5131, Business and Professions Code. 
HISTORY

1. New section filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4). 
§9. Educational Requirement  for Applicants Who Will Be Applying for Licensure Pursuant to Business and Professions Code Section 5090(b). [Repealed]
Note     •     History

NOTE

Authority cited: Section 5010, Business and Professions Code. Reference: Sections 5081, 5081.1, 5084 and 5090, Business and Professions Code.
HISTORY

1. Amendment filed 2-4-60; effective thirtieth day thereafter (Register 60, No. 3).
2. Amendment filed 1-26-79; effective thirtieth day thereafter (Register 79, No. 4).
3. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
4. Amendment of section heading and section filed 5-10-2000; operative 6-9-2000 (Register 2000, No. 19).
5. Amendment of section heading, new subsection (d) and amendment of Note filed 6-12-2002; operative 6-12-2002  pursuant to Government Code section 11343.4 (Register 2002, No. 24).
6. Change without regulatory effect amending subsection (d) filed 10-11-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 41).
7. Repealer filed 1-10-2012; operative 2-9-2012 (Register 2012, No. 2).
§9.1. Approved Credential Evaluation Service Status.
Note     •     History

(a) To receive and to maintain Board approval, a credentials evaluation service shall:
(1) Be a member of the American Association of Collegiate Registrars and Admission Officers, the National Association for Foreign Student Affairs: Association of International Educators, or the National Association of Credential Evaluation Services;
(2) Furnish the Board with a copy of its current written procedure for identifying fraudulent transcripts, and comply with that procedure;
(3) Furnish the Board with a list of its reference materials including the title of each reference, its publisher, and the date of publication, and certify that the references are adequate to prepare complete, accurate evaluations and are the most current editions available;
(4) Furnish the Board with biographical information on evaluators and translators, including a list of languages spoken and years in service. The service shall have at least one senior staff member with not less than five years of foreign student college admission experience or closely related credential evaluation experience at all academic levels;
(5) Furnish the Board with its organization chart showing the ratio of senior staff members to junior staff members is, at most, one to five, and shall not exceed that ratio;
(6) Furnish the Board with written evidence that a minimum of 50% of the evaluations performed by junior staff members are reviewed by senior staff members, and shall maintain at least that minimum;
(7) Furnish the Board with statistical information on the number of applications processed annually for the past five years;
(8) Furnish the Board with a list of at least three accredited colleges and universities or other licensing agencies using its services;
(9) Furnish the Board with three letters of reference, written within the last year, from public or private agencies;
(10) Furnish the Board with a copy of its appeal procedure for applicants, and comply with that procedure;
(11) Furnish evaluations to the Board that comply with the requirements of this section;
(12) For the initial application, furnish the Board with sample evaluations prepared for other agencies.
(b) Each evaluation provided by the Board approved service shall:
(1) Affirm in a written statement that the evaluation is based only upon authenticated, original transcripts and degrees;
(2) Include certified copies of all original transcripts;
(3) Be furnished directly to the Board, in English; on tamper-proof paper,
(4) Include a report of each degree held by the applicant along with the equivalent degree offered in the United States, the date the degree was granted and the institution granting the degree;
(5) Include a listing of the course titles with the semester unit equivalent for each course.
(c) The credentials evaluation service shall report to the Board annually whether it has undergone any organizational changes. Approval issued under this section shall expire five years after the date of issuance unless renewed by the Board prior to its expiration by meeting the requirements in subsection (a). Approval may be withdrawn at any time if the credentials evaluation service fails to comply with any of the requirements of this section or of the provisions of paragraph (2) of subdivision (a) of Section 5081.1 of the Accountancy Act.
NOTE

Authority cited: Sections 5010, 5081.1 and 5094, Business and Professions Code. Reference: Sections 5081.1 and 5094, Business and Professions Code.
HISTORY

1. New section filed 5-10-2000; operative 6-9-2000 (Register 2000, No. 19).
2. Amendment of Note filed 6-12-2002; operative 6-12-2002  pursuant to Government Code section 11343.4 (Register 2002, No. 24).
§9.2. Education Required Under Business and Professions Code Sections 5092 and 5093.
Note     •     History

(a) Each applicant shall present satisfactory evidence that he or she has received a baccalaureate or higher degree, has completed the accounting subjects specified in subsection (b) of this section, and has completed the business-related subjects specified in subsection (c) of this section. 
(b) The applicant shall have completed a minimum of 24 semester units, or the equivalent in quarter units, selected from the following accounting subjects: accounting, auditing, financial reporting, external or internal reporting, financial statement analysis or taxation. 
(c) In addition to the accounting courses described in subsection (b), an applicant shall have completed a minimum of 24 semester units, or the equivalent in quarter units, selected from the following business-related subjects: accounting subjects in excess of the 24 semester units as described in subsection (b), business administration, economics, finance, business management, marketing, computer science/information systems, statistics, business communications, mathematics, business law, or business related law courses offered by an accredited law school. 
(d) Qualifying education shall be completed within the following time frames specified in this subsection: 
(1) Except as provided for in subsection (d)(2), applicants shall complete the education required by this section before applying for examination for the first time. 
(2) An applicant who applied, qualified, and sat for at least two subjects of the examination for the Certified Public Accountant License before May 15, 2002, may provide evidence of qualifying education at the time of application for licensure.
(e) Satisfactory evidence as to educational qualifications shall take the form of certified transcripts of the applicant's college record, mailed directly to the Board from the educational institution; however, in unusual circumstances the Board may accept such other evidence as it deems appropriate and reasonably conclusive. For foreign education, in addition to certified transcripts of the applicant's college record, satisfactory evidence usually takes the form of an evaluation of educational credentials by a credentials evaluation service approved by the Board pursuant to Section 9.1. 
(f) For purposes of this section, one quarter unit is equivalent to two-thirds of one semester unit. 
NOTE

Authority cited: Sections 5010, 5092 and 5093, Business and Professions Code. Reference: Sections 5092 and 5093, Business and Professions Code. 
HISTORY

1. New section filed 6-12-2002; operative 6-12-2002  pursuant to Government Code section 11343.4 (Register 2002, No. 24).
2. Change without regulatory effect amending subsection (d)(2) filed 10-11-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 41).
§10. Examination on Rules of Professional Conduct.
Note     •     History

All applicants for a certified public accountant license shall pass an examination in professional ethics, acceptable to the Board, before such license is to be issued. This professional ethics examination shall be passed no sooner than two years prior to the Board's consideration of the application for licensure.
NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Sections 5018, 5082, 5092 and 5093, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 18 to Section 10 filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16). For prior history, see Registers 79, No. 4 and 69, No. 47.
2. Amendment filed 2-26-96; operative 3-27-96 (Register 96, No. 9).
3. Amendment of Note filed 6-12-2002; operative 6-12-2002  pursuant to Government Code section 11343.4 (Register 2002, No. 24).
§11. Candidates Lacking Required Experience. [Repealed]
History

HISTORY

1. Amendment filed 2-4-60; effective thirtieth day thereafter (Register 60, No. 3).
2. Amendment filed 12-14-61; effective thirtieth day thereafter (Register 61, No. 25).
3. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
4. Repealer filed 2-26-96; operative 3-27-96 (Register 96, No. 9).
§11.5. Experience Requirements for Applicants Who Will Be Applying for Licensure Pursuant to Business and Professions Code Section 5090(b). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 5010, 5018, and 5083, Business and Professions Code. Reference: Section 5023, 5083 and 5090, Business and Professions Code.
HISTORY

1. New section filed 6-29-48; effective thirtieth day thereafter (Register 13, No. 1).
2. Amendment filed 2-4-60; effective thirtieth day thereafter (Register 60, No. 3).
3. New subsection (c) filed 1-26-79; effective thirtieth day thereafter (Register 79, No. 4).
4. Amendment filed 10-15-80; effective thirtieth day thereafter (Register 80, No. 42).
5. Amendment of section filed 9-23-91; operative 10-23-91 (Register 91, No. 52).
6. New subsection (c), subsection redesignation and amendment of new subsection (d) filed 11-30-93; operative 12-30-93 (Register 93, No. 49).
7. Amendment of section and Note filed 2-26-96; operative 3-27-96 (Register 96, No. 9).
8. Repealer and new subsection (b) and amendment of subsection (e) filed 11-20-98; operative 12-20-98 (Register 98, No. 47).
9. Amendment of section heading, new subsection (f) and amendment of Note filed 6-12-2002; operative 6-12-2002  pursuant to Government Code section 11343.4 (Register 2002, No. 24).
10. Change without regulatory effect amending subsection (f) filed 10-11-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 41).
11. Amendment of subsection (d) filed 9-19-2008; operative 10-19-2008 (Register 2008, No. 38).
12. Repealer filed 1-10-2012; operative 2-9-2012 (Register 2012, No. 2).
§12. General Experience Required Under Business and Professions Code Sections 5092 and 5093.
Note     •     History

(a) In order to meet the experience requirement of Section 5092 or Section 5093 of the Business and Professions Code, experience must be supervised by a person holding a valid license or comparable authority to practice public accounting as specified in subdivision (d) of Section 5092 or subdivision (d) of Section 5093. Supervised experience means that the applicant's supervisor shall have reviewed and evaluated the applicant's qualifying work, pursuant to subsection (b) on a routine and recurring basis and shall have authority and oversight over the applicant. 
(1) Experience shall be verified by the person supervising the experience and by a second person with a higher level of responsibility in the public accounting firm, private industry company, or governmental agency. If the experience is obtained in public accounting, the second person signing the verification shall be an owner of the public accounting firm holding a valid license or comparable authority to practice public accounting. If the owner of the public accounting firm or private industry company signing the verification is also the person supervising the experience, no second signature is required. 
(2) Experience may not be supervised by a licensee who provides public accounting services to the applicant's employer.
(3)(A) All verifications shall be submitted to the Board on Form 11A-29 (5/11) for public accounting experience or Form 11A-29A (5/11) for private industry and governmental accounting experience, which are hereby incorporated by reference, and shall be signed under penalty of perjury. 
(B) If the applicant is unable to obtain the verifications required in subsection (a)(3)(A), the Board may approve other forms of verification if they contain the information as required in subsection (a)(3)(A). 
(b) The experience required by Section 5092 or Section 5093 involves providing any type of service or advice involving the use of accounting, attest, compilation, management advisory, financial advisory, tax, or consulting skills. Qualifying experience may be gained through employment in public accounting, private industry, or government. Experience acquired in academia is not qualifying. 
(c) The experience required by Section 5092 or Section 5093 of the Business and Professions Code may be obtained in full-time or part-time employment provided the total experience completed by the applicant is the equivalent of at least two years of full-time employment for an applicant qualifying under Section 5092 or at least one year of full- time employment for an applicant qualifying under Section 5093. In evaluating an applicant's experience, 170 hours of part-time employment shall be considered equivalent to one month of full-time employment. 
(d) An applicant who is applying under Section 5092 or Section 5093 of the Business and Professions Code with experience obtained five (5) or more years prior to application may be required to obtain 48 hours of continuing education which shall include general accounting, and other comprehensive basis of accounting; and to submit the certificates of completion to the Board.
NOTE

Authority cited: Sections 5010, 5092 and 5093, Business and Professions Code. Reference: Sections 5092 and 5093, Business and Professions Code. 
HISTORY

1. New section filed 6-12-2002; operative 6-12-2002  pursuant to Government Code section 11343.4 (Register 2002, No. 24). For prior history, see Register 83, No. 16.
2. Redesignation of portions of subsection (a) as new subsections (a)(1) and (a)(3) and new subsection (a)(2) filed 7-19-2004; operative 8-18-2004 (Register 2004, No. 30).
3. Amendment of subsection (c), repealer of subsection (e) and amendment of Note filed 5-1-2006; operative 5-31-2006 (Register 2006, No. 18).
4. Amendment of subsection (d) filed 9-19-2008; operative 10-19-2008 (Register 2008, No. 38).
5. Amendment of subsections (a)-(a)(1), redesignation and amendment of former subsection (a)(3) as new subsection (a)(3)(A), new subsection (a)(3)(B) and amendment of subsection (b) filed 1-10-2012; operative 2-9-2012 (Register 2012, No. 2).
§12.5. Attest Experience Under Business and Professions Code Section 5095.
Note     •     History

(a) To be authorized to sign reports on attest engagements pursuant to Business and Professions Code Section 5095, an applicant for a California Certified Public Accountant license pursuant to Business and Professions Code Sections 5087, 5092, or 5093 or holder of an unexpired California Certified Public Accountant license issued pursuant to Business and Professions Code Sections 5087, 5092, or 5093 shall show to the satisfaction of the Board that he or she meets the requirements of this section and Business and Professions Code Section 5095. 
(1) Some or all of the experience required by Section 5095 and this section may be completed prior to issuance of the California Certified Public Accountant license. Any experience that would be qualifying for purposes of Section 5095 and this section may also serve as qualifying experience for purposes of Sections 5092 or 5093. To be qualifying for purposes of Section 5095 and this section, any experience obtained after issuance of the California Certified Public Accountant license must be obtained while the license is held in active status. 
(2) A holder of an active California Certified Public Accountant license may commence signing reports on attest engagements upon receipt of notification from the Board that he or she has met the requirements of this section and Business and Professions Code Section 5095. A holder of an inactive California Certified Public Accountant license may apply under this section, but must convert the license to active status before commencing to sign reports on attest engagements. 
(3) An applicant for the California Certified Public Accountant license who has met the requirements of this section and Business and Professions Code Section 5095 may commence signing reports on attest engagements upon license issuance. 
(b) In order to meet the attest experience requirements of Section 5095 an applicant for or holder of a California Certified Public Accountant license shall show to the satisfaction of the Board that the applicant has completed a minimum of 500 hours of attest experience. This experience shall include all of the following: 
(1) Experience in the planning of the audit including the selection of the procedures to be performed. 
(2) Experience in applying a variety of auditing procedures and techniques to the usual and customary financial transactions included in financial statements. 
(3) Experience in the preparation of working papers in connection with the various elements of (1) and (2) above. 
(4) Experience in the preparation of written explanations and comments on the work performed and its findings. 
(5) Experience in the preparation of and reporting on full disclosure financial statements. 
(c) Qualifying experience may be gained through employment in public accounting, private industry, or government. Experience acquired in academia is not qualifying. 
(d) In order to be qualifying, experience obtained pursuant to Section 5095 of the Business and Professions Code must be supervised by a person holding a valid license or comparable authority to provide attest services as specified in subdivision (b) of Business and Professions Code Section 5095. Supervised experience means that the applicant's supervisor shall have reviewed and evaluated the applicant's qualifying work, pursuant to subsection (b) on a routine and recurring basis and shall have authority and oversight over the applicant. 
(1) Experience shall be verified by the person supervising the experience and by a second person with a higher level of responsibility in the public accounting firm, private industry company, or governmental agency. If the experience is obtained in public accounting, the second person signing the verification shall be an owner of the public accounting firm holding a valid license or comparable authority to practice public accounting. If the owner of the public accounting firm or private industry company signing the verification is also the person supervising the experience, no second signature is required. 
(2) Experience may not be supervised by a licensee who provides public accounting services to the applicant's employer.
(3)(A) All verifications shall be submitted to the Board on Form 11A-6A (5/11) for public accounting experience or on Form 11A-6 (5/11) for private industry or governmental accounting experience, which are hereby incorporated by reference, and shall be signed under penalty of perjury. 
(B) If the applicant is unable to obtain the verifications required in subsection (d)(3)(A), the Board may approve other forms of verification if they contain the information as required in subsection (d)(3)(A). 
(e) In order to demonstrate the completion of qualifying experience, an applicant for or holder of a California Certified Public Accountant license may be required to appear before the Qualifications Committee to present work papers, or other evidence, substantiating that his or her experience meets the requirements of Section 5095 of the Business and Professions Code and of subsection (b) of this section. 
(f) The applicant who is applying with attest experience obtained outside the United States and its territories must present work papers substantiating that such experience meets the requirements of subsection (b) and generally accepted auditing standards. Alternatively, the applicant may acquire a minimum of 500 hours of United States experience which meets the requirements of Business and Professions Code Section 5095 and subsection (b). 
(g) The applicant who is applying with experience obtained five (5) or more years prior to application may be required to obtain 48 hours of continuing education which shall include financial accounting standards, auditing standards, compilation and review, and other comprehensive basis of accounting; and to submit the certificates of completion to the Board.
(h) The experience required by Section 5092, 5093, or 5095 of the Business and Professions Code may be obtained in full-time or part-time employment provided the total experience completed by the applicant is the equivalent of at least two years of full-time employment for an applicant qualifying under Section 5092 or at least one year of full-time employment for an applicant qualifying under Section 5093. In evaluating an applicant's experience, 170 hours of part-time employment shall be considered equivalent to one month of full-time employment.
NOTE

Authority cited: Sections 5010 and 5095, Business and Professions Code. Reference: Section 5023, 5092, 5093 and 5095, Business and Professions Code. 
HISTORY

1. New section filed 6-12-2002; operative 6-12-2002  pursuant to Government Code section 11343.4 (Register 2002, No. 24).
2. Redesignation of portion of subsection (c) as new subsection (c)(1) and new subsection (c)(2) filed 7-19-2004; operative 8-18-2004 (Register 2004, No. 30).
3. Repealer of subsection (g), subsection relettering and amendment of Note filed 5-1-2006; operative 5-31-2006 (Register 2006, No. 18).
4. Amendment of subsections (a)-(a)(1) and (f) filed 9-19-2008; operative 10-19-2008 (Register 2008, No. 38).
5. Amendment filed 1-10-2012; operative 2-9-2012 (Register 2012, No. 2).
§13. Applicants Who Applied for the Examination Prior to May 15, 2002.
Note     •     History

(a) Only an applicant who applied, qualified, and sat for at least two subjects of the examination as a California applicant prior to May 15, 2002, may satisfy the examination requirement and qualify for licensure under the requirements that were in effect on December 31, 2010. Such California applicant must, however, qualify and apply for licensure prior to January 1, 2010. Sections 7, 9, and 11.5 of these regulations apply only to these applicants. 
(b) As an alternative to qualifying for licensure in accordance with the requirements described in subsection (a), an applicant for the Certified Public Accountant license who applied, qualified, and sat for at least two subjects of the examination as a California applicant prior to May 15, 2002, may qualify for licensure by meeting the requirements of Business and Professions Code Section 5092 or 5093 and the requirements of this article. The applicant may retain the examination scores he or she has received and may apply these scores toward meeting the requirements of Section 5092 or 5093.
NOTE

Authority cited: Sections 5010, 5092 and 5093, Business and Professions Code. Reference: Section 5090, 5092 and 5093, Business and Professions Code. 
HISTORY

1. New section filed 6-12-2002; operative 6-12-2002  pursuant to Government Code section 11343.4 (Register 2002, No. 24). For prior history, see Register 83, No. 16.
2. Change without regulatory effect amending section filed 10-11-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 41).
§14. Changing Pathways. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 5010, 5092 and 5093, Business and Professions Code. Reference: Sections 5091, 5092 and 5093, Business and Professions Code. 
HISTORY

1. New section filed 6-12-2002; operative 6-12-2002  pursuant to Government Code section 11343.4 (Register 2002, No. 24). For prior history, see Register 83, No. 16.
2. Change without regulatory effect repealing section filed 10-11-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 41).
§15. Notification of Grades. [Repealed]
History

HISTORY

1. Amendment filed 1-30-56; effective thirtieth day thereafter (Register 56, No. 3).
2. Amendment filed 6-29-56; designated effective 7-31-56 (Register 56, No. 13).
3. Repealer filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
§16. Passing Grades. [Repealed]
History

HISTORY

1. Amendment filed 1-30-56; effective thirtieth day thereafter (Register 56, No. 3).
2. Amendment filed 6-29-56; designated effective 7-31-56 (Register 56, No. 13).
3. Amendment filed 12-24-57; effective thirtieth day thereafter (Register 58, No. 1).
4. Amendment filed 2-27-59; effective thirtieth day thereafter (Register 59, No. 4).
5. Repealer filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
§17. Conditional Credit. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Sections 5082 and 5087, Business and Professions Code.
HISTORY

1. Amendment filed 1-2-73; designated effective on the operative date of Chapter 126 of the 1972 Regular Session of the Legislature (Register 73, No. 1). For prior history, see Register 66, No. 1.
2. Amendment filed 4-9-74; effective thirtieth day thereafter (Register 74, No. 15).
3. New subsection (c) filed 12-5-79; effective thirtieth day thereafter (Register 79, No. 49).
4. Renumbering and amendment of Section 17 to Section 7 filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
§18. Examination on Rules of Professional Conduct. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 5010, Business and Professions Code. Reference: Sections 5026, 5027, 5029, 5070, 5070.5, 5070.7, 5070.8, 5130, 5134, 5135, 5081, 5081.1, 5082 and 5083, Business and Professions Code.
HISTORY

1. New section filed 5-12-65; designated effective 1-1-66 (Register 65, No. 7).
2. Repealer and new section filed 8-7-69; effective thirtieth day thereafter (Register 69, No. 32).
3. Amendment filed 1-18-71; effective thirtieth day thereafter (Register 71, No. 4).
4. Amendment filed 1-26-79; effective thirtieth day thereafter (Register 79, No. 4).
5. Renumbering and amendment of Section 18 to Section 10 filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
§19. Course Subjects. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5010, Business and Professions Code. Reference: Section 5081.1, Business and Professions Code.
HISTORY

1. New section filed 1-26-79; effective thirtieth day thereafter (Register 79, No. 4).
2. Repealer filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
§20. Issuance of Cancelled Certificate. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5010, Business and Professions Code. Reference: Sections 5026, 5027, 5029, 5070, 5070.5, 5070.7, 5070.8, 5130, 5134, 5135, 5081, 5081.1, 5082 and 5083, Business and Professions Code.
HISTORY

1. New section filed 1-26-79; effective thirtieth day thereafter (Register 79, No. 4).
2. Repealer filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
Article 3. Waiver of Examination
§21. Out-of-State Licensee.
Note     •     History

(a) The Board will consider applications filed under Section 5087 from holders of valid unrevoked Certified Public Accountant licenses issued under the laws of any state. The Board may deny an application when the facts indicate that the applicant has been a California resident before, during or after having obtained a CPA license in another state and when the facts indicate that the applicant's CPA license was obtained in another state to evade otherwise applicable California statutes and rules.
(b) An applicant pursuant to Business and Professions Code Section 5087 may be considered to have met the education, examination, and experience requirements for issuance of the California license if the applicant shows, to the satisfaction of the Board, that he or she has engaged in the practice of public accounting as a licensed Certified Public Accountant in another state for four of the ten years preceding the date of application for a California license.
(c) An applicant pursuant to Business and Professions Code Section 5087 may be considered to have met the attest experience requirement of Section 5095 if the applicant shows to the satisfaction of the Board that he or she has been authorized to provide attest services and engaged in the practice of public accounting as a Certified Public Accountant in another state for four of the ten years preceding the date of application for a California license.
NOTE

Authority cited: Section 5010 and 5018, Business and Professions Code. Reference: Section 5082, 5087 and 5095, Business and Professions Code.
HISTORY

1. Amendment filed 12-24-57; effective thirtieth day thereafter (Register 58, No. 1).
2. Amendment filed 2-4-60; effective thirtieth day thereafter (Register 60, No. 3).
3. Amendment filed 4-9-74; effective thirtieth day thereafter (Register 74, No. 15).
4. Amendment filed 12-24-75; effective thirtieth day thereafter (Register 75, No. 52).
5. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
6. Amendment of section heading, section and Note filed 2-26-96; operative 3-27-96 (Register 96, No. 9).
7. Designation and amendment of first paragraph as subsection (a), new subsections (b)-(c) and amendment of Note filed 5-1-2006; operative 5-31-2006 (Register 2006, No. 18).
§21.5. Waiver of Examination for Certain Foreign Applicants. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Sections 5082 and 5087, Business and Professions Code.
HISTORY

1. New section filed 12-5-79; effective thirtieth day thereafter (Register 79, No. 49).
2. Amendment of subsection (c) filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
3. Repealer filed 2-26-96; operative 3-27-96 (Register 96, No. 9).
§22. Temporary Practice. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code.
HISTORY

1. Amendment filed 2-4-60; effective thirtieth day thereafter (Register 60, No. 3).
2. Repealer filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
3. Editorial correction deleting previously repealed text (Register 97, No. 25).
Article 4. Practice Privileges
§26. Purpose of this Article.
Note     •     History

This Article implements Article 5.1 of the Accountancy Act (commencing with Business and Professions Code Section 5096) related to Practice Privileges. 
NOTE

Authority cited: Sections 5010 and 5096.9, Business and Professions Code. Reference: Sections 5096-5096.11, Business and Professions Code. 
HISTORY

1. New article 4 (sections 26-35.1) and section filed 12-12-2005; operative 1-1-2006 pursuant to Government Code section 11343.4 (Register 2005, No. 50). For prior history of article 4 (sections  25-29), see Register 2000, No. 5.
§27. Qualifications for the Practice Privilege.
Note     •     History

To be eligible for a practice privilege, an individual whose principal place of business is not in California and who holds a valid, current license, certificate, or permit to practice public accountancy issued by another state shall meet the requirements of Business and Professions Code Section 5096 including, but not limited to, satisfying one of the following: 
(a) Hold a current, valid license, certificate, or permit issued by another state, if the requirements under which that license, certificate, or permit was issued are deemed by the Board to be substantially equivalent to the requirements in Business and Professions Code Section 5093; 
(b) Possess education, examination, and experience qualifications that have been determined by the Board to be substantially equivalent to the qualifications under Business and Professions Code Section 5093. Pursuant to subdivision (b) of Business and Professions Code Section 5096, the Board accepts individual qualification evaluations of substantial equivalency by the National Association of State Boards of Accountancy's (NASBA's) CredentialNet. Prior to seeking a practice privilege under this paragraph, an individual shall apply to NASBA's CredentialNet, pay the required fee, and obtain the required substantial equivalency determination. The individual shall report the NASBA file number on the Notification Form submitted pursuant to Section 28 and shall authorize the Board to review the NASBA file upon request; or 
(c) Have continually practiced public accountancy as a Certified Public Accountant under a current, valid license issued by any state for four of the last ten years. 
NOTE

Authority cited: Sections 5010 and 5096.9, Business and Professions Code. Reference: Section 5096, Business and Professions Code. 
HISTORY

1. New section filed 12-12-2005; operative 1-1-2006 pursuant to Government Code section 11343.4 (Register 2005, No. 50). For prior history, see Register 2000, No. 5.
§28. Notification.
Note     •     History

(a) To obtain a practice privilege, an individual meeting the requirements of Section 27 shall notify the Board by submitting the fully completed Notification Form provided at the end of this Section or the electronic equivalent provided by the Board on its Web site, and shall pay the fee as required by Sections 31 and 70. Except for the electronic signature which is provided for in subsection (c), the electronic version of the form shall be identical in content to the paper version of the Notification Form provided at the end of this section. 
(b) The license which shall be reported on Item 3 of “Qualification Requirements” on the Notification Form and “the license upon which the substantial equivalency is based” referenced in subdivision (e) of Business and Professions Code Section 5096 is the license under which an individual qualifies for a practice privilege pursuant to subsection (a) of Section 27, or the license in the state of the principal place of business for an individual who qualifies for a practice privilege under subsection (b) or (c) of Section 27. 
(c) The electronic version of the Notification Form shall provide for a certification and electronic signature as follows: 
I understand that any misrepresentation or omission in connection with this notification disqualifies me from the California practice privilege and is cause for termination. Further I authorize the California Board of Accountancy to act accordingly, including notifying other state or federal authorities. By typing my name in the box below and clicking the “I Agree” button I certify under penalty of perjury under the laws of the State of California that the forgoing information is true and correct. If I am not prepared to so certify, I understand that I should click the “Cancel” button to discontinue the notification process. 

	Full name 	

	I Agree 	
	Cancel 
NOTE

Authority cited: Sections 5010 and 5096.9, Business and Professions Code. Reference: Sections 5088, 5096, 5096.3, 5096.4, 5096.5, 5096.13, 5096.14 and 5096.15, Business and Professions Code; and Section 1633.2, Civil Code. 
HISTORY

1. New section filed 12-12-2005; operative 1-1-2006 pursuant to Government Code section 11343.4 (Register 2005, No. 50). For prior history, see Register 2000, No. 5.
2. Change without regulatory effect amending the Notification Form and amending Note filed 11-16-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 46).
3. Change without regulatory effect amending the Notification Form and amending Note filed 2-9-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 6).

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§29. Term of the Practice Privilege.
Note     •     History

(a) Except when prior approval by the Board is required pursuant to Section 32, the practice privilege commences on the date the Notification Form is electronically submitted to the Board, on the postmark date of a Notification Form submitted to the Board by mail, or on the date a Notification Form is submitted to the Board via facsimile. When prior approval by the Board is required pursuant to Section 32, the practice privilege commences on the date the practice privilege is approved by the Board. 
(b) Except as provided in subsection (c), a practice privilege, including a practice privilege that is or has been on administrative suspension pursuant to Business and Professions Code Section 5096.4, expires one year from the date the Notification Form is submitted to the Board or on the date a subsequent Notification Form is submitted to the Board, whichever occurs first. 
(c) A practice privilege held by an applicant for a California license expires one year from the date the Notification Form is submitted to the Board or on the date the California license is issued by the Board, whichever occurs first. 
NOTE

Authority cited: Sections 5010 and 5096.9, Business and Professions Code. Reference: Sections 5088, 5096 and 5096.4, Business and Professions Code. 
HISTORY

1. New section filed 12-12-2005; operative 1-1-2006 pursuant to Government Code section 11343.4 (Register 2005, No. 50). For prior history, see Register 2000, No. 5.
§30. Safe Harbor -- Period of the Notice. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 5010 and 5096.9, Business and Professions Code. Reference: Sections 125.9, 5096, 5096.3 and 5096.14, Business and Professions Code. 
HISTORY

1. New section filed 12-12-2005; operative 1-1-2006 pursuant to Government Code section 11343.4 (Register 2005, No. 50).
2. Amendment of subsection (a) and Note filed 2-15-2008; operative 3-16-2008 (Register 2008, No. 7).
3. Change without regulatory effect repealing section filed 2-9-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 6).
§31. Payment of the Fee.
Note     •     History

The fee required by Section 70(h) must be received by the Board within 30 days of the date the Notification Form is submitted to the Board. 
(a) In addition to any other applicable sanction, an individual is subject to a fine of $100 to $500 for the first failure to pay the practice privilege fee within 30 days of the commencement of the practice privilege, including attempting to pay with a check that is subsequently dishonored. In assessing a fine amount, consideration shall be given to the factors listed in Section 95.3. 
(b) In addition to any other applicable sanction, an individual is subject to a fine of $250 to $1,000 for any subsequent occurrence of failure to pay the practice privilege fee within 30 days, including attempting to pay with a check that is subsequently dishonored. In assessing a fine amount, consideration shall be given to the factors listed in Section 95.3. 
(c) In addition to the fines described in this Section and any other applicable sanction, an individual is also subject to an administrative suspension for failure to pay the fee, including attempting to pay with a check that is subsequently dishonored. This administrative suspension shall remain in effect until the Board gives its approval for the individual to resume practice and shall not extend the term of the practice privilege. 
NOTE

Authority cited: Sections 5010 and 5096.9, Business and Professions Code. Reference: Sections 125.9, 5096, 5096.3 and 5096.4, Business and Professions Code. 
HISTORY

1. New section filed 12-12-2005; operative 1-1-2006 pursuant to Government Code section 11343.4 (Register 2005, No. 50).
§32. Board Approval Required.
Note     •     History

(a) An individual submitting a Notification Form pursuant to Section 28 who has any of the conditions listed in subsection (c) of this Section may not commence practice under a practice privilege without prior approval of the Board. 
(b) A holder of a practice privilege who acquires any of the conditions listed in subsection (c) of this Section during the term of the practice privilege shall cease practicing immediately and shall not begin practicing again without prior approval of the Board. 
(c) Conditions requiring Board approval to practice under a practice privilege: 
(1) The individual is convicted of a crime other than a minor traffic violation. 
(2) The individual has had a revocation, suspension, denial, surrender, or other discipline or sanction involving any license or other authority to practice any profession in California or in any other state or foreign country or to practice before any state, federal, or local court or agency, or the Public Company Accounting Oversight Board (PCAOB), except for the following occurrences: 
(A) An action by a state board of accountancy in which the only sanction was a requirement that the individual complete specified continuing education courses. 
(B) The revocation of a license or other authority to practice public accountancy, other than the license identified in Item 3 of the Qualification Requirements on the Notification Form, solely because of failure to complete continuing education or failure to renew. 
(3) The individual is the subject of an investigation, inquiry, or proceeding by or before a state, federal, or local court or agency (including the PCAOB) involving his or her professional conduct. 
(4) The individual held a practice privilege in California that expired while under administrative suspension or with an unpaid fine. 
(5) The individual has failed to respond to the satisfaction of the Board to a request for information from the Board regarding a matter related to a current or prior practice privilege. 
(6) The individual has been notified by the Board that prior Board approval is required before practice under a new practice privilege may commence. 
(7) The individual has had a judgment or arbitration award in an amount of $30,000 or greater entered against him or her in a civil matter involving the professional conduct of the individual. 
NOTE

Authority cited: Sections 5010 and 5096.9, Business and Professions Code. Reference: Section 5096, Business and Professions Code.  
HISTORY

1. New section filed 12-12-2005; operative 1-1-2006 pursuant to Government Code section 11343.4 (Register 2005, No. 50).
§33. Changes to Information on the Notification.
Note     •     History

(a) An individual shall report in writing to the Board changes in the information reported on the Notification Form within 30 days of the change. 
(b) In addition to any other applicable sanctions, an individual is subject to a fine of $250 to $5,000 for failure to comply with the requirements of this Section. In assessing a fine amount, consideration shall be given to the factors listed in Section 95.3. 
NOTE

Authority cited: Sections 5010 and 5096.9, Business and Professions Code. Reference: Sections 125.9, 5096 and 5096.3, Business and Professions Code. 
HISTORY

1. New section filed 12-12-2005; operative 1-1-2006 pursuant to Government Code section 11343.4 (Register 2005, No. 50). For prior history, see Register 62, No. 11.
§34. Response to Board Inquiry.
Note     •     History

(a) In addition to any other applicable sanction, failure to comply with the obligation to respond to Board inquiry pursuant to Section 5096(e)(5) could result in one or more of the following: 
(1) Issuance of a fine of $250 to $5,000; 
(2) An administrative suspension of a current practice privilege pursuant to Business and Professions Code Section 5096.4; or 
(3) The requirement to obtain the approval of the Board before commencing to practice under a future practice privilege. 
(b) In assessing a fine amount, consideration shall be given to the factors listed in Section 95.3. 
NOTE

Authority cited: Sections 5010 and 5096.9, Business and Professions Code. Reference: Sections 125.9, 5096, 5096.3 and 5096.4, Business and Professions Code. 
HISTORY

1. New section filed 12-12-2005; operative 1-1-2006 pursuant to Government Code section 11343.4 (Register 2005, No. 50). For prior history, see Register 49, No. 4.
§35. Continuing Education Requirement.
Note     •     History

An individual practicing under a practice privilege shall meet the continuing education requirements of the state of licensure identified in Item 3 of the Qualification Requirements on the Notification Form. 
NOTE

Authority cited: Sections 5010 and 5096.9, Business and Professions Code. Reference: Section 5096, Business and Professions Code. 
HISTORY

1. New section filed 12-12-2005; operative 1-1-2006 pursuant to Government Code section 11343.4 (Register 2005, No. 50). For prior history, see Register 83, No. 16.
§35.1. Notice of Intent to Administratively Suspend.
Note     •     History

(a) Prior to the issuance of an Administrative Suspension Order pursuant to Business and Professions Code Section 5096.4, the Executive Officer may issue to the holder of a practice privilege a Notice of Intent to Administratively Suspend. The Notice of Intent to Administratively Suspend shall be in writing and shall be mailed to the practice privilege holder's address of record. 
(b) The Notice of Intent to Administratively Suspend shall include a description of the contents of the Administrative Suspension Order pursuant to subdivision (c) of Section 5096.4. 
(c) The Notice of Intent to Administratively Suspend shall provide the holder with a specified period of time in which to respond in writing by showing cause to the Executive Officer why the Administrative Suspension Order should not be issued. 
(d) The Executive Officer shall determine whether or not the Administrative Suspension Order shall be issued and shall so inform the practice privilege holder in writing. 
NOTE

Authority cited: Sections 5010 and 5096.9, Business and Professions Code. Reference: Section 5096.4, Business and Professions Code. 
HISTORY

1. New section filed 12-12-2005; operative 1-1-2006 pursuant to Government Code section 11343.4 (Register 2005, No. 50).
Article 5. Registration
§36. Forfeiture of Eligibility.
Note     •     History

An applicant who fails to pay the required initial permit fee within two years after being notified by the board of his or her eligibility for a permit shall be deemed to have abandoned the application and must file a new application in compliance with all of the requirements for a permit which are in effect at the time of reapplication.
NOTE

Authority cited: Section 5010, Business and Professions Code. Reference: Sections 5070, 5070.7, 5130 and 5134, Business and Professions Code.
HISTORY

1. New section filed 7-10-64; effective thirtieth day thereafter (Register 64, No. 15).
2. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
§37. Reissuance.
Note     •     History

A certified public accountant (CPA) whose certificate has been cancelled by the operation of Business and Professions Code Section 5070.7 may apply for and obtain a new certificate if the applicant is otherwise qualified under the provisions of Section 5070.7 and the applicant meets the requirements of subsection (a) or (b) of this section. The reissued certificate will permit the CPA to perform the same services as did the cancelled certificate except that a CPA whose cancelled certificate authorized signing reports on attest engagements may choose to be reissued a certificate that does not provide this authorization.
(a) Within three years preceding the date of application, the applicant has completed at least 48 hours of continuing education as specified in paragraphs (1) or (2) of this subsection and has submitted the certificates of completion for those courses to the Board:
(1) For an applicant whose reissued certificate will authorize signing reports on attest engagements, courses in the following subject areas are required: financial accounting standards, auditing standards, compilation and review, and other comprehensive basis of accounting.
(2) For an applicant whose reissued certificate will not authorize signing reports on attest engagements, courses in the following subject areas are required: general accounting, and other comprehensive basis of accounting.
(b) In lieu of meeting the requirements of subsection (a) of this section, the applicant may choose to retake and successfully complete the entire Uniform CPA examination.
NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Section 5070.7, Business and Professions Code.
HISTORY

1. New section filed 6-19-90; operative 7-19-90 (Register 90, No. 33).
2. Amendment filed 6-12-2002; operative 6-12-2002  pursuant to Government Code section 11343.4 (Register 2002, No. 24).
3. Amendment filed 9-19-2008; operative 10-19-2008 (Register 2008, No. 38).
Article 6. Peer Review
§38. Purpose of this Article.
Note     •     History

This Article implements Sections 5076 and 5076.1 of the Accountancy Act related to Peer Review. 
NOTE

Authority cited: Sections 5010, 5076 and 5076.1, Business and Professions Code. Reference: Sections 5076 and 5076.1, Business and Professions Code. 
HISTORY

1. New section filed 12-21-2010; operative 1-20-2011 (Register 2010, No. 52).
§39. Definitions.
Note     •     History

The following definitions shall apply to Article 6 -- Peer Review:
(a) Accounting and Auditing Practice: Any services that are performed using the following professional standards: Statements on Auditing Standards (SASs), Statements on Standards for Accounting and Review Services (SSARS), Statements on Standards on Attestation Engagements (SSAEs), Government Auditing Standards, and audits of non-Security Exchange Commission (SEC) issuers performed pursuant to the standards of the Public Company Accounting Oversight Board (PCAOB). 
(b) Peer Review Report: A report issued to the peer reviewed firm which documents the findings and conclusions reached by a qualified peer reviewer and issued in accordance with Section 48(b) of this Article. 
(c) Pass Peer Review Report: A report issued to the peer reviewed firm in accordance with either Section 48(b)(1)(A) or 48(b)(2)(A) of this Article. 
(d) Pass With Deficiencies Peer Review Report: A report issued to the peer reviewed firm in accordance with either Section 48(b)(1)(B) or 48(b)(2)(B) of this Article. 
(e) Substandard Peer Review Report: A report issued to the peer reviewed firm under either Section 48(b)(1)(C) or 48(b)(2)(C) of this Article. 
(f) Peer Reviewer: A certified public accountant holding a valid and active license to practice public accounting in good standing issued by this state or some other state who (1) maintains a currency of knowledge in professional standards governing accounting and auditing engagements, (2) meets the qualifications of Section 48(c) of this Article, and (3) is unaffiliated with the firm being reviewed. 
(g) Peer Review Team: One or more individuals who collectively conduct a peer review, at least one of whom is a qualified peer reviewer. 
NOTE

Authority cited: Sections 5010 and 5076, Business and Professions Code. Reference: Section 5076, Business and Professions Code. 
HISTORY

1. New article 6 (sections 39-48.6) and section filed 12-10-2009 as an emergency; operative 1-1-2010 (Register 2009, No. 50). A Certificate of Compliance must be transmitted to OAL by 6-30-2010 or emergency language will be repealed by operation of law on the following day. For prior history of article 6, section 39, see Register 62, No. 11.
2. New article 6 (sections 39-48.6) and section refiled 6-18-2010 as an emergency; operative 6-30-2010 (Register 2010, No. 25). A Certificate of Compliance must be transmitted to OAL by 9-29-2010 or emergency language will be repealed by operation of law on the following day. 
3. New article 6 (sections 39-48.6) and section refiled 9-22-2010 as an emergency; operative 9-29-2010 (Register 2010, No. 39). A Certificate of Compliance must be transmitted to OAL by 12-28-2010 or emergency language will be repealed by operation of law on the following day. 
4. Certificate of Compliance as to 9-22-2010 order, including new introductory paragraph, transmitted to OAL 11-5-2010 and filed 12-20-2010 (Register 2010, No. 52).
§40. Enrollment and Participation.
Note     •     History

(a) Commencing with the operative date prescribed by Section 45(b), a firm operating or maintaining an accounting and auditing practice shall have a peer review report accepted by a Board-recognized peer review program within 36 months prior to its first reporting date and have a peer review report accepted by a Board-recognized peer review program once every three years in order to renew its license. 
(b) Each firm licensed after the operative date of this Article that performs services in an accounting and auditing practice shall have a peer review report accepted by a Board-recognized peer review program within 18 months of the completion of the services. 
(c) Should a firm begin performing services as defined in Section 39(a) of this Article after the operative date prescribed by Section 45(b), the firm shall have a peer review report accepted by a Board-recognized peer review program within 18 months of the completion of the services. 
NOTE

Authority cited: Sections 5010 and 5076, Business and Professions Code. Reference: Section 5076, Business and Professions Code. 
HISTORY

1. New section filed 12-10-2009 as an emergency; operative 1-1-2010 (Register 2009, No. 50). A Certificate of Compliance must be transmitted to OAL by 6-30-2010 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-18-2010 as an emergency; operative 6-30-2010 (Register 2010, No. 25). A Certificate of Compliance must be transmitted to OAL by 9-29-2010 or emergency language will be repealed by operation of law on the following day. 
3. New section refiled 9-22-2010 as an emergency; operative 9-29-2010 (Register 2010, No. 39). A Certificate of Compliance must be transmitted to OAL by 12-28-2010 or emergency language will be repealed by operation of law on the following day. 
4. Certificate of Compliance as to 9-22-2010 order transmitted to OAL 11-5-2010 and filed 12-20-2010 (Register 2010, No. 52).
§41. Firm Responsibilities.
Note     •     History

A firm shall enroll with a Board-recognized peer review program provider, and shall cooperate with the Board-recognized peer review program provider with which the firm is enrolled to arrange, schedule, and complete a peer review, in addition to taking and completing any remedial or corrective actions prescribed by the Board-recognized peer review program provider. 
NOTE

Authority cited: Sections 5010 and 5076, Business and Professions Code. Reference: Section 5076, Business and Professions Code. 
HISTORY

1. New section filed 12-10-2009 as an emergency; operative 1-1-2010 (Register 2009, No. 50). A Certificate of Compliance must be transmitted to OAL by 6-30-2010 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-18-2010 as an emergency; operative 6-30-2010 (Register 2010, No. 25). A Certificate of Compliance must be transmitted to OAL by 9-29-2010 or emergency language will be repealed by operation of law on the following day. 
3. New section refiled 9-22-2010 as an emergency; operative 9-29-2010 (Register 2010, No. 39). A Certificate of Compliance must be transmitted to OAL by 12-28-2010 or emergency language will be repealed by operation of law on the following day. 
4. Certificate of Compliance as to 9-22-2010 order, including amendment of section, transmitted to OAL 11-5-2010 and filed 12-20-2010 (Register 2010, No. 52).
§42. Exclusions.
Note     •     History

(a) The following shall be excluded from the peer review requirement: 
(1) Any of a firm's engagements subject to inspection by the Public Company Accounting Oversight Board as part of its inspection program. 
(2) Firms, which as their highest level of work, perform only compilations where no report is issued in accordance with the provisions of the Statements on Standards for Accounting and Review Services (SSARS). 
NOTE

Authority cited: Sections 5010 and 5076, Business and Professions Code. Reference: Section 5076, Business and Professions Code. 
HISTORY

1. New section filed 12-10-2009 as an emergency; operative 1-1-2010 (Register 2009, No. 50). A Certificate of Compliance must be transmitted to OAL by 6-30-2010 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-18-2010 as an emergency; operative 6-30-2010 (Register 2010, No. 25). A Certificate of Compliance must be transmitted to OAL by 9-29-2010 or emergency language will be repealed by operation of law on the following day. 
3. New section refiled 9-22-2010 as an emergency; operative 9-29-2010 (Register 2010, No. 39). A Certificate of Compliance must be transmitted to OAL by 12-28-2010 or emergency language will be repealed by operation of law on the following day. 
4. Certificate of Compliance as to 9-22-2010 order transmitted to OAL 11-5-2010 and filed 12-20-2010 (Register 2010, No. 52).
§43. Extensions.
Note     •     History

(a) Should an extension of time be needed to have a peer review report accepted by a Board-recognized peer review program such request shall be submitted to the Board-recognized peer review program with which the firm is enrolled for consideration and approval or denial. 
(b) If the extension granted extends past the firm's reporting date, the firm shall notify the Board of the extension and provide proof of the extension. The firm shall report the results of the peer review to the Board on form PR-1 (01/10), as referenced in Section 45, within 45 days of the peer review report being accepted by a Board-recognized peer review program. 
NOTE

Authority cited: Sections 5010 and 5076, Business and Professions Code. Reference: Section 5076, Business and Professions Code. 
HISTORY

1. New section filed 12-10-2009 as an emergency; operative 1-1-2010 (Register 2009, No. 50). A Certificate of Compliance must be transmitted to OAL by 6-30-2010 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-18-2010 as an emergency; operative 6-30-2010 (Register 2010, No. 25). A Certificate of Compliance must be transmitted to OAL by 9-29-2010 or emergency language will be repealed by operation of law on the following day. 
3. New section refiled 9-22-2010 as an emergency; operative 9-29-2010 (Register 2010, No. 39). A Certificate of Compliance must be transmitted to OAL by 12-28-2010 or emergency language will be repealed by operation of law on the following day. 
4. Certificate of Compliance as to 9-22-2010 order transmitted to OAL 11-5-2010 and filed 12-20-2010 (Register 2010, No. 52).
Article 7. Meetings
§44. Notification of Expulsion.
Note     •     History

A firm that is expelled by a Board-recognized peer review program shall notify the Board in writing within 30 days and provide the name of the Board-recognized peer review program and reason(s) given to the firm by the peer review program for the expulsion. 
NOTE

Authority cited: Sections 5010 and 5076, Business and Professions Code. Reference: Section 5076, Business and Professions Code. 
HISTORY

1. New section filed 12-10-2009 as an emergency; operative 1-1-2010 (Register 2009, No. 50). A Certificate of Compliance must be transmitted to OAL by 6-30-2010 or emergency language will be repealed by operation of law on the following day. For prior history of article 7, section 44, see Register 83, No. 16.
2. New section refiled 6-18-2010 as an emergency; operative 6-30-2010 (Register 2010, No. 25). A Certificate of Compliance must be transmitted to OAL by 9-29-2010 or emergency language will be repealed by operation of law on the following day. 
3. New section refiled 9-22-2010 as an emergency; operative 9-29-2010 (Register 2010, No. 39). A Certificate of Compliance must be transmitted to OAL by 12-28-2010 or emergency language will be repealed by operation of law on the following day. 
4. Certificate of Compliance as to 9-22-2010 order transmitted to OAL 11-5-2010 and filed 12-20-2010 (Register 2010, No. 52).
§45. Reporting to the Board.
Note     •     History

(a) Based on the dates identified in subsection (b), a firm shall report to the Board specific peer review information as required on Form PR-1 (1/10), which is hereby incorporated by reference.
(b) The operative date of existing California-licensed firms to begin reporting peer review results shall be based on a firm's license number according to the following schedule: for license numbers ending with 01-33 the reporting date is no later than July 1, 2011; for license numbers ending with 34-66 the reporting date is no later than July 1, 2012; for license numbers ending with 67-00 the reporting date is no later than July 1, 2013. 
(c) A firm licensed after the operative date of this Article that performs accounting and auditing services or a firm not previously required to undergo a peer review shall have a peer review report accepted by a Board-recognized peer review program no later than 18-months after the completion of the services as required by Section 40. Upon the acceptance of the peer review report, the firm shall report  specific peer review information to the Board on form PR-1 (1/10).
NOTE

Authority cited: Sections 5010 and 5076, Business and Professions Code. Reference: Section 5076, Business and Professions Code. 
HISTORY

1. New section filed 12-10-2009 as an emergency; operative 1-1-2010 (Register 2009, No. 50). A Certificate of Compliance must be transmitted to OAL by 6-30-2010 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-18-2010 as an emergency; operative 6-30-2010 (Register 2010, No. 25). A Certificate of Compliance must be transmitted to OAL by 9-29-2010 or emergency language will be repealed by operation of law on the following day. 
3. New section refiled 9-22-2010 as an emergency; operative 9-29-2010 (Register 2010, No. 39). A Certificate of Compliance must be transmitted to OAL by 12-28-2010 or emergency language will be repealed by operation of law on the following day. 
4. Certificate of Compliance as to 9-22-2010 order, including amendment of section, transmitted to OAL 11-5-2010 and filed 12-20-2010 (Register 2010, No. 52).
§46. Document Submission Requirements.
Note     •     History

(a) A firm receiving a peer review report issued under Section 48(b)(1)(C) or (b)(2)(C) shall submit a copy of the peer review report to the Board including any materials documenting the prescription of remedial or corrective actions imposed by a Board-recognized peer review program provider within 45 days of the peer review report being accepted by a Board-recognized peer review program provider. A firm shall also submit to the Board, within the same 45-day reporting period, any materials, if available, documenting completion of any or all of the prescribed remedial or corrective actions. 
(b) Upon request by the Board, a firm shall submit to the Board all requested documents related to the peer review including: 
(1) If the firm received a peer review report issued under Section 48(b)(1)(A) or (b)(2)(A) it shall submit the copy of the peer review report including materials documenting the acceptance of the report. 
(2) If the firm received a peer review report issued under Section 48(b)(1)(B) or (b)(2)(B) it shall submit the copy of peer review report including any materials documenting the prescription of remedial or corrective actions imposed by a Board-recognized peer review program provider. In addition, a firm shall also submit any materials, if available,  documenting completion of any or all of the prescribed remedial or corrective actions. 
(c) Any documents required for submission as part of this section may be submitted electronically. 
NOTE

Authority cited: Sections 5010 and 5076, Business and Professions Code. Reference: Section 5076, Business and Professions Code. 
HISTORY

1. New section filed 12-10-2009 as an emergency; operative 1-1-2010 (Register 2009, No. 50). A Certificate of Compliance must be transmitted to OAL by 6-30-2010 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-18-2010 as an emergency; operative 6-30-2010 (Register 2010, No. 25). A Certificate of Compliance must be transmitted to OAL by 9-29-2010 or emergency language will be repealed by operation of law on the following day. 
3. New section refiled 9-22-2010 as an emergency; operative 9-29-2010 (Register 2010, No. 39). A Certificate of Compliance must be transmitted to OAL by 12-28-2010 or emergency language will be repealed by operation of law on the following day. 
4. Certificate of Compliance as to 9-22-2010 order transmitted to OAL 11-5-2010 and filed 12-20-2010 (Register 2010, No. 52).
§47. Peer Review Oversight Committee.
Note     •     History

(a) The Peer Review Oversight Committee shall be comprised of not more than seven licensees. The licensees shall maintain a valid and active license to practice public accounting in California issued by the Board. 
(b) No member of the committee shall be a current member or employee of the Board. 
(c) The committee shall hold meetings as necessary in order to conduct business and shall report to the Board regarding the effectiveness of mandatory peer review. This shall include an annual report to the Board regarding the results of its oversight, and shall include the scope of work, findings, and conclusions regarding its oversight. 
(d) The committee is authorized to request from a Board-recognized peer review program provider those materials necessary to perform its review. 
(e) Should a Board-recognized peer review program provider fail to respond to any request, the committee shall refer the matter to the Board. 
(f) The committee shall review and recommend to the Board for approval peer review program provider applications for recognition by the Board. 
NOTE

Authority cited: Sections 5010 and 5076.1, Business and Professions Code. Reference: Section 5076.1, Business and Professions Code. 
HISTORY

1. New section filed 12-21-2010; operative 1-20-2011 (Register 2010, No. 52).
§48. Minimum Requirements for a Peer Review Program.
Note     •     History

For a peer review program provider to receive Board recognition and be authorized to administer peer reviews in California, the peer review program provider shall submit evidence to the satisfaction of the Board that the peer review program is comprised of a set of standards for performing, reporting on, and administering peer reviews. A peer review program shall include the following components: 
(a) Peer Review Types 
A peer review program shall have a minimum of two types of peer reviews that include the following: 
(1) For firms performing engagements under the Statements on Auditing Standards (SASs), Government Auditing Standards, examinations of prospective financial statements under the Statements on Standards on Attestation Engagements (SSAEs), or audits of non-Security Exchange Commission (SEC) issuers performed pursuant to the standards of the Public Company Accounting Oversight Board (PCAOB), the firm shall undergo a peer review designed to test the firm's system of quality control. The scope of the peer review shall be such that it provides a peer reviewer with a reasonable assurance that a firm's system of quality control was designed in accordance with professional standards and was complied with by a firm's personnel. 
(2) For firms only performing engagements under the Statements on Standards for Accounting and Review Services (SSARS) or under Statements on Standards on Attestation Engagements (SSAEs) not encompassed in review performed under subsection (a)(1), the firm shall undergo a peer review designed to test a cross-section of a firm's engagements to assess whether the engagements were performed in conformity with the applicable professional standards. 
(b) Peer Review Report Issuance 
(1) For firms undergoing peer reviews pursuant to subsection (a)(1), one of the following three types of peer review reports shall be issued: 
(A) A peer review report indicating that a peer reviewer or peer review team concluded that a firm's system of quality control was suitably designed and complied with by the firm's personnel, which provides the firm with reasonable assurance of performing and reporting on engagements in conformity with applicable professional standards. 
(B) A peer review report indicating that a peer reviewer or peer review team concluded that a firm's system of quality control was suitably designed and complied with by the firm's personnel with the exception of a certain deficiency or deficiencies that are described in the report. The deficiencies are such that the firm's design of or compliance with its system could create a situation in which the firm would have less than reasonable assurance of performing and/or reporting on engagements in conformity with applicable professional standards. 
(C) A peer review report indicating that a peer reviewer or peer review team concluded that a firm's system of quality control is not suitably designed or complied with by the firm's personnel, and thus, does not provide the firm with reasonable assurance of performing and reporting on engagements in conformity with applicable professional standards. 
(2) For firms undergoing peer reviews pursuant to subsection (a)(2), one of the following three types of peer review reports shall be issued: 
(A) A peer review report indicating that a peer reviewer or peer review team concluded that there was no evidence which would cause the peer reviewer to believe that the engagements performed by the firm were not performed in conformity with applicable professional standards. 
(B) A peer review report indicating that a peer reviewer or peer review team concluded that, with the exception of a certain deficiency or deficiencies, nothing would cause the peer reviewer to believe that the engagements performed by the firm and submitted for review were not performed in conformity with applicable professional standards. The deficiencies identified were such that the peer reviewer concluded they were material to the understanding of the report or financial statements or represented omission of critical procedures required by applicable professional standards. 
(C) A peer review report indicating that a peer reviewer or peer review team concluded that the engagements reviewed were not performed and/or reported on in conformity with applicable professional standards. In issuing such report, the peer reviewer shall assess both the significance of the deficiencies identified and the pervasiveness of the deficiencies. 
(c) Peer Reviewer Qualifications 
A peer review program shall include minimum qualifications for an individual to qualify as a peer reviewer. The qualifications shall, at a minimum, include the following: 
(1) Have a valid and active license in good standing to practice public accounting issued by this state or other state. 
(2) Be actively involved and practicing at a supervisory level in a firm's accounting and auditing practice. 
(3) Maintain a currency of knowledge of the professional standards related to accounting and auditing, including those expressly related to the type or kind of practice to be reviewed. 
(4) Provide the Board-recognized peer review program provider with his/her qualifications to be a reviewer, including recent industry experience. 
(5) Be associated with a firm that has received a peer review report issued in accordance with subsection (b)(1)(A) or (b)(2)(A) of this section or has received a peer review rating of pass or unmodified as part of the American Institute of Certified Public Accountants Peer Review Program as part of the firm's last peer review. 
(d) Planning and Performing Peer Reviews 
A peer review program shall include minimum guidelines and/or standards for planning and performing peer reviews commensurate with the type of peer review being performed to include, but not limited to, the following: 
(1) For peer reviews performed in accordance with subsection (a)(1) of this section, a peer review program's guidelines and/or standards shall include the following: 
(A) Ensuring that prior to performing a peer review, a peer reviewer or a peer review team takes adequate steps in planning a peer review to include the following: (i) obtain the results of a firm's prior peer review (if applicable), (ii) obtain sufficient understanding of the nature and extent of a firm's accounting and auditing practice, (iii) obtain a sufficient understanding of a firm's system of quality control and the manner in which the system is monitored by a firm, and (iv) select a representative cross-section of a firm's engagements. 
(B) In performing a peer review, the peer reviewer or peer review team shall test the reviewed engagements while assessing the adequacy of and compliance with a firm's system of quality control. The peer review is intended to provide the peer reviewer or peer review team with reasonable basis for expressing an opinion as to whether a firm's system of quality control is suitably designed and complied with by a firm's personnel such that the firm has reasonable assurance of performing and reporting on engagements in conformity with applicable professional standards. 
(2) For peer reviews performed in accordance with subsection (a)(2) of this section, a peer review program's guidelines and/or standards shall include the following: 
(A) Ensuring that prior to performing a peer review, a peer reviewer or peer review team select a representative cross-section of a firm's accounting and auditing engagements to include at a minimum one engagement for each partner, shareholder, owner, principal, or licensee authorized to issue reports. 
(B) In performing a peer review, the peer reviewer or peer review team shall review the selected engagements to determine if the engagements were performed in conformity with the applicable professional standards. 
(3) Nothing in a peer review program provider's guidelines and/or standards shall prohibit a peer reviewer or peer review team from disclosing pertinent peer review-related information regarding a firm to a subsequent peer reviewer. 
(e) Peer Review Program Plan of Administration and Accepting Peer Review Reports 
(1) The administration plan shall clearly outline the manner in which the peer review program provider intends on administering peer reviews and shall, at a minimum, include the following: 
(A) Identify a peer review committee, and if necessary subcommittees, and employ knowledgeable staff for the operation of the review program as needed. 
(B) Establish and perform procedures for ensuring that reviews are performed and reported on in accordance with the program's established standards for performing and reporting on peer reviews. 
(C) Establish a program to communicate to firms participating in the peer review program the latest developments in peer review standards and the most common findings in peer reviews conducted by the Board-recognized peer review program provider. 
(D) Establish and document procedures for an adjudication process designed to resolve any disagreement(s) which may arise out of the performance of a peer review, and resolve matters which may lead to the dismissal of a firm from the provider's peer review program. 
(E) Establish guidelines for prescribing remedial or corrective actions designed to assure correction of the deficiencies identified in a firm's peer review report. 
(F) Establish guidelines for monitoring the prescribed remedial and corrective actions to determine compliance by the reviewed firm. 
(G) Establish and document procedures for ensuring adequate peer reviewers to perform peer reviews. This shall include ensuring a breadth of knowledge related to industry experience. 
(H) Establish and document procedures to ensure the qualifications of peer reviewers and to evaluate a peer reviewer's performance on peer reviews. 
(I) Establish a training program or training programs designed to maintain or increase a peer reviewer's currency of knowledge related to performing and reporting on peer reviews. 
(J) Establish and document procedures to ensure that a firm requiring a peer review selects a peer reviewer with similar practice experience and industry knowledge, and peer reviewer is performing a peer review for a firm with which the reviewer has similar practice experience and industry knowledge. 
(K) Require the maintenance of records of peer reviews conducted under the program. Such records shall include, at a minimum, written records of all firms enrolled in the peer review program and documents required for submission under Section 46, with these documents to be retained until the completion of a firm's subsequent peer review. 
(L) Provide to the Board's Peer Review Oversight Committee access to all materials and documents required for the administration of peer reviews. 
(2) As required by subsection (e)(1)(A) of this section, the peer review program provider shall establish a peer review committee to assist in the review and acceptance of peer review reports. The peer review program provider's committee shall: 
(A) Meet regularly to consider and accept peer review reports. 
(B) Assist the peer review program provider in resolving instances in which there is a lack of cooperation and agreement between a peer reviewer and/or reviewed firm in accordance with the peer review program's adjudication process. 
(C) Make a final determination on a peer review report pursuant to subdivision (b). 
(f) The peer review committee established by the peer review program provider shall comply with the following in relation to the composition of the committee: 
(1) All committee members shall meet the peer reviewer qualification requirements established in Section 48(c). 
(2) In determining the size of the committee, consideration shall be given to the requirement for broad industry experience, and the likelihood that some members will need to recuse themselves from some reviews as a result of the member's close association to the firm or having performed the review. 
(3) No committee member may concurrently serve as a member of the Board. 
(4) A committee member may not participate in any discussion or have any vote with respect to a reviewed firm when the member lacks independence as defined by California Code of Regulations Section 65 or has a conflict of interest. Examples of conflicts of interest include, but are not limited to: 
(A) the member's firm has performed the most recent peer review of the reviewed firm's accounting and auditing practice. 
(B) the member served on the review team which performed the current or the immediately preceding review of the firm. 
(C) the member believes he/she cannot be impartial or objective. 
(5) Each member of the committee shall comply with all confidentiality requirements. The peer review program provider shall annually require its committee members to sign a statement acknowledging their appointments and the responsibilities and obligations of their appointments. 
NOTE

Authority Cited: Sections 5010 and 5076, Business and Professions Code. Reference: Section 5076, Business and Professions Code. 
HISTORY

1. New section filed 12-10-2009 as an emergency; operative 1-1-2010 (Register 2009, No. 50). A Certificate of Compliance must be transmitted to OAL by 6-30-2010 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-18-2010 as an emergency; operative 6-30-2010 (Register 2010, No. 25). A Certificate of Compliance must be transmitted to OAL by 9-29-2010 or emergency language will be repealed by operation of law on the following day. 
3. New section refiled 9-22-2010 as an emergency; operative 9-29-2010 (Register 2010, No. 39). A Certificate of Compliance must be transmitted to OAL by 12-28-2010 or emergency language will be repealed by operation of law on the following day. 
4. Certificate of Compliance as to 9-22-2010 order, including amendment of section, transmitted to OAL 11-5-2010 and filed 12-20-2010 (Register 2010, No. 52).
§48.1. Board-Recognition of the American Institute of Certified Public Accountants, Inc. Peer Review Program.
Note     •     History

The American Institute of Certified Public Accountants, Inc. Peer Review Program is hereby recognized as meeting the minimum peer review program requirements as outlined in Section 48 of this Article and is authorized to administer peer reviews in California. If in the future the Board deems the American Institute of Certified Public Accountants, Inc. Peer Review Program to no longer meet the minimum qualifications specified in Section 48 of this Article, the Board shall rescind its recognition pursuant to Section 48.5 of this Article. 
NOTE

Authority cited: Sections 5010 and 5076, Business and Professions Code. Reference: Section 5076, Business and Professions Code. 
HISTORY

1. New section filed 12-10-2009 as an emergency; operative 1-1-2010 (Register 2009, No. 50). A Certificate of Compliance must be transmitted to OAL by 6-30-2010 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-18-2010 as an emergency; operative 6-30-2010 (Register 2010, No. 25). A Certificate of Compliance must be transmitted to OAL by 9-29-2010 or emergency language will be repealed by operation of law on the following day. 
3. New section refiled 9-22-2010 as an emergency; operative 9-29-2010 (Register 2010, No. 39). A Certificate of Compliance must be transmitted to OAL by 12-28-2010 or emergency language will be repealed by operation of law on the following day. 
4. Certificate of Compliance as to 9-22-2010 order transmitted to OAL 11-5-2010 and filed 12-20-2010 (Register 2010, No. 52).
§48.2. Applying to Become a Board-Recognized Peer Review Program.
Note     •     History

Prior to receiving Board recognition to perform peer reviews in California, a peer review program provider shall submit the following application: Application to Become a Board-Recognized Peer Review Program (1/10), which is hereby incorporated by reference. With the application, the firm shall submit materials evidencing the program meets the requirements outlined in Section 48. 
NOTE

Authority Cited: Sections 5010 and 5076, Business and Professions Code. Reference: Section 5076, Business and Professions Code. 
HISTORY

1. New section filed 12-10-2009 as an emergency; operative 1-1-2010 (Register 2009, No. 50). A Certificate of Compliance must be transmitted to OAL by 6-30-2010 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-18-2010 as an emergency; operative 6-30-2010 (Register 2010, No. 25). A Certificate of Compliance must be transmitted to OAL by 9-29-2010 or emergency language will be repealed by operation of law on the following day. 
3. New section refiled 9-22-2010 as an emergency; operative 9-29-2010 (Register 2010, No. 39). A Certificate of Compliance must be transmitted to OAL by 12-28-2010 or emergency language will be repealed by operation of law on the following day. 
4. Certificate of Compliance as to 9-22-2010 order, including amendment of section, transmitted to OAL 11-5-2010 and filed 12-20-2010 (Register 2010, No. 52).
§48.3. Board-Recognized Peer Review Program Provider Reporting Responsibilities.
Note     •     History

(a) Upon request of the Board or Peer Review Oversight Committee, a Board-recognized peer review program provider shall make available, at a minimum, the following: 
(1) Standards, procedures, guidelines, training materials, and similar documents prepared for the use of reviewers and reviewed firms. 
(2) Information concerning the extent to which the Board-recognized peer review program provider has reviewed the quality of reviewers' working papers in connection with the acceptance of reviews. 
(3) Statistical data maintained by the Board-recognized peer review program provider related to its role in the administration of peer reviews. 
(4) Information concerning the extent to which the Board-recognized peer review program provider has reviewed the qualifications of its reviewers. 
(5) Sufficient documents to conduct sample reviews of peer reviews accepted by the Board-recognized peer review program provider. These may include, but are not limited to, the report; reviewer working papers prepared or reviewed by the Board-recognized peer review program's peer review committee in association with the acceptance of the review; and materials concerning the acceptance of the review, including, but not limited to, the imposition of required remedial or corrective actions; the monitoring procedures applied; and the results. 
(b) A Board-recognized peer review program provider shall provide the Board, in writing or electronically, the name of any California-licensed firm expelled from the peer review program and provide the reason(s) for expulsion. The Board-recognized peer review program provider shall submit this information to the Board within 30 days of notifying the firm of its expulsion. 
(1) Nothing in this subsection shall require a Board-recognized peer review program provider, when administering peer reviews in another state, to violate the laws of that state. 
(c) A Board-recognized peer review program provider shall provide the Board, in writing or electronically, a copy of all substandard peer review reports issued to California-licensed firms within 60 days from the time the report is accepted by the Board-recognized peer review program provider.
NOTE

Authority cited: Sections 5010, 5076 and 5076.1, Business and Professions Code. Reference: Sections 5076 and 5076.1, Business and Professions Code. 
HISTORY

1. New section filed 12-10-2009 as an emergency; operative 1-1-2010 (Register 2009, No. 50). A Certificate of Compliance must be transmitted to OAL by 6-30-2010 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-18-2010 as an emergency; operative 6-30-2010 (Register 2010, No. 25). A Certificate of Compliance must be transmitted to OAL by 9-29-2010 or emergency language will be repealed by operation of law on the following day. 
3. New section refiled 9-22-2010 as an emergency; operative 9-29-2010 (Register 2010, No. 39). A Certificate of Compliance must be transmitted to OAL by 12-28-2010 or emergency language will be repealed by operation of law on the following day. 
4. Certificate of Compliance as to 9-22-2010 order transmitted to OAL 11-5-2010 and filed 12-20-2010 (Register 2010, No. 52).
5. Amendment of subsections (a)(5)-(b)(1), new subsection (c) and amendment of Note filed 4-25-2011; operative 5-25-2011 (Register 2011, No. 17).
§48.4. Reconsideration of a Denied Applicant.
Note     •     History

(a) An applicant pursuant to Section 48.2 whose peer review program has been denied by the Board may request an informal hearing of such action to the Board. The request for an informal hearing shall be filed within six months of the denial or the mailing of written notification, whichever is later. The appeal shall contain the following information: 
(1) The name and business address of the provider making the appeal. 
(2) The action being appealed and the date of any written notification by the Board. 
(3) A summary of the basis for the request for an informal hearing, including any information which the provider believes was not given adequate consideration by the Board. 
(b) The Board will consider only requests based on information previously submitted. If the provider submits for reconsideration additional evidence or information not previously submitted to the Board, such additional information should be submitted directly to the Peer Review Oversight Committee with the request that its previous recommendation be reconsidered. A request based on evidence or information not previously submitted to the Board will be referred by the Board to the Peer Review Oversight Committee for further consideration. 
NOTE

Authority cited: Sections 5010, 5076 and 5076.1, Business and Professions Code. Reference: Sections 5076 and 5076.1, Business and Professions Code. 
HISTORY

1. New section filed 12-21-2010; operative 1-20-2011 (Register 2010, No. 52).
§48.5. Withdrawal of Board Recognition.
Note     •     History

(a) The Board may rescind and withdraw its recognition of a peer review program if it is determined that the peer review program is not in compliance with the requirements of this Article, the provider failed to respond to an informational request by the Board or the Peer Review Oversight Committee, or the provider made any material misrepresentation of fact related to any information required to be submitted to the Board or the Peer Review Oversight Committee. 
(b) The order of withdrawal of Board recognition shall be issued by the Board or its executive officer, without prior notice or hearing, and is effective immediately when mailed to the peer review program provider's address of record. 
(c) The order of withdrawal of Board recognition shall contain the following: 
(1) The reason for the withdrawal, including the specific statutes and regulations with which the program showed non-compliance. 
(2) A statement that the peer review program provider has the right, within 30 days, to request an informal hearing to appeal the withdrawal of Board recognition. 
(3) A statement that any informal hearing shall be scheduled before the Board or its designee, at which time a peer review program provider shall be afforded the opportunity to be heard. 
(d) To maintain recognition, the burden of proof shall be placed on the peer review program provider to demonstrate both qualifications and fitness to perform peer reviews in California by producing proof at a hearing before the Board. 
(e) If the peer review program provider fails to notify the Board's executive officer in writing and in a timely manner that it desires to contest the written withdrawal of Board recognition, the decision to withdraw approval shall become final. 
NOTE

Authority cited: Sections 5010, 5076 and 5076.1, Business and Professions Code. Reference: Section 5076, Business and Professions Code. 
HISTORY

1. New section filed 12-10-2009 as an emergency; operative 1-1-2010 (Register 2009, No. 50). A Certificate of Compliance must be transmitted to OAL by 6-30-2010 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-18-2010 as an emergency; operative 6-30-2010 (Register 2010, No. 25). A Certificate of Compliance must be transmitted to OAL by 9-29-2010 or emergency language will be repealed by operation of law on the following day. 
3. New section refiled 9-22-2010 as an emergency; operative 9-29-2010 (Register 2010, No. 39). A Certificate of Compliance must be transmitted to OAL by 12-28-2010 or emergency language will be repealed by operation of law on the following day. 
4. Certificate of Compliance as to 9-22-2010 order, including amendment of section, transmitted to OAL 11-5-2010 and filed 12-20-2010 (Register 2010, No. 52).
§48.6. Records of Proceedings.
Note     •     History

For any informal hearings conducted by the Board pursuant to Sections 48.4 and 48.5 of this Article, the Board shall maintain a record of its proceedings, such as the minutes of the meeting or an audio recording of the meeting. 
NOTE

Authority cited: Sections 5010, 5076 and 5076.1, Business and Professions Code. Reference: Section 5076, Business and Professions Code.
HISTORY

1. New section filed 12-10-2009 as an emergency; operative 1-1-2010 (Register 2009, No. 50). A Certificate of Compliance must be transmitted to OAL by 6-30-2010 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction (Register 2010, No. 25).
3. New section refiled 6-18-2010 as an emergency; operative 6-30-2010 (Register 2010, No. 25). A Certificate of Compliance must be transmitted to OAL by 9-29-2010 or emergency language will be repealed by operation of law on the following day. 
4. New section refiled 9-22-2010 as an emergency; operative 9-29-2010 (Register 2010, No. 39). A Certificate of Compliance must be transmitted to OAL by 12-28-2010 or emergency language will be repealed by operation of law on the following day. 
5. Certificate of Compliance as to 9-22-2010 order transmitted to OAL 11-5-2010 and filed 12-20-2010 (Register 2010, No. 52).
6. Amendment filed 12-21-2010; operative 1-20-2011 (Register 2010, No. 52).
Article 8. Appeals
§49. Appeals.
Note     •     History

(a) Any applicant who is aggrieved by any action of any of the board's committees or its staff may appeal from such action to the board. The appeal shall be filed within 24 months of the action being appealed or the mailing of written notification from the board, whichever is later. Two signed copies of the appeal shall be mailed or delivered to the office of the State Board of Accountancy. The appeal shall contain the following information:
(1) The name, business address and residence address of the applicant making the appeal.
(2) The action being appealed from and the date of any written notification from the board.
(3) A summary of the basis for the appeal, including any information which the applicant believes was not given adequate consideration by the committee or staff.
(b) The board will consider only appeals based on information previously considered by its committees or staff. If the applicant wishes to submit for consideration additional evidence or information not previously submitted to the board's committee or staff, such additional information should be submitted directly to the committee or staff within the request that its previous action be reconsidered. An appeal based on evidence or information not previously submitted to the committee or staff will be referred by the board to the appropriate committee or staff for further consideration.
NOTE

Authority cited: Section 5010, Business and Professions Code. Reference: Section 5022, Business and Professions Code.
HISTORY

1. New section filed 10-16-47 (Register 10, No. 1).
2. Amendment filed 2-4-60; effective thirtieth day thereafter (Register 60, No. 3).
3. Amendment filed 6-7-62; effective thirtieth day thereafter (Register 62, No. 11).
4. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
Article 9. Rules of Professional Conduct
§50. Client Notification.
Note     •     History

Every licensee engaged in the practice of public accountancy shall provide notice reasonably calculated to be received by the licensee's clients of the fact that the licensee is licensed by the California Board of Accountancy. For purposes of this section, “licensee” means a Certified Public Account, Public Accountant, accountancy partnership, or accountancy corporation licensed by the California Board of Accountancy. Notice shall be provided by any of the following methods:
(a) Displaying the certificate of licensure issued by the Board in the office or the public area of the premises where the licensee provides the licensed service.
(b) Providing a statement to each client to be signed and dated by the client and retained in that person's records that states the client understands the person is licensed by the California Board of Accountancy.
(c) Including a statement that the licensee is licensed by the California Board of Accountancy either on letterhead or on a contract for services where the notice is placed immediately above the signature line for the client in at least 12 point type.
(d) Posting a notice in a public area of the premises where the licensee provides the licensed services, in at least 48-point type, that states the named licensee is licensed by the California Board of Accountancy.
(e) Any other method of written notice, including a written notice that is electronically transmitted or a written notice posted at an Internet Website.
NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Section 138, Business and Professions Code.
HISTORY

1. New section filed 5-10-2000; operative 6-9-2000 (Register 2000, No. 19).
2. Amendment filed 6-12-2002; operative 6-12-2002  pursuant to Government Code section 11343.4 (Register 2002, No. 24).
§50.1. Attest Client Notification Regarding Composition of Firm Ownership.
Note     •     History

Any licensee employed by a firm in which no licensee owners are authorized to sign reports on attest engagements pursuant to Business and Professions Code Section 5095 must, prior to engaging in attest services, provide written notification to any attest client or prospective attest client of the ownership composition of the firm. Notice shall be provided by any of the following methods:
(a) Providing a statement to the attest client or prospective attest client to be signed and dated by the client and retained in the client's records, which states the client or prospective client understands that no firm owners are authorized to sign reports on attest engagements.
(b) Posting a written notice on the firm's Internet Web site, disclosing all owner's names and whether each is authorized to sign reports on attest engagements pursuant to Business and Professions Code Section 5095.
NOTE

Authority cited: Sections 5010, 5018 and 5095, Business and Professions Code. Reference: Sections 138, 5018 and 5095, Business and Professions Code.
HISTORY

1. New section filed 2-18-2010; operative 3-20-2010 (Register 2010, No. 8).
§51. Firms with Nonlicensee Owners.
Note     •     History

At initial registration and at renewal, all firms shall certify that any nonlicensee owner with his or her principal place of business in this state has been informed regarding the rules of professional conduct applicable to accountancy firms. This certification shall be signed by a licensed partner or licensed shareholder of the firm.
NOTE

Authority cited: Sections 5010, 5018 and 5079, Business and Professions Code. Reference: Section 5079, Business and Professions Code.
HISTORY

1. New section filed 7-22-99; operative 8-21-99 (Register 99, No. 30).
§51.1. Notification of Non-Licensee Ownership.
Note     •     History

(a) Any firm with a nonlicensee owner or owners that has one or more offices located in California shall notify each client served by an office located in California of the actual or potential involvement of a nonlicensee owner or owners in any service to be provided to the client by the firm. Notice shall be provided by any of the following methods: 
(1) Providing a statement to each client served by a California office to be signed and dated by the client and retained in the firm's records that states that the client understands that services will or may be provided by a nonlicensee owner of the firm. 
(2) Including a statement that the firm has a nonlicensee owner or owners who may provide client services in any contract for services, proposal letter, or engagement letter with the client served by a California office. 
(b) A copy of the statement, contract, engagement letter, or proposal letter containing this notice shall be maintained by the public accounting firm in the client's files for a minimum of five years from the date of the notice. 
NOTE

Authority cited: Sections 5010, 5018 and 5079, Business and Professions Code. Reference: Section 5079, Business and Professions Code. 
HISTORY

1. New section filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4). 
§52. Response to Board Inquiry.
Note     •     History

(a) A licensee shall respond to any inquiry by the Board or its appointed representatives within 30 days. The response shall include making available all files, working papers and other documents requested. 
(b) A licensee shall respond to any subpoena issued by the Board or its executive officer or the assistant executive officer in the absence of the executive officer within 30 days and in accordance with the provisions of the Accountancy Act and other applicable laws or regulations. 
(c) A licensee shall appear in person upon written notice or subpoena issued by the Board or its executive officer or the assistant executive officer in the absence of the executive officer. 
(d) A licensee shall provide true and accurate information and responses to questions, subpoenas, interrogatories or other requests for information or documents and not take any action to obstruct any Board inquiry, investigation, hearing or proceeding. 
NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Sections 5018, 5100, 5103 and 5108, Business and Professions Code.
HISTORY

1. Renumbering of former section 54.1 to new section 52 and amendment of section heading filed 8-4-95; operative 9-3-95 (Register 95, No. 31).
2. Repealer and new section and amendment of Note filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4). 
§52.1. Failure to Appear. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Sections 5018 and 5020, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 69.1 to new section 52.1 and amendment of  Note filed 8-4-95; operative 9-3-95 (Register 95, No. 31).
2. Repealer filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4). 
§53. Discrimination Prohibited.
Note     •     History

No licensee or registrant shall engage in any conduct or practice which shall deny any person an opportunity or benefit of employment within the accounting profession based on race, color, religious creed, national origin, ancestry, physical handicap, sex, marital status, sexual orientation or age.
NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Section 5018, Business and Professions Code.
HISTORY

1. New section filed 6-8-81; effective thirtieth day thereafter (Register 81, No. 24).
§54. Confidential Information Defined, Exception.
Note     •     History

“Confidential information” includes all information obtained by a licensee, in his or her professional capacity, concerning a client or a prospective client, except that it does not include information obtained from a prospective client who does not subsequently become a client, where all of the following conditions are met:
(a) The licensee provides reasonable notice to the prospective client or the prospective client's representative that the information will not be treated as confidential information in the event the provider does not become a client and that providing such information will not preclude the licensee from being employed by a party adverse to the potential client in any current or future legal action or proceeding. For purposes of this section “reasonable notice” shall mean the following: (1) With respect to oral communications, including telephonic communications, reasonable notice consists of oral notice to the speaker given immediately by the licensee upon hearing that client information is being presented or will be presented. (2) With respect to written communications, including electronic and facsimile communications, reasonable notice consists of an oral or written notice to the sender within one business day.
(b) The licensee, on request, returns the original and all copies of documents provided by the prospective client or his or her representative within 30 days.
(c) The licensee does not utilize in any manner the information obtained, except that nothing shall prohibit the licensee from utilizing the same information obtained from an independent source such as through litigation discovery.
NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Section 5018, Business and Professions Code.
HISTORY

1. Sections 54-66, inclusive, filed 12-6-47 (Register 10, No. 5). 
2. Amendment filed 10-17-62; effective thirtieth day thereafter (Register 62, No. 22). 
3. Amendment filed 11-17-69; effective thirtieth day thereafter (Register 69, No. 47). 
4. Amendment filed 2-14-75; effective thirtieth day thereafter (Register 75, No. 7). 
5. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16). 
6. Amendment filed 1-5-90; operative 2-4-90 (Register 90, No. 3). 
7. Renumbering of former section 54 to new section 54.1 and  new section filed 8-4-95; operative 9-3-95 (Register 95, No. 31).
§54.1. Disclosure of Confidential Information Prohibited.
Note     •     History

(a) No confidential information obtained by a licensee, in his or her professional capacity, concerning a client or a prospective client shall be disclosed by the licensee without the written permission of the client or prospective client, except for the following: 
(1) disclosures made by a licensee in compliance with a subpoena or a summons enforceable by order of a court;
(2) disclosures made by a licensee regarding a client or prospective client to the extent that the licensee reasonably believes that it is necessary to maintain or defend himself/herself in a legal proceeding initiated by that client or prospective client;
(3) disclosures made by a licensee in response to an official inquiry from a federal or state government regulatory agency; 
(4) disclosures made by a licensee or a licensee's duly authorized representative to another licensee in connection with a proposed sale or merger of the licensee's professional practice; 
(5) disclosures made by a licensee to (A) another licensee to the extent necessary for purposes of professional consultation and to (B) professional standards review, ethics or quality control peer review organizations;
(6) disclosures made when specifically required by law;
(7) disclosures made at the direct request of the client to a person or entity that is designated by the client at the time of the request.
(b) In the event that confidential client information may be disclosed to persons or entities outside the United States in connection with the services provided, the licensee shall so inform the client in writing and obtain the client's written permission for the disclosure.
NOTE

Authority cited: Sections 5010, 5018 and 5063.3, Business and Professions Code. Reference: Sections 5018 and 5063.3, Business and Professions Code. 
HISTORY

1. New section filed 1-5-90; operative 2-4-90 (Register 90, No. 3).
2. Editorial correction of printing error in HISTORY 1 (Register 91, No. 30).
3. Editorial correction of Reference cite (Register 95, No. 30).
4. Renumbering of former section 54.1 to new section 52, renumbering of former section 54 to section 54.1 and amendment of section heading and first paragraph filed 8-4-95; operative 9-3-95 (Register 95, No. 31).
5. New subsection (b) and subsection relettering filed 11-20-98; operative 12-20-98 (Register 98, No. 47).
6. Amendment of section and Note filed 4-14-2005; operative 5-14-2005 (Register 2005, No. 15).
§54.2. Recipients of Confidential Information.
Note     •     History

Members of the Board, its appointed representatives professional practice reviewers and other persons designated in section 54.1(a)(4)-(a)(6) shall not disclose information concerning licensees or their clients which comes to their attention in carrying out their professional responsibilities; provided, however, such information may be disclosed:
(a) as part of disciplinary proceedings with the Board,
(b) as part of legal actions in which the Board is a party,
(c) in response to an official inquiry from a federal or state governmental regulatory agency,
(d) in compliance with a subpoena or summons enforceable by order of a court, or
(e) when otherwise specifically required by law.
NOTE

Authority cited: Sections 5010, 5018 and 5063.3, Business and Professions Code. Reference: Sections 5018 and 5063.3, Business and Professions Code.
HISTORY

1. New section filed 1-5-90; operative 2-4-90 (Register 90, No. 3).
2. Editorial correction of printing error in HISTORY 1 (Register 91, No. 30).
3. Editorial correction of Reference cite (Register 95, No. 30).
4. Amendment of first paragraph filed 8-4-95; operative 9-3-95 (Register 95, No. 31).
5. Amendment of first paragraph filed 11-20-98; operative 12-20-98 (Register 98, No. 47).
6. Amendment of first paragraph and Note filed 4-14-2005; operative 5-14-2005 (Register 2005, No. 15).
§55. Permission to Use Name. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Sections 5010, 5018 and 5059, Business and Professions Code.
HISTORY

1. Amendment filed 2-4-60; effective thirtieth day thereafter (Register 60, No. 3).
2. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
3. Amendment filed 8-4-95; operative 9-3-95 (Register 95, No. 31).
4. Change without regulatory effect repealing section filed 9-19-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 38).
§56. Commissions—Basic Disclosure Requirement.
Note     •     History

(a) A licensee shall not accept any fee or commission permitted by Business and Professions Code Section 5061 unless he or she complies with the provisions of this section and Section 56.1
(b) A licensee who may receive a fee or commission pursuant to Business and Professions Code Section 5061 shall furnish to the client, at or prior to the time the recommendation of the product or service is made, a written disclosure statement in 12 point type or larger that contains the following information:
(1) The fact that the fee or commission is to be paid for professional services and that a fee or commission cannot be accepted solely for the referral of the client to the products or services of a third party.
(2) A description of the product(s) or service(s) which the licensee is recommending to the client, the identity of the third party that is expected to provide the product or service, the business relationship of the licensee to the third party, a description of any fee or commission which may be received by the licensee, including, but not limited to, any supplemental fee or commission or other compensation allocable to the client being provided with the product or service of the third party. Where the product(s) or service(s) cannot be specifically identified at the time of the initial disclosure, this information shall be included in a supplemental disclosure within 30 days of receipt of the fee or commission.
(3) The dollar amount or value of the fee or commission payment(s) or the basis on which the payment(s) shall be computed.
(c) The written disclosure shall be on letterhead of the licensed firm or shall be signed by the licensee. The disclosure statement shall be signed and dated by the client and contain an acknowledgment by the client that the client has read and understands the information contained in the disclosure. Supplemental disclosures as described in subsection (b)(2) of Section 56 need not be signed by the client or by the licensee. The licensee shall retain the disclosure statements for a period of five years and shall provide copies to the client.
NOTE

Authority cited: Section 5010, 5018 and 5061, Business and Professions Code. Reference: Section 5061, Business and Professions Code.
HISTORY

1. New section filed 1-7-99; operative 1-7-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 2). For prior history, see Register 95, No. 31.
§56.1. Commissions—Professional Services Provided to the Client.
Note     •     History

The professional services which must be provided to the client in conjunction with the products or services of a third party under Business and Professions Code Section 5061(b) shall include consultation with the client regarding the third party's product or service in relation to the client's circumstances.
NOTE

Authority cited: Section 5010, 5018 and 5061, Business and Professions Code. Reference: Section 5061, Business and Professions Code.
HISTORY

1. New section filed 1-7-99; operative 1-7-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 2).
§56.2. Commissions—Disclosure Requirement and Other Rules of Professional Conduct.
Note     •     History

Nothing in Section 56 permits a licensee either (1) to accept any fee or commission which would violate the requirement that a licensee be independent in the performance of services in accordance with professional standards (Section 65) or (2) to concurrently engage in the practice of public accountancy and in any other business or occupation which impairs the licensee's independence, objectivity, or creates a conflict of interest in rendering professional services (Section 57). However, the act of a licensee taking a fee or commission as permitted by Business and Professions Code Section 5061 and in conformity with Section 56 does not, by itself, constitute an impairment of a licensee's objectivity or create a conflict of interest in rendering professional services.
NOTE

Authority cited: Section 5010, 5018 and 5061, Business and Professions Code. Reference: Sections 5018 and 5061, Business and Professions Code.
HISTORY

1. New section filed 1-7-99; operative 1-7-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 2).
§56.3. Commissions—Definitions.
Note     •     History

For purposes of Sections 56, 56.1, and 56.2 of the Board's regulations the following definitions apply:
(a) “Licensee” means a Certified Public Accountant, Public Accountant, or firm licensed by the Board of Accountancy, including a firm with nonlicensee owners, that is engaged in the practice of public accountancy as defined by Business and Professions Code Section 5051.
(b) The term “a third party” means all persons other than the licensee, the licensee's client, and any licensee firm of which the licensee is an employee, partner, or owner.
(c) “The basis on which the payment(s) shall be computed” shall be a formula which can be used to calculate the dollar amount or value of the fee or commission once the dollar amount or value of the transaction is known.
NOTE

Authority cited: Section 5010, 5018 and 5061, Business and Professions Code. Reference: Section 5061, Business and Professions Code.
HISTORY

1. New section filed 1-7-99; operative 1-7-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 2).
§56.4. “Officer” and “Director.”
Note     •     History

The terms “director” and “officer” as defined under Section 5061(c) does not include a director or officer of a nonprofit corporation, or a corporation that together with any affiliates, has 100 or less employees or average annual gross receipts of ten million dollars ($10,000,000) of less over the previous three tax years. The term “average annual gross receipts” means all pecuniary gross receipts (less returns, allowances and interaffiliate transactions), the assignment of such receipts notwithstanding, of a business concern from whatever source derived, as entered or to have been entered on its regular books of account for its most recently completed fiscal year (whether on a cash, accrual, completed contracts, percentage of completion or other commonly recognized and accepted accounting method). 
NOTE

Authority cited: Sections 5010, 5018 and 5061, Business and Professions Code. Reference: Section 5061, Business and Professions Code. 
HISTORY

1. New section filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4). 
§57. Incompatible Occupations/Conflict of Interest.
Note     •     History

A licensee shall not concurrently engage in the practice of public accountancy and in any other business or occupation which impairs the licensee's independence, objectivity, or creates a conflict of interest in rendering professional services.
NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Section 5018, Business and Professions Code.
HISTORY

1. Amendment filed 2-14-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
§58. Compliance with Standards.
Note     •     History

Licensees engaged in the practice of public accountancy shall comply with all applicable professional standards, including but not limited to generally accepted accounting principles and generally accepted auditing standards.
NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Sections 5010 and 5018, Business and Professions Code.
HISTORY

1. New section filed 10-9-79; effective thirtieth day thereafter (Register 79, No. 41). For prior history, see Registers 68, No. 38; 66, No. 1; 61, No. 22; 20, No. 6; and 10, No. 5.
2. Amendment of section heading and section filed 8-4-95; operative 9-3-95 (Register 95, No. 31).
§58.1. Accountant's Report on the Examination of Financial Statements. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Sections 5010 and 5018, Business and Professions Code.
HISTORY

1. Amendment filed 10-9-79; effective thirtieth day thereafter (Register 79, No. 41). For prior history, see Registers 75, No. 52; 73, No. 1; and 68, No. 38.
2. Repealer of subsection (b) filed 3-18-81; effective thirtieth day thereafter (Register 81, No. 12).
3. Repealer filed 8-4-95; operative 9-3-95 (Register 95, No. 31).
§58.2. Accountant's Report on Unaudited Financial Information of a Public Entity. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Sections 5010 and 5018, Business and Professions Code.
HISTORY

1. Amendment filed 10-9-79; effective thirtieth day thereafter (Register 79, No. 41). For prior history, see Registers 75, No. 2; 73, No. 1; and 68, No. 38.
2. Repealer of subsection (d) filed 3-18-81; effective thirtieth day thereafter (Register 81, No. 12).
3. Repealer filed 8-4-95; operative 9-3-95 (Register 95, No. 31).
§58.3. Compilation and Review of Financial Statements. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Sections 5010 and 5018, Business and Professions Code.
HISTORY

1. Amendment filed 10-9-79; effective thirtieth day thereafter (Register 79, No. 41). For prior history, see Register 79, No. 25.
2. Repealer of subsection (b) and consecutive relettering of subsections (c)-(e) filed 3-18-81; effective thirtieth day thereafter (Register 81, No. 12).
3. Repealer filed 8-4-95; operative 9-3-95 (Register 95, No. 31).
§58.4. Unaudited Financial Statements. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Sections 5010 and 5018, Business and Professions Code.
HISTORY

1. New section filed 10-9-79; effective thirtieth day thereafter (Register 79, No. 41).
2. Repealer filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
§59. Reporting of Restatements.
Note     •     History

(a) To comply with the requirements of paragraph (1) of subdivision (b) of Business and Professions Code Section 5063, a licensee who issues a report on a client's restated financial statement shall report to the Board: 
(1) Any restatement of a financial statement reporting the correction of any error in a previously issued financial statement of a client that is: 
(A) a publicly traded company that is required to file a tax return with the California Franchise Tax Board; or 
(B) a government agency located in California, when the financial restatement(s) exceeds the planning materiality used by the licensee in conjunction with the current year audit. For purposes of this paragraph, planning materiality means the planned level of misstatements, individually or in aggregate, that would cause the financial statements to not be presented fairly, in all material respects, in conformity with generally accepted accounting principles. 
(2) Any restatement of a financial statement of a charitable organization registered by the Office of the Attorney General's Registry of Charitable Trusts which is issued for purposes of correcting any error in a previously issued financial statement and which has resulted in the filing of an amended or superceding Internal Revenue Service Form 990 of 990PF. 
(b) The report required by subsection (a) shall be made by the licensee issuing the report on the restatement even if the licensee did not perform the original audit. The report required by subsection (a) shall be provided to the Board within 30 days of issuance of the restatement, shall be signed by the licensee, and shall set forth the facts which constitute the reportable event including an explanation of the reason for the restatement. The report made under paragraph (a)(1) of this section shall include copies of the original and the restated financial statements. The report made under paragraph (a)(2) of this section shall include only those portions of the original and the amended Forms 990 or 990PF related to the reissued financial statement. 
NOTE

Authority cited: Sections 5010, 5018 and 5063, Business and Professions Code. Reference: Section 5063, Business and Professions Code. 
HISTORY

1. New section filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4). For prior history, see Register 83, No. 16.
§60. Reporting of Investigations by the Securities and Exchange Commission Pursuant to Section 5063(b)(3); Reporting of Notices of Requests for Wells Submissions Pursuant to Section 5063 (b)(4); and Reporting of Investigations by the Public Company Accounting Oversight Board Pursuant to Section 5063(b)(5).
Note     •     History

(a) For purposes of reporting pursuant to Section 5063 (b)(5), notice of the opening or initiation of an investigation by the Public Company Accounting Oversight Board shall include any notice by the Public Company Accounting Oversight Board that it is initiating an investigation of the licensee. 
(b) Reports received by the Board pursuant to the requirements of subsection (a) of this section or of paragraphs (3), (4) or (5) of subdivision (b) of Business and Professions Code 5063 shall not be publicly disclosed other than (1) in the course of any disciplinary proceeding by the Board after the filing of a formal accusation; (2) in the course of any legal action to which the Board is a party; (3) in response to an official inquiry from a state or federal agency; (4) in response to a subpoena or summons enforceable by order of a court; or (5) when otherwise specifically required by law. 
NOTE

Authority cited: Sections 5010, 5018 and 5063, Business and Professions Code. Reference: Section 5063, Business and Professions Code. 
HISTORY

1. New section filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4). For prior history, see Register 95, No. 31.
§61. The Reporting of Settlements, Arbitration Awards, and Judgments.
Note     •     History

(a) To meet the reporting requirements of paragraph (b)(2) of Section 5063, licensees shall report settlements and arbitration awards consistent with that provision that are the result of actions brought by persons located, residing, or doing business in California. 
(b) Reports of judgments in civil actions alleging negligent conduct (but not dishonesty, fraud, or gross negligence) by a licensee pursuant to paragraph (c)(1) of Section 5063 shall be limited to those judgments in which a person located, residing in or doing business in California is a named party to the action or where the alleged conduct relates to the practice of public accountancy in California. Nothing in this subsection limits a licensee's responsibility to report under any other paragraph of subdivision (c) of Section 5063. 
(c) Reports received by the Board pursuant to the requirements of subsection (a) of this section shall not be publicly disclosed other than (1) in the course of any disciplinary proceeding by the Board after the filing of a formal accusation; (2) in the course of any legal action to which the Board is a party; (3) in response to an official inquiry from a state or federal agency; (4) in response to a subpoena or summons enforceable by order of a court; or (5) when otherwise specifically required by law. 
NOTE

Authority cited: Sections 5010, 5018 and 5063, Business and Professions Code. Reference: Section 5063, Business and Professions Code. 
HISTORY

1. New section filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4). For prior history, see Register 77, No. 34.
§62. Contingent Fees.
Note     •     History

(a) A licensee shall not:
(1) Perform for a contingent fee any professional services for, or receive such a fee from, a client for whom the licensee or the licensee's firm performs:
(A) an audit or review of a financial statement; or
(B) a compilation of a financial statement when the licensee expects or reasonably should expect that a third party will use the financial statement and the licensee's compilation report does not disclose a lack of independence; or
(C) an examination of prospective financial information; or
(D) any other attest engagement when the licensee expects or reasonably should expect that a third party will use the related attestation report; or
(E) any other services requiring independence.
(2) Prepare an original tax return for a contingent fee for any client.
(3) Prepare an amended tax return, claim for tax refund, or perform other similar tax services for a contingent fee for any client.
(4) Perform an engagement as a testifying expert for a contingent fee.
The prohibition in (a)(1) above applies during the period in which the licensee or the licensee's firm is engaged to perform any of the services listed under (a)(1) above and the period covered by any historical financial statements involved in any such listed services.
(b) Except as stated in the next paragraph, a contingent fee is a fee established for the performance of any service pursuant to an arrangement in which no fee will be charged unless a specific finding or result is attained, or in which the amount of the fee is otherwise dependent upon the finding or result of such service.
Solely for purposes of this section, fees are not regarded as being contingent if fixed by courts or governmental entities acting in a judicial or regulatory capacity, or in tax matters if determined based upon the results of judicial proceedings or the findings of governmental agencies in a judicial or regulatory capacity or there is a reasonable expectation of substantive review by a taxing authority.
NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Sections 5010 and 5018, Business and Professions Code.
HISTORY

1. Amendment filed 2-14-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Repealer and new section filed 11-20-96; operative 11-20-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 47).
§63. Advertising.
Note     •     History

A licensee shall not advertise or use other forms of solicitation in any manner which is false, fraudulent, misleading, or in violation of Section 17500 of the Business and Professions Code.
NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Section 5100, Business and Professions Code.
HISTORY

1. New section filed 12-6-47; effective thirtieth day thereafter (Register 10, No. 5).
2. Amendment filed 8-17-49; effective thirtieth day thereafter (Register 17, No. 4).
3. Amendment filed 8-17-77; effective thirtieth day thereafter (Register 77, No. 34).
4. Amendment of section and new Note filed 8-4-95; operative 9-3-95 (Register 95, No. 31).
§64. Use of Name with Estimate of Earnings. [Repealed]
History

HISTORY

1. Repealer filed 8-4-95; operative 9-3-95 (Register 95, No. 31).
§65. Independence.
Note     •     History

A licensee shall be independent in the performance of services in accordance with professional standards.
NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Sections 5010 and 5018, Business and Professions Code.
HISTORY

1. Repealer and new section filed 3-24-65; effective thirtieth day thereafter (Register 65, No. 5).
2. Amendment filed 2-14-75; effective thirtieth day thereafter (Register 75, No. 7).
3. Amendment filed 10-9-79; effective thirtieth day thereafter (Register 79, No. 41).
4. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
5. Repealer and new section filed 8-4-95; operative 9-3-95 (Register 95, No. 31).
§66. Plural Designations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Sections 5073 and 5075, Business and Professions Code.
HISTORY

1. Amendment filed 10-24-61; effective thirtieth day thereafter (Register 61, No. 22).
2. Amendment filed 12-5-70; effective thirtieth day thereafter (Register 70, No. 49).
3. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
4. Repealer filed 5-10-2000; operative 6-9-2000 (Register 2000, No. 19).
§66.1. Name of Accountancy Corporation. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 5010, 5018 and 5157, Business and Professions Code. Reference: Sections 5055, 5121 and 5153, Business and Professions Code; and Section 13409, Corporations Code.
HISTORY

1. Amendment of subsections (a) and (b) filed 6-24-81; effective thirtieth day thereafter (Register 81, No. 26).
2. Repealer of former section 66.1 and renumbering and amendment of section 75.7 to section 66.1 filed 7-3-90; operative 8-2-90 (Register 90, No. 34). For prior history, see Register 88, No. 36).
3. Repealer filed 5-10-2000; operative 6-9-2000 (Register 2000, No. 19).
§66.2. Name of Successor Firm Having One Owner. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5010, 5018 and 5157, Business and Professions Code. Reference: Section 5010, 5018, 5059 and 5153, Business and Professions Code.
HISTORY

1. New section filed 7-5-90; operative 8-4-90 (Register 90, No. 36).
2. Repealer filed 5-10-2000; operative 6-9-2000 (Register 2000, No. 19).
§67. Approval of Use of Fictitious Name.
Note     •     History

No sole proprietor may practice under a name other than the name set forth on his or her permit to practice unless such name has been registered with the Board. Any registration issued under this section shall expire five years after the date of issuance unless renewed prior to its expiration.
NOTE

Authority cited: Sections 5010, 5018 and 5060, Business and Professions Code. Reference: Section 5060, Business and Professions Code.
HISTORY

1. New section filed 7-10-64; effective thirtieth day thereafter (Register 64, No. 15).
2. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
3. Amendment filed 9-23-91; operative 10-23-91 (Register 91, No. 52).
4. Amendment of section and Note filed 5-10-2000; operative 6-9-2000 (Register 2000, No. 19).
§68. Retention of Client's Records.
Note     •     History

A licensee, after demand by or on behalf of a client, for books, records or other data, whether in written or machine sensible form, that are the client's records shall not retain such records. Unpaid fees do not constitute justification for retention of client records.
Although, in general the accountant's working papers are the property of the licensee, if such working papers include records which would ordinarily constitute part of the client's books and records and are not otherwise available to the client, then the information on those working papers must be treated the same as if it were part of the client's books and records.
NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Section 5037, Business and Professions Code.
HISTORY

1. New section filed 2-14-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
3. Amendment of first paragraph filed 8-4-95; operative 9-3-95 (Register 95, No. 31).
§68.1. Working Papers Defined; Retention.
Note     •     History

(a) Working papers are the licensee's records of the procedures applied, the tests performed, the information obtained and the pertinent conclusions reached in an audit, review, compilation, tax, special report or other engagement. They include, but are not limited to, audit of other programs, analyses, memoranda, letters of confirmation and representations, abstracts of company documents and schedules or commentaries prepared or obtained by the licensee. The form of working papers may be handwriting, typewriting, printing, photocopying, photographing, computer, data, or any other letters, words, pictures, sounds, or symbols or combinations thereof.
(b) Licensees shall adopt reasonable procedures for the safe custody of working papers and shall retain working papers for a period sufficent to meet the needs of the licensee's practice and to satisfy applicable professional standards and pertinent legal requirements for record retention.
(c) Licensees shall retain working papers during the pendency of any Board investigation, disciplinary action, or other legal action involving the licensee. Licensees shall not dispose of such working papers until notified in writing by the Board of the closure of the investigation or until final disposition of the legal action or proceeding if no Board investigation is pending.
NOTE

Authority: Sections 5010 and 5018, Business and Professions Code. Reference: Sections 5018 and 5037, Business and Professions Code.
HISTORY

1. New section filed 2-26-96; operative 3-27-96 (Register 96, No. 9).
§68.2. Identification of Audit Documentation.
Note     •     History

(a) To provide for the identification of audit documentation, audit documentation shall include an index or guide to the audit documentation which identifies the components of the audit documentation. 
(b) In addition to the requirements of Business and Professions Code Section 5097(b), audit documentation shall provide the date the document or working paper was completed by the preparer(s) and any reviewer(s), and shall include the identity of the preparer(s) and any reviewer(s). 
(c) Audit documentation shall include both the report date and the date of issuance of the report. 
NOTE

Authority cited: Section 5010, 5018 and 5098, Business and Professions Code. Reference: Sections 5097 and 5098, Business and Professions Code. 
HISTORY

1. New section filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4). For prior history, see Register 2000, No. 19.
§68.3. Retention Period for Audit Documentation.
Note     •     History

(a) The retention period mandated by Business and Professions Code Section 5097 shall be measured from the date of issuance of the report (report release date). 
(b) If audit documentation is required to be kept for longer than seven years because of a pending Board investigation or disciplinary action, audit documentation shall not be destroyed until the licensee has been notified in writing by the Board of the closure of a Board investigation or disciplinary proceeding. 
(c) Any documents required to be maintained by Business and Professions Code Section 5097 or these regulations shall be maintained in accessible form. 
(d) Audit documentation shall be retained whether or not the documentation supports the auditor's final conclusions. All audit documentation regarding any significant matter related to the audit shall be retained whether or not the documentation contains information or data inconsistent with the auditor's final conclusions. Significance of a matter shall be determined based on an objective analysis of the facts and circumstances. Audit documentation to be retained shall also include all documentation of consultations on, or resolutions of, any differences of opinion regarding the exercise of professional judgment. 
NOTE

Authority cited: Section 5010, 5018 and 5098, Business and Professions Code. Reference: Sections 5097 and 5098, Business and Professions Code. 
HISTORY

1. New section filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4).
2. Amendment of subsection (a) filed 7-11-2007; operative 8-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 28).
§68.4. The Document Assembly Period and Subsequent Changes in Audit Documentation.
Note     •     History

(a) Audit documentation that is not completed prior to the date of issuance of the report shall be completed during the document assembly period specified in this subsection.
(1) The document assembly period is the 60-day period following the date of issuance of the report. If the report is not issued in connection with such an engagement, the document assembly period ends 60 days after the date that the fieldwork was completed. If the auditor was unable to complete such an engagement, then the document assembly period ends 60 days from the date the engagement ceased.
(2) Notwithstanding the document assembly period specified in paragraph (1) of this subsection, licensees shall comply with applicable professional standards specifying a shorter document assembly period.
(b) After the end of the document assembly period, any, removal, deletion, substitution, or editing of audit documentation, is prohibited.  Additions to audit documentation shall comply with the requirements in subsection (c).
(c) In addition to any other documentation required by professional standards, any addition to audit documentation after the end of the document assembly period shall include the following: 1) the reason for the addition, 2) the identity of the persons preparing and approving the addition, and 3) the date of the addition. The documentation which is added shall contain sufficient detail to enable a reviewer with relevant knowledge and experience, having no previous connection with the audit engagement, to understand the nature, timing, reason for, and extent of the addition. 
(d) Nothing in this section authorizes the deferral of audit procedures required to be performed prior to the date of issuance of the report. 
NOTE

Authority cited: Section 5010, 5018 and 5098, Business and Professions Code. Reference: Sections 5097 and 5098, Business and Professions Code. 
HISTORY

1. New section filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4).
2. Amendment of section heading and section filed 7-11-2007; operative 8-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 28).
§68.5. Audit Documentation Retention and Destruction Policy.
Note     •     History

(a) Licensees shall maintain, and document compliance with, a written Audit Documentation Retention and Destruction Policy which provides for the preservation of audit documentation for the full time period required by Business and Professions Code Section 5097. The policy and documentation of compliance shall be available to the Board upon request. 
(b) This policy shall provide for the authorized custody, security, access, retention, and destruction of the documentation. This policy shall, at a minimum, include the following: 
(1) procedures for the maintenance of back-up copies of electronic audit documentation at secure locations, 
(2) procedures for maintaining audit documentation, 
(3) procedures for approving any changes to audit documentation, 
(4) procedures for approving the destruction of documentation when no longer required to be maintained by Business and Professions Code Section 5097. 
(c) The procedure required by subsection (b)(4) shall provide for identifying the persons, by name or position, authorized to approve the destruction of audit documentation. In the alternative, the procedure required by subsection (b)(4) may be self-executing once the retention period has expired. 
NOTE

Authority cited: Section 5010, 5018 and 5098, Business and Professions Code. Reference: Sections 5097 and 5098, Business and Professions Code. 
HISTORY

1. New section filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4).
§69. Certification of Applicant's Experience.
Note     •     History

(a) Any licensee who shall have been requested by an applicant to prepare and submit to the board certification of the applicant's experience and shall have refused to prepare and submit said certification shall, when requested by the board, explain in writing, or, when so requested by the board, explain in person, the basis for refusal to complete and submit said certification.
(b) Any licensee who shall have signed a certification of experience shall, when requested by the board, explain in writing, or, when so requested by the board, explain in person, the information provided on any said certification of experience, in any situation including, but not limited to, the following:
(1) Where there is an alleged disagreement between an applicant and any licensee as to dates and/or type of work performed;
(2) Where there is satisfactorily answered certification of experience submitted to the board, but the period of experience appears to be unduly short;
(3) Where the board seeks to verify on a sample basis information submitted by an applicant or attested thereto on a certification of experience; or
(4) Where the board reasonably believes that the information in the certification of experience may be false or incorrect.
(c) Any false or misleading statement, made by a licensee as to material matters in the certification of an applicant's experience, shall constitute a violation of Section 5100(g) of the Accountancy Act.
(d) Inspection by the board or its representatives of documentation relating to an applicant's fulfillment of the experience requirements set forth in Sections 5083, 5092, 5093, and 5095 of the Accountancy Act and Sections 11.5, 12, and 12.5 herein above may be made at any of the board's offices or at such other places as the board may designate.
(e) The failure or refusal, by any licensee to complete and submit a certification of experience or to comply with a request for explanation of said certification or inspection of documentation as set forth in this rule constitutes a violation of Section 5100(g) of the Accountancy Act.
(f) Any unreasonable act or failure to act which jeopardizes an applicant's chances for obtaining a certificate, shall constitute a violation of Section 5100(g) of the Accountancy Act.
NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Sections 5010, 5018 and 5100, Business and Professions Code.
HISTORY

1. New section filed 10-21-77; effective thirtieth day thereafter (Register 77, No. 43).
2. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
3. Change without regulatory effect amending subsections (c), (e) and (f) filed 11-15-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 46).
4. Amendment of subsection (d) filed 5-1-2006; operative 5-31-2006 (Register 2006, No. 18).
§69.1. Failure to Appear. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Sections 5018 and 5020, Business and Professions Code.
HISTORY

1. New section filed 1-30-85; effective thirtieth day thereafter (Register 85, No. 5).
2. Amendment filed 8-26-88; operative 9-25-88 (Register 88, No. 36).
3. Renumbering and amendment of former section 69.1 to new section 52.1 and amendment of Note filed 8-4-95; operative 9-3-95 (Register 95, No. 31).
Article 10. Fees
§70. Fees.
Note     •     History

(a) Commencing January 23, 2004, the fee to be charged each California applicant for the computer-based Uniform Certified Public Accountant Examination shall be an application fee of $100 for issuance of the Authorization to Test to first-time applicants and an application fee of $50 for issuance of the Authorization to Test to repeat applicants. 
(b) Commencing July 1, 2001, the fee to be charged each applicant for issuance of a certified public accountant certificate shall be $250.
(c) The fee to be charged each applicant for registration, including applicant for registration under a new name as a partnership or as a corporation, shall be $150.
(d)(1) Commencing July 1, 2000, the fee to be charged each applicant for the initial permit to practice as a partnership, a corporation, or a certified public accountant shall be $200.
(2) Commencing July 1, 2011, the fee to be charged each applicant for the initial permit to practice as a partnership, a corporation, or a certified public accountant shall be $120.
(3) Commencing July 1, 2015, the fee to be charged each applicant for the initial permit to practice as a partnership, a corporation, or a certified public accountant shall be $200 unless subsection (i) applies. 
(e)(1) Commencing July 1, 2000, the fee to be charged each applicant for renewal of a permit to practice as a partnership, a corporation, a public accountant, or a certified public accountant shall be $200.
(2) For licenses expiring after June 30, 2011, the fee to be charged each applicant for renewal of a permit to practice as a partnership, a corporation, a public accountant, or a certified public accountant shall be $120. 
(3) For licenses expiring after June 30, 2015, the fee to be charged each applicant for renewal of a permit to practice as a partnership, a corporation, a public accountant, or a certified public accountant shall be $200 unless subsection (i) applies. 
(f) The fee for the processing and issuance of a duplicate copy of a certificate of licensure or registration shall be $10.
(g) The fee for processing and issuance of a duplicate copy of a registration, or permit or other form evidencing licensure or renewal of licensure shall be $2.
(h)(1) The fee to be charged an individual for submission of a Practice Privilege Notification Form pursuant to Business and Professions Code Section 5096 with an authorization to sign attest reports shall be $100. 
(2) The fee to be charged an individual for submission of a Practice Privilege Notification Form pursuant to Business and Professions Code Section 5096 without an authorization to sign attest reports shall be $50.
(i) By May 31, 2014, the Board shall conduct a review of its actual and estimated costs. Based on this review, the Board shall determine the appropriate level of fees for the initial permit to practice pursuant to subsection (d) and renewal of the permit to practice pursuant to subsection (e) in order to maintain the Board's contingent fund reserve balance at an amount equal to approximately nine months of estimated annual authorized expenditures. If the Board determines that fees of less than $200 are indicated, the Board shall fix the fees by regulation at the indicated amounts by July 1, 2015. 
NOTE

Authority cited: Sections 5010 and 5134, Business and Professions Code. Reference: Sections 122, 163, 5096 and 5134, Business and Professions Code.
HISTORY

1. Amendment filed 11-4-70; effective thirtieth day thereafter (Register 70, No. 45). For prior history, see Register 68, No. 23.
2. Amendment filed 4-9-74; effective thirtieth day thereafter (Register 74, No. 15).
3. Amendment filed 8-15-75; effective thirtieth day thereafter (Register 75, No. 33).
4. Amendment filed 8-17-77; effective thirtieth day thereafter (Register 77, No. 34).
5. Amendment of subsection (b) filed 1-26-79; effective thirtieth day thereafter (Register 79, No. 4).
6. Repealer and new section filed 7-1-96; operative 7-1-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 27).
7. Amendment changing designation of subsection (d) to (d)(1), changing designation of subsection (e) to (e)(1), and adding new subsections (d)(2), (e)(2) and (h) filed 10-2-96; operative 11-1-96 (Register 96, No. 40).
8. Amendment of section heading and section filed 8-3-98; operative 8-3-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 32).
9. Redesignation and amendment of subsection (a) as subsection (a)(1), new subsections (a)(2) and (a)(3), and amendment of subsection (b) filed 5-3-2001; operative 7-1-2001 (Register 2001, No. 18).
10. Amendment filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4).
11. Repealer of subsections (a)(1)-(2), redesignation of former subsection (a)(3) as subsection (a), new subsection (h) and amendment of Note filed 12-12-2005; operative 1-1-2006 pursuant to Government Code section 11343.4 (Register 2005, No. 50).
12. Amendment of subsection (a), redesignation and amendment of former subsection (h) as new subsection (h)(1), new subsection (h)(2) and amendment of Note filed 10-3-2006 as an emergency; operative 10-3-2006 (Register 2006, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-2007 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 10-3-2006 order transmitted to OAL 12-21-2006 and filed 2-1-2007 (Register 2007, No. 5).
14. Redesignation of former subsections (d) and (e) as new subsections (d)(1) and (e)(1), new subsections (d)(2)-(3), (e)(2)-(3) and (i) and amendment of Note filed 4-14-2011; operative 4-14-2011 pursuant to Government Code section 11343.4(c) (Register 2011, No. 15).
§71. Abandonment of the Application.
Note     •     History

(a) An applicant for the paper and pencil examination who fails to appear for the examination shall be deemed to have abandoned the application and shall forfeit the examination fee.
(b) A first-time applicant for an Authorization to Test pursuant to Section 8.1 shall be deemed to have abandoned the application and shall forfeit any application fee if the applicant fails to complete the application within one year of notification by the Board of any deficiency in the application. 
(c) An application for a certificate, permit, registration, or license, including any application for renewal, shall be deemed abandoned and any application fee shall be forfeited, if the applicant fails to complete the application within two years of its original submission or within one year of notification by the Board of any deficiency in the application.
NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Section 5134, Business and Professions Code.
HISTORY

1. New section filed 7-1-96; operative 7-1-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 27).
2. Amendment of subsection (a), new subsection (b) and subsection relettering filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4).
Article 11. Accountancy Corporation Rules
§75.1. Citation of Rules. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 5010, 5011, and 5018, Business and Professions Code.
HISTORY

1. New Article 11 (§§ 75.1 through 75.11) filed 3-22-71; designated effective 7-1-71 (Register 71, No. 13).
2. Repealer filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
§75.2. Definitions. [Repealed]
History

HISTORY

1. Repealer filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
§75.3. Professional Relationships, Responsibilities, and Conduct Not Affected. [Repealed]
History

HISTORY

1. Repealer filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
§75.4. Office for Filing.

All applications for a Certificate of Registration and any other documents or reports required by these rules or by law to be filed with the board shall be filed with the principal office of the board in Sacramento.
§75.5. Application; Review of Refusal to Approve.
Note     •     History

(a) An applicant corporation shall file with the board an application for Certificate of Registration on a form furnished by the board, which shall be signed and verified by an officer of the corporation who is a licensed person and be accompanied by a fee established pursuant to Rule 70.
(b) A Certificate of Registration shall be issued if the board finds that the applicant corporation has complied with Sections 13401 to 13409, inclusive, of the Corporations Code, Sections 5151 to 5155, inclusive, of the Business and Professions Code, and Sections 75.7 to 75.10, inclusive, of these Rules.
(c) The board may delegate to its executive officer, or other official or employee of the board, its authority under Section 5151 of the Business and Professions Code, to review and approve applications for registration and to issue Certificates of Registration.
NOTE

Authority cited: Sections 5010 and 5157, Business and Professions Code. Reference: Sections 5151, 5152, 5154 and 5155, Business and Professions Code.
HISTORY

1. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
2. Change without regulatory effect amending Note filed 11-15-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 46).
§75.6. Requirements for Issuance of Certificate of Registration. [Repealed]
History

HISTORY

1. Repealer filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
§75.7. Name of Corporation. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 5157, Business and Professions Code. Reference: Sections 5055, 5121 and 5153, Business and Professions Code; and Section 13409,Corporations Code.
HISTORY

1. New section filed 4-28-89; operative 5-28-89 (Register 89, No. 18).
2. Renumbering and amendment of section 75.7 to section 66.1 filed 7-3-90; operative 8-2-90 (Register 90, No. 34).
§75.8. Security for Claims Against an Accountancy Corporation.
Note     •     History

a) An accountancy corporation shall provide and maintain adequate security for claims against it by its clients arising out of the rendering of or failure to render professional services.  Security for such claims shall consist of either of the following:
(1) Insurance for each claim in an amount equal to at least $100,000 per licensee, provided that the maximum amount for each claim shall not be required to exceed $1,000,000, and that the minimum amount guaranteed for all claims during any one calendar year shall be at least an amount equal to $250,000 per licensee, provided that the maximum amount shall not be required to exceed $3,000,000; or
(2) A written agreement of the shareholders that they shall jointly and severally guarantee payment by the corporation of liabilities to its clients arising out of the rendering of or failure to render professional services.
(b) In the event of failure to comply with the requirements of this section, each and every shareholder of the corporation shall be deemed to have agreed to be jointly and severally liable for claims against the corporation by its clients arising out of the rendering of, or failure to render, professional services.
NOTE

Authority cited: Sections 5010 and 5157, Business and Professions Code. Reference: Section 5157, Business and Professions Code.
HISTORY

1. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
2. Amendment filed 3-1-94; operative 3-31-94 (Register 94, No. 9).
§75.9. Shares: Ownership and Transfer.
Note     •     History

(a) Except as provided in subsection (b), the restrictions prescribed by Sections 13406 and 13407 of the Corporations Code shall be clearly set forth on each share certificate and in corporate by-laws, or the corporate by-laws and the share certificates of an accountancy corporation shall contain an appropriate passage or legend referring to the restrictions set forth in Sections 13406 and 13407 of the Corporations Code.
(b) For an accountancy corporation which has nonlicensee owners, the conditions and restrictions on nonlicensee ownership specified in Section 5079 of the Accountancy Act shall be clearly set forth on each share certificate issued to a nonlicensee and in the corporate by-laws of the accountancy corporation.
NOTE

Authority cited: Sections 5010, 5079 and 5157, Business and Professions Code. Reference: Sections 5079, 5151 and 5154, Business and Professions Code; and Sections 13403, 13406, 13407, 13408 and 13410, Corporations Code.
HISTORY

1. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
2. Amendment of section and Note filed 7-22-99; operative 8-21-99 (Register 99, No. 30).
§75.10. Resident Manager in Charge of Branch Offices. [Repealed]
History

HISTORY

1. Repealer filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
§75.11. Certificate of Registration; Continuing Validity; Notification of Name and Address Changes.
Note     •     History

(a) A Certificate of Registration shall continue in effect until it is cancelled, suspended, or revoked. Such certificate may be cancelled for failure to renew as stated in Business and Professions Code Section 5070.7. Such certificate may be suspended or revoked for any of the grounds outlined in Section 13408 of the Corporations Code.
(b) Each accountancy corporation shall report to the board any and all changes of address, corporate name and shareholders within 30 days of any such change, giving both its old and its new address or names.
NOTE

Authority cited: Sections 5010 and 5157, Business and Professions Code. Reference: Sections 5070.7, 5152 and 5152.1, Business and Professions Code; and Section 13408, Corporations Code.
HISTORY

1. Amendment of subsection (b) filed 1-2-73; effective thirtieth day thereafter (Register 73, No. 1).
2. Amendment filed 8-17-77; effective thirtieth day thereafter (Register 77, No. 34).
3. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
4. Amendment of subsection (a) and amendment of Note filed 7-22-99; operative 8-21-99 (Register 99, No. 30).
Article 12. Continuing Education Rules
§80. Inactive License Status.
Note     •     History

Upon application, a licensee may have his/her license placed in an inactive status.
(a) The holder of a license in an inactive status shall not engage in the practice of public accountancy as defined in Section 5051 of the Business and Professions Code. This section does not prohibit a holder of a license in an inactive status from receiving a share of the net profits from a public accounting firm or other compensation from a public accounting firm, provided that the licensee does not otherwise engage in the practice of public accountancy.
(b) A license in an inactive status shall be renewed during the same time period in which a license in an active status is renewed. The renewal fee for a license in an inactive status shall be the same as the renewal fee for a license in an active status.
(c) The continuing education requirements described in Section 87 are not applicable at the time of renewal for a licensee renewing a license in an inactive status.
(d) At the time of renewal, the holder of a license in an inactive status may convert his/her license to an active status by paying the renewal fee and complying with the continuing education requirements as described in Section 87. A minimum of 20 hours of continuing education shall be completed in the one-year period immediately preceding the time of renewal, 12 hours of which must be in subject areas described in Section 88(a)(1).
(e) The holder of a license in an inactive status may convert to an active status prior to the next renewal by meeting the continuing education requirements as described in Section 87.1.
NOTE

Authority cited: Sections 462 and 5010, Business and Professions Code. Reference: Section 462, Business and Professions Code.
HISTORY

1. New section filed 3-28-96; operative 7-1-96 (Register 96, No. 13).
2. Amendment of subsection (a) filed 6-17-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 25).
3. Amendment filed 12-18-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
§81. Continuing Education Requirements for Renewing an Expired License.
Note     •     History

(a) As a condition for renewing a license in an active status, a licensee renewing an expired license shall adhere to the basic requirements described in Section 87 in the two-year period immediately preceding the date on which the licensee applies for license renewal. No carryover of continuing education is permitted from one license renewal period to another. 
(b) For the purpose of this section, the following definitions shall apply:
(1) Date of license renewal shall mean the date the license application, including the applicable renewal and delinquency fee, is postmarked on the envelope.
(2) “Expired” license shall mean delinquent, lapsed or a late renewal that is postmarked after the licensee's last or most recent license expiration date up to five years.
NOTE

Authority cited: Sections 5010 and 5027, Business and Professions Code. Reference: Sections 5026, 5027, 5028 and 5051, Business and Professions Code.
HISTORY

1. New section filed 12-18-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
§85. Citation of Rules and Purpose. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5010, Business and Professions Code. Reference: Sections 5026-5029, 5070.5, 5070.6, Business and Professions Code.
HISTORY

1. New Article 12 (§§ 85 through 93) filed 2-2-73; designated effective on the effective date of Chapter 716 of the 1972 Regular Session of the Legislature (Register 73, No. 5).
2. Repealer filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
§86. Effective Date. [Repealed]
History

HISTORY

1. Repealer filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
§87. Basic Requirements.
Note     •     History

(a) 80 Hours.
As a condition for renewing a license in an active status, a licensee shall  complete at least 80 hours of qualifying continuing education as described in Section 88 in the two-year period immediately preceding license expiration, and meet the reporting requirements described in Section 89(a). A licensee engaged in the practice of public accountancy as defined in Section 5051 of the Business and Professions Code is required to hold a license in an active status. No carryover of continuing education is permitted from one license renewal period to another.
(1) A licensee renewing a license in an active status after December 31, 2011, shall complete a minimum of 20 hours in each year of the two-year license renewal period, with a minimum of 12 hours of the required 20 hours in subject areas as described in Section 88(a)(1).
(b) Ethics Continuing Education Requirement
A licensee renewing a license in an active status after December 31, 2009 shall complete four hours of the 80 hours of continuing education required pursuant to subsection (a) in course subject matter specified pertaining to the following: a review of nationally recognized codes of conduct emphasizing how the codes relate to professional responsibilities; case-based instruction focusing on real-life situational learning; ethical dilemmas facing the accounting profession; or business ethics, ethical sensitivity, and consumer expectations. Courses must be a minimum of one hour as described in Section 88.2. 
(c) Government Auditing Continuing Education Requirement.
A licensee who engages in planning, directing, conducting substantial portions of field work, or reporting on financial or compliance audits of a governmental agency shall complete 24 of the 80 hours required pursuant to subsection (a) in the areas of governmental accounting, auditing or related subjects. This continuing education shall be completed in the same two-year license renewal period as the report is issued. A governmental agency is defined as any department, office, commission, authority, board, government-owned corporation, or other independent establishment of any branch of federal, state or local government. Related subjects are those which maintain or enhance the licensee's knowledge of governmental operations, laws, regulations or reports; any special requirements of governmental agencies; subjects related to the specific or unique environment in which the audited entity operates; and other auditing subjects which may be appropriate to government auditing engagements. A licensee who meets the requirements of this subsection shall be deemed to have met the requirements of subsection (d).
(d) Accounting and Auditing Continuing Education Requirement.
A licensee who engages in planning, directing, performing substantial portions of the work, or reporting on an audit, review, compilation, or attestation service, shall complete 24 hours of the 80 hours of continuing education required pursuant to subsection (a) in the course subject matter pertaining to financial statement preparation and/or reporting (whether such statements are prepared on the basis of generally accepted accounting principles or other comprehensive bases of accounting), auditing, reviews, compilations, industry accounting, attestation services, or assurance services. This continuing education shall be completed in the same two-year license renewal period as the report is issued. If no report is issued because the financial statements are not intended for use by third parties, the continuing education shall be completed in the same two-year license renewal period as the financial statements are submitted to the client.
(e) A licensee who must complete continuing education pursuant to subsections (c) and/or (d) of this section shall also complete an additional eight hours of continuing education specifically related to the detection and/or reporting of fraud in financial statements. This continuing education shall be part of the 80 hours of continuing education required by subsection (a), but shall not be part of the continuing education required by subsections (c) or (d). 
(f) New Licensees.
(1) A licensee receiving an initial license shall be required to complete 20 hours of continuing education as described in Section 88, for each full six month interval in the initial license period as a condition of renewing a license in an active status. 
(2) A licensee engaged in governmental auditing, as described in subsection (c), at any time during the initial license period shall complete six hours of governmental continuing education, as described in subsection (c), as part of each 20 hours of continuing education required for renewing the license in an active status. A licensee who meets the requirements of this subsection shall be deemed to have met the requirements of subsection (f)(3).
(3) A licensee who provides audit, review, compilation, or attestation services, as described in subsection (d), at any time during the initial license period shall complete six hours of accounting and auditing continuing education, as described in subsection (d), as part of each 20 hours of continuing education required for renewing the license in an active status.
(4) If the initial license period is less than six full months, there is no continuing education required for renewing the license in an active status.
(g) Failure to Comply.
A licensee's willful failure to comply with the requirements of this section shall constitute cause for disciplinary action pursuant to Section 5100(g) of the Accountancy Act.
NOTE

Authority cited: Section 5027, Business and Professions Code. Reference: Sections 5026, 5027, 5028 and 5051, Business and professions Code.
HISTORY

1. Amendment filed 12-24-75; effective thirtieth day thereafter (Register 75, No. 52).
2. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
3. Amendment of subsections (a)-(c) and (e) filed 6-26-90; operative 7-26-90 (Register 90, No. 35).
4. Amendment of subsections (b)-(d) filed 8-4-95; operative 9-3-95 (Register 95, No. 31).
5. Amendment of subsection (a) and repealer of subsection (e) filed 3-28-96; operative 7-1-96 (Register 96, No. 13).
6. Editorial correction of subsection (d) (Register 96, No. 16).
7. Amendment filed 6-17-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 25).
8. Amendment of subsections (a), (d) and (e) filed 5-9-2000; operative 6-8-2000 (Register 2000, No. 19). 
9. Amendment of subsection (c) filed 2-18-2003; operative 3-20-2003 (Register 2003, No. 8).
10. New subsection (d), subsection relettering and redesignation of portions of subsection (e) as new subsections (e)(1)-(4) filed 7-19-2004; operative 8-18-2004 (Register 2004, No. 30).
11. Amendment of section and Note filed 12-18-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
§87.1. Conversion to Active Status Prior to Renewal.
Note     •     History

(a) A licensee who has renewed his/her license in an inactive status may convert the license to an active status prior to the next license expiration date by (1) completing 80 hours of continuing education credit as described in Section 88, to include the Ethics Continuing Education Requirement described in Section 87(b), within the 24-month period prior to converting to active status, of which a minimum of 20 hours shall be completed in the one-year period immediately preceding conversion to an active status, with a minimum of 12 hours in subject areas described in subsection (a)(1) of Section 88; (2) completing the regulatory review course described in Section 87.8 if more than six years have elapsed since the licensee last completed the course; (3) applying to the Board in writing requesting to convert the license to an active status; and (4) completing any continuing education that is required pursuant to subsection (j) of Section 89. The licensee may not practice public accounting until the application for conversion of the license to an active status has been approved.
(b) A licensee who, during the 24 months prior to converting his/her license to an active status, planned, directed, or conducted substantial portions of field work, or reported on financial or compliance audits of a governmental agency shall complete 24 hours of continuing education in governmental accounting and auditing as described in Section 87(c) as part of the 80 hours of continuing education required to convert his/her license to an active status under subsection (a). A licensee who meets the requirements of this subsection shall be deemed to have met the requirements of subsection (c).
(c) A licensee who, during the 24 months prior to converting his/her license to an active status, planned, directed, or performed substantial portions of the work or reported on an audit, review, compilation, or attestation service shall complete 24 hours of continuing education in accounting and auditing as described in Section 87(d) as part of the 80 hours of continuing education required to his/her license to an active status under subsection (a).
(d) A licensee who must complete continuing education pursuant to subsections (b) and/or (c) of this section shall also complete an additional eight hours of continuing education specifically related to the detection and/or reporting of fraud in financial statements as described in Section 87(e). This continuing education shall be part of the 80 hours of continuing education required by subsection (a), but shall not be part of the continuing education required by subsections (b) or (c). 
(e) Once a license is converted to an active status, the licensee must complete 20 hours of continuing education as described in Section 88 for each full six month period from the date of license conversion to an active status to the next license expiration date in order to fulfill the continuing education requirement for license renewal. If the time period between the date of change to an active status and the next license expiration date is less than six full months, no additional continuing education is required for license renewal.
(f) Once a license is converted to an active status, a licensee who engages in financial or compliance auditing of a governmental agency at any time between the date of license conversion to an active status and the next license expiration date shall complete six hours of governmental continuing education as part of each 20 hours of continuing education required under subsection (e). Continuing education in the areas of governmental accounting and auditing shall meet the requirements of Section 87(c). A licensee who meets the requirements of this subsection shall be deemed to have met the requirements of subsection (g).
(g) Once a license is converted to an active status, a licensee who engages in audit, review, compilation, or attestation services at any time between the date of license conversion to an active status and the next license expiration date shall complete six hours of continuing education in accounting and auditing as part of each 20 hours of continuing education required under subsection (e). Continuing education in the areas of accounting and auditing shall meet the requirements of Section 87(d).
NOTE

Authority cited: Sections 5010 and 5027, Business and Professions Code. Reference: Section 5028, Business and Professions Code.
HISTORY

1. New section filed 7-5-90; operative 7-26-90 (Register 90, No. 36).
2. Amendment of section heading and repealer of subsection (b) filed 6-23-93 as an emergency; operative 6-23-93 (Register 93, No. 26). A Certificate of Compliance must be transmitted to OAL 10-21-93 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-23-93 order transmitted to OAL 10-18-93 and filed 12-1-93 (Register 93, No. 49).
4. New opening paragraph, amendment of subsection (a) and new subsection (b) filed 10-6-94; operative 11-7-94 (Register 94, No. 40).
5. Change without regulatory effect amending subsection (b) filed 12-28-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 52).
6. Amendment of section heading and section filed 3-28-96; operative 7-1-96 (Register 96, No. 13).
7. Amendment of first paragraph filed 12-17-96; operative 1-1-97 pursuant to Government Code section 11343.4(d) (Register 96, No. 51).
8. Amendment of first paragraph filed 6-16-97; operative 6-30-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 25).
9. Amendment filed 6-17-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 25).
10. Amendment of section heading and section filed 5-9-2000; operative 6-8-2000 (Register 2000, No. 19). 
11. Change without regulatory effect amending subsection (a) filed 7-12-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 28).
12. New subsection (d), subsection relettering and amendment of newly designated subsections (f) and (g) filed 7-19-2004; operative 8-18-2004 (Register 2004, No. 30).
13. Amendment of subsections (a) and (d)-(g) filed 9-19-2008; operative 10-19-2008 (Register 2008, No. 38).
14. Amendment filed 12-18-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
§87.2. Reentry into Public Practice. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 5010 and 5027, Business and Professions Code. Reference: Section 5028, Business and Professions Code.
HISTORY

1. New section filed 12-13-90; operative 1-12-91 (Register 91, No. 3).
2. Repealer filed 6-23-93 as an emergency; operative 6-23-93 (Register 93, No. 26). A Certificate of Compliance must be transmitted to OAL 10-21-93 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-23-93 order transmitted to OAL 10-18-93 and filed 12-1-93 (Register 93, No. 49).
§87.5. Additional Continuing Education Requirements.
Note     •     History

(a) Following an investigation or hearing conducted pursuant to Business and Professions Code Section 5103 the Board or its designee may order a licensee to:
(1) Complete one or more hours of continuing education not to exceed 80 hours in addition to the 80 hours qualifying continuing education required by Section 87, subsection (a), prior to permit renewal, which will contribute to the licensee's professional competence.
(2) Complete one or more of the 80 hours of qualifying continuing education required by Section 87, subsection (a), or one or more of the hours ordered pursuant to subsection (a)(1) of this section, in a designated course of study which will contribute to the licensee's professional competence.
(3) Complete one or more of the 80 hours of qualifying continuing education required by Section 87, subsection (a), or one or more hours ordered pursuant to this section, by a specified date. Such date may be extended by the Board or its designee.
(b) Failure of a licensee to comply with an order by the Board or its designee made pursuant to this section constitutes cause for disciplinary action under Section 5100 of the Business and Professions Code.
NOTE

Authority cited: Section 5027, Business and Professions Code. Reference: Sections 5026, 5027, 5028 and 5103, Business and Professions Code.
HISTORY

1. New section filed 4-28-89; operative 5-28-89 (Register 89, No. 18).
2. Amendment of subsections (a), (a)(3) and (b) and amendment of Note filed 6-17-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 25).
3. Change without regulatory effect amending subsection (a) and Note filed 11-15-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 46).
§87.6. Records Review Continuing Education Requirements.
Note     •     History

(a) The Report Quality Monitoring Committee is a committee appointed by the Board. This committee's functions include the review of financial reports selected under Section 89.1 to monitor and promote compliance with applicable accounting principles and reporting standards. The Report Quality Monitoring Committee may order a licensee to:
(1) Complete one or more of the 80 hours of qualifying continuing education required by Section 87(a) in a designated course of study which will contribute to the licensee's professional competence.
(2) Complete one or more of the 80 hours of qualifying continuing education required by Section 87(a) or 87.6(a)(1) by a specified date. Such date may be extended by the committee.
(b) Failure of a licensee to comply with an order by the committee made pursuant to this section constitutes cause for disciplinary action under Section 5100 of the Business and Professions Code.
NOTE

Authority cited: Section 5027, Business and Professions Code. Reference: Sections 5024, 5026, 5027 and 5028, Business and Professions Code.
HISTORY

1. New section filed 4-28-89; operative 5-28-89 (Register 89, No. 18).
2. Editorial correction inserting inadvertently omitted subsection (b), Note and History 1 (Register 95, No. 50).
3. Editorial correction of subsection (a)(2) (Register 97, No. 25).
4. Amendment of subsection (a) and Note filed 6-16-97; operative 6-30-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 25).
§87.7. Continuing Education in the Accountancy Act, Board Regulations, and Other Rules of Professional Conduct.
Note     •     History

(a) In order to renew a license in an active status a licensee shall, within the six years preceding the license expiration date, complete a continuing education course on the provisions of the Accountancy Act and the Board of Accountancy Regulations, application to current practice, and other rules of professional conduct. Such course shall be approved by the Board prior to the licensee receiving continuing education credit for the course and shall be a minimum of 8 hours. The eight hours shall be counted towards the 80 hours required pursuant to Section 87.
(b) The operative date for this regulation is based on the last two digits of the license number according to the following schedule: for license numbers ending with 01-33 the operative date is January 1, 1998, for license numbers ending with 34-66 the operative date is January 1, 2000, for license numbers ending with 67-00 the operative date is January 1, 2002.
(c) Course providers shall apply to the Board for approval of the course specified in Subsection (a), on Form CE-PCE-1 (9/96), Professional Conduct and Ethics Application for Course Approval. The term of approval shall be for a two (2) year period. The Board may cancel its approval during this two year period if the Board determines that the course fails to meet the criteria specified in this Subsection. Approval shall be based on the following criteria:
(1) The course shall be a formal educational program that meets the requirements set forth in Sections 88, 88.1, and 88.2.
(2) The course shall have written educational goals and specific learning objectives, as well as a syllabus which provides a general outline, instructional objectives and a summary of topics for the course. A copy of the educational goals, learning objectives and course syllabus shall be submitted by the provider with the approval application.
(3) The course shall provide participants with the current California Accountancy Act and California Board of Accountancy Regulations (or summary thereof).
(4) Any self-study course shall require a 90 percent passing score on a test given at the conclusion of the course. The test shall be submitted along with the course materials for approval.
(5) A certificate of completion which includes the provider approval number shall be issued to each licensee who has satisfactorily completed the course.
(6) The course content shall include the following:
(A) A review and update of the current California Accountancy Act and the Board of Accountancy Regulations.
(B) Information which will provide an understanding of how the Statutes, Regulations and cases relate to current practice situations.
(C) A review of nationally recognized Codes of Professional Conduct as they relate to professional responsibility.
(D) A discussion of recent relevant cases on ethics and professional responsibilities for the accounting profession.
(E) A bibliography of recent publications and cases on professional conduct and ethics for the accounting profession.
(d) Upon receiving approval from the Board, the provider of the Professional Conduct and Ethics course required in Subsection (a) may represent the course in promotional materials as being approved by the Board during the term of approval.
(e) On a random basis established by the Board or at the Board's request or in response to complaints about a particular course, the Board may review the records of a provider to ensure compliance with the criteria specified in this Section. Within 15 days of receipt of written notification, the provider shall submit or make available to the Board all material deemed necessary by the Board to determine whether the course complies. The Board may cancel its approval for a course found not to be in compliance.
(f) Approved course providers may allow a secondary provider to present their course through a site license, contractual arrangement, or other type of agreement.
(g) For every course presentation, including any made by a secondary provider, organization or party, the original approved provider (primary provider) who entered into the approval agreement with the California Board of Accountancy shall:
(1) Retain a written outline of the course and completion records to reflect the actual participant attendance, or in the case of self-study courses, passing test scores of 90 percent or higher. The retention period shall be eight years.
(2) Ensure that all participants who complete the course receive a certificate of completion, including all information specified in Section 89(b). If a secondary provider presented the course, the certificate shall identify both the primary and secondary providers.
(3) Be responsible for the quality and content of the course by requiring and ensuring that the course be presented only by qualified instructors and/or discussion leaders, and that presentations always include all components and content areas represented in the approval application.
(4) Periodically update course content to reflect current laws, regulations, case law decisions and standards of practice.
(h) Licensees may claim continuing education credit earned from completing a Board-approved course designed in fulfillment of this section for the Ethics Continuing Education Requirement described in Section 87(b) and/or for the Regulatory Review Requirement described in Section 87.8 provided the course is completed prior to January 1, 2011 and reported to the Board prior to January 1, 2012.
(i) Board-approved course providers may continue to offer the course, described in section 87.7(a) until December 31, 2010 for licensees to receive continuing education credit in fulfillment of the Ethics Continuing Education Requirement described in Section 87(b) and/or for the Regulatory Review Requirement described in Section 87.8. 
(j) After January 1, 2010, the Board will no longer approve courses specific to this requirement.
NOTE

Authority cited: Sections 5010 and 5027, Business and Professions Code. Reference: Section 5027, Business and Professions Code.
HISTORY

1. New section filed 12-17-96; operative 1-1-97 pursuant to Government Code section 11343.4(d) (Register 96, No. 51).
2. Amendment of section heading and subsections (c)(1), (c)(4) and (c)(5) and new subsections (f)-(g)(4) filed 5-9-2000; operative 6-8-2000 (Register 2000, No. 19). 
3. Amendment of subsection (a) and new subsections (h)-(j) filed 12-18-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
§87.8. Regulatory Review Course.
Note     •     History

(a) In order to renew a license in an active status after December 31, 2009, a licensee shall, within the six years preceding the license expiration date, complete a continuing education course on the provisions of the California Accountancy Act and the California Board of Accountancy Regulations specific to the practice of public accountancy in California emphasizing the provisions applicable to current practice situations. The course also will include an overview of historic and recent disciplinary actions taken by the Board, highlighting the misconduct which led to licensees being disciplined. The course shall be a minimum of two hours, and a licensee shall select from a list of Board-approved courses. The two hours can be counted towards the 80 hours required pursuant to Section 87.
(b) A licensee shall report completion of the Regulatory Review course at the time of renewal. A licensee, licensed prior to the implementation of Section 87.8, shall maintain their existing reporting date used for the professional conduct and ethics requirement to report the completion of the Regulatory Review course. 
NOTE

Authority cited: Sections 5010 and 5027, Business and Professions Code. Reference: Section 5027, Business and Professions Code.
HISTORY

1. New section filed 12-18-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
§87.9. Offering a Regulatory Review Course.
Note     •     History

(a) Prior to offering a regulatory review course which can be claimed by a licensee to fulfill Section 87.8, course providers shall apply to the Board for approval of the course by completing Initial Application Package CE-RR-1 (07/09), Regulatory Review Application for Course Approval, which is hereby incorporated by reference. Approval shall be based on the following criteria:
(1) The course shall be a formal educational program that meets the requirements described in Sections 88, 88.1, and 88.2.
(2) The course shall provide participants with the current California Accountancy Act and California Board of Accountancy Regulations.
(3) A self-study course shall require a 90 percent passing score on a test given at the conclusion of the course. The test shall be submitted along with the course materials for approval.
(4) A self-study course is required to demonstrate an average completion time of two 50-minute continuing education hours by pre-testing the documentation from a minimum of four current and active certified public accountants simulating the manner in which the course will be completed and showing the length of time spent by each participant to complete the course. Pre-testing participants are required to be independent of the group that developed and/or are offering the course and provide feedback on the level of difficulty of the course.
(5) If the course is a component of a larger program, the two hours devoted to the regulatory review course must be continuous and uninterrupted. 
(6) The course content shall include the following:
(A) A review of the current California Accountancy Act, specific to the practice of public accountancy in California, and shall include a review of the following California Accountancy Act Articles: Articles 1.5, 3, 3.5, 4, 5.5, 6, 6.5 and 7. 
(B) A review of the current California Board of Accountancy Regulations, specific to the practice of public accountancy in California, and shall include a review of the following Accountancy Regulations Articles: Articles 1, 6, 9, 12, 12.5, and 13.
(C) The review of the California Accountancy Act and California Board of Accountancy Regulations must include a discussion on how the specified articles relate to the practice of public accountancy in California, including a review of historic and recent disciplinary actions taken by the Board, highlighting the misconduct which led to licensees being disciplined.
(b) The term of the approval shall be for a two-year period. In order to maintain Board approval, providers shall submit Renewal Application Package CE-RR-2 (07/09), Regulatory Review Approval Continuance Application, which is hereby incorporated by reference, prior to the end of the two-year period.
(c) Upon receiving approval from the Board, the provider of the Regulatory Review course required under Section 87.8 may represent the course in promotional materials during the term of approval, as being approved by the Board.
(d) The Board may review the records of a provider to ensure compliance with the criteria specified in this Section. Within 15 days of receipt of written notification, the provider shall submit or make available all material requested by the Board. The Board may cancel its approval for a course found not to be in compliance.
(e) For every course presentation, the provider that enters into the approval agreement with the Board shall:
(1) Retain completion records to reflect the actual participant attendance, or in the case of a self-study course, passing test scores of 90 percent or higher. The retention period shall be eight years.
(2) Be responsible for the quality and content of the course by requiring and ensuring that the course include all components and content areas represented in the approval application.
(3) Update course content to reflect current laws, regulations, and enforcement violations.
(f) A provider whose course is denied approval or when a previous approval is canceled by Board staff may appeal such action to the Board. The appeal shall be filed within six months of the action being appealed or the mailing of written notification, whichever is later. The appeal shall contain the following information:
(1) The name and business address of the provider making the appeal.
(2) The action being appealed and the date of any written notification from the Board.
(3) A summary of the basis for the appeal, including any information which the provider believes was not given adequate consideration by staff.
(g) The Board will consider only appeals based on information previously considered by staff. If the provider wishes to submit for consideration additional evidence or information not previously submitted to staff, such additional information should be submitted directly to staff with the request that its previous action be reconsidered. An appeal based on evidence or information not previously submitted to staff will be referred by the Board to staff for further consideration.
NOTE

Authority cited: Sections 5010 and 5027, Business and Professions Code. Reference: Section 5027, Business and Professions Code.
HISTORY

1. New section filed 12-18-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
2. Amendment of subsections (a)(6)(B) and (f)(3) filed 2-1-2011; operative 3-3-2011 (Register 2011, No. 5).
§88. Programs Which Qualify.
Note     •     History

(a) The overriding consideration in determining whether a specific program qualifies as acceptable continuing education is that it be a formal program of learning which contributes directly to the professional competence of a licensee in public practice. It is the obligation of each licensee to select a course of study, consistent with the requirements of this section and Sections 88.1 and 88.2, which will contribute directly to his/her professional competence.
(1) Licensees shall complete a minimum of 50 percent of the required continuing education hours in the following subject areas: accounting, auditing, fraud, taxation, consulting, financial planning, ethics as defined in Section 87(b), regulatory review as defined in Section 87.8, computer and information technology (except for word processing), and specialized industry or government practices that focus primarily upon the maintenance and/or enhancement of the public accounting skills and knowledge needed to competently practice public accounting.
(2) Licensees may claim no more than 50 percent of the required number of continuing education hours in the following subject areas: communication skills, word processing, sales, marketing, motivational techniques, negotiation skills, office management, practice management, and personnel management.
(3) Programs in the following subject areas are not acceptable continuing education: personal growth, self-realization, spirituality, personal health and/or fitness, sports and recreation, foreign languages and cultures and other subjects which will not contribute directly to the professional competence of the licensee.
(4) A formal program of learning is an instructional activity that meets the requirements of Sections 88.1 and 88.2 or a course for which academic credit is granted by a university, college, or other institution of learning accredited by a regional or national accrediting agency. 
(b) The following types of live presentation programs are deemed to qualify as acceptable continuing education provided the standards outlined in Section 88(a), Section 88.1, and Section 88.2 are maintained.
(1) Professional development programs of national and state accounting organizations.
(2) Technical session at meetings of national and state accounting organizations and their chapters which are designed as formal educational programs.
(3) University or college courses:
(i) Credit courses--each semester hour credit shall equal 15 hours toward the requirement. Each quarter hour credit shall equal 10 hours. 
(ii) Non credit courses--each classroom hour will equal one qualifying hour.
(4) Other formal educational programs provided the program meets the required standards.
(c) Group Internet-Based Programs (Webcast): Programs that enable a licensee to participate from a computer in an interactive course presented by a live instructor at a distant location are qualifying, provided the program is based upon materials specifically developed for instructional use and meets the requirements of Section 88(a), Section 88.1 and Section 88.2.
(d) Formal correspondence or other individual study programs are qualifying provided the program is based upon materials specifically developed for instructional use and meets the requirements of Section 88(a), Section 88.1, and Section 88.2, and the licensee receives a passing score. Self-study modules for national examinations that contribute to the professional competency of a licensee in public practice, such as the Certified Financial Planner TM Certification Examination or the Certified Management Accountant examination qualify as acceptable continuing education if the modules meet the above requirements. 
(e) The credit as an instructor, discussion leader, or speaker will be allowed for any meeting or program provided that the session is one which would meet the continuing education requirements set forth in Section 88(a), Section 88.1, and Section 88.2. The credit allowed an instructor, discussion leader, or a speaker will be on the basis of actual presentation hours, plus up to two additional hours for actual preparation time for each hour taught. The maximum credit for such preparation and teaching will not exceed 50 percent of the renewal period requirement. For repeat presentations, an instructor shall receive no credit unless the instructor can demonstrate that the program content was substantially changed and that such change required significant additional study or research. Credit for licensees attending, not as instructors, discussion leader, or speakers, is limited to the actual meeting time.
(f) Credit may be allowed by the Board for the following activities:
(1) Writing published articles and books provided the publisher is not under the control of the licensee, and the article and/or book would contribute to his/her professional competence. 
(2) Writing instructional materials for any continuing education program which meets the requirements of Section 88(a), Section 88.1, and Section 88.2,
(3) Writing questions for the Uniform Certified Public Accountant Examination.
The maximum credit allowed under this subsection (subsection f) shall not exceed 25 percent of the renewal period requirement.
NOTE

Authority cited: Section 5027, Business and Professions Code. Reference: Section 5027, Business and Professions Code.
HISTORY

1. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
2. Amendment of subsections (b)(4), (d) and (f) filed 12-17-96; operative 1-1-97 pursuant to Government Code section 11343.4(d) (Register 96, No. 51).
3. Amendment of section and Note filed 5-9-2000; operative 6-8-2000 (Register 2000, No. 19). 
4. New subsection (a)(4) and amendment of subsection (c) filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4).
5. Change without regulatory effect amending subsection (c) filed 9-24-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 39).
6. New subsection (c) and subsection relettering filed 7-11-2007; operative 8-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 28).
7. Amendment of subsections (a)-(a)(2) and (f)(1)-(3) filed 12-18-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
§88.1. Provider Requirements.
Note     •     History

(a) Live Presentation
In order to qualify as acceptable continuing education under Section 88(b) the provider of the live presentation program must:
(1) Require attendance and retain for a period of six years a record of attendance that accurately assigns the appropriate number of contact hours for participants including those who arrive late or leave early.
(2) Retain for a period of six years written educational goals and specific learning objectives, as well as a syllabus, which provides a general outline, instructional objectives, and a summary of topics for the course. A copy of the educational goals, learning objectives, and course syllabus shall be made available to the California Board of Accountancy upon request.
(3) Issue a certificate of completion, with verification certified by a program provider representative such as a signature or seal, to each licensee upon satisfactory completion of the course and retain records of licensees receiving certificates of completion for a period of six years. The amount of credit reflected on the certificate of completion shall be calculated in accordance with Section 88.2(a). The certificate of completion must delineate the subject areas, as described in Section 88(a)(1) and (2), for which the licensee may claim credit.
(b) Group Internet-Based Programs (Webcast) 
In order to qualify as acceptable continuing education under Section 88(c), the provider of the Group Internet-Based Program (Webcast) must be in compliance with requirements below:
(1) Require and monitor attendance throughout the program by using attendance monitoring devices such as polling, questions, or surveys. The program shall include a minimum of two monitoring events each half hour, at last one of which occurs at an irregular interval.
(2) Have a live instructor while the program is being presented and a feature allowing participants to send questions/comments directly to the instructor and receive answers during the program.
(3) Retain for a period of six years a record of attendance that accurately assigns the appropriate number of participation hours for participants.
(4) Retain for a period of six years written educational goals and specific learning objectives, as well as a syllabus, which provides a general outline, instructional objectives, and a summary of topics for the course. A copy of the educational goals, learning objectives, and course syllabus shall be made available to the California Board of Accountancy upon request.
(5) Issue a certificate of completion, with verification certified by a program provider representative such as a signature or seal, to each licensee upon satisfactory completion of the course. Satisfactory completion shall at a minimum require responding to at least 75 percent of the monitoring events described in Section 88.1(b)(1) during the period for which continuing education credit is being granted. Retain records of licensees receiving certificates of completion for a period of six years. The amount of credit shall be displayed on the certificate of completion and shall be calculated in accordance with Section 88.2(b). The certificate of completion must delineate the subject areas, as described in Section 88(a)(1) and (2), for which the licensee may claim credit.
(6) Have a written policy to address rescheduling and the granting of partial credit in the event of a technology failure, and make that policy available to the Board upon request.
(c) Self-Study
In order to qualify as acceptable continuing education under Section 88(c) the sponsor of the self-study course must:
(1) Retain for a period of six years written educational goals and specific learning objectives, as well as a syllabus, which provides a general outline, instructional objectives, and a summary of topics for the course. A copy of the educational goals, learning objectives, and course syllabus shall be made available to the California Board of Accountancy upon request.
(2) Issue a certificate of completion, with verification certified by a program provider representative such as a signature or seal, to each licensee upon satisfactory completion of the course and retain records of licensees receiving certificates of completion for a period of six years. The amount of credit shall be displayed on the certificate of completion and shall be calculated in accordance with Section 88.2(c). The certificate of completion must delineate the subject areas, as described in Section 88(a)(1) and (2), for which the licensee may claim credit.
NOTE

Authority cited: Section 5027, Business and Professions Code. Reference: Sections 5026 and 5027, Business and Professions Code.
HISTORY

1. New section filed 5-9-2000; operative 6-8-2000 (Register 2000, No. 19). 
2. New subsections (b)-(b)(6), subsection relettering and amendment of newly designated subsection (c)(2)  filed 7-11-2007; operative 8-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 28).
3. Amendment of subsections (a)(3), (b), (b)(5) and (c)(2) filed 12-18-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
§88.2. Program Measurements.
Note     •     History

(a) Live Presentation
In order to qualify as acceptable continuing education under Section 88(b) a live presentation program must:
(1) Be measured in 50-minute class hours. A program must be at least one 50-minute class hour in length to be acceptable continuing education. For a program composed of several segments in which individual segments are less than 50 minutes, the sum of the segments, in increments not less than 25 minutes, may be added together to equal a full 50-minute class hour. For a program that is longer than one 50-minute class hour, credit shall be granted for additional 25-minute segments (one-half of a 50-minute class hour). Only class hours or the equivalent (and not participant hours devoted to preparation or study time) will be used to measure the hours of continuing education.
(2) Any program designed pursuant to Section 87(b) must be a minimum of one 50-minute class hour. Should a course be comprised of multiple subject areas as described in Section 88(a)(1), those components specific to Section 87(b) must be a minimum of one 50-minute class hour.
(3) Meet the provider requirements for live presentation under Section 88.1(a).
(b) Group Internet-Based Program (Webcast)
In order to qualify as acceptable continuing education under Section 88(c), a Group Internet-Based Program (Webcast) must:
(1) Be measured by actual program length in 50-minute class hours. A program must be a minimum of one 50-minute class hour in length to be acceptable continuing education. For a program composed of several segments, the sum of the segments, in increments not less than 25 minutes, may be added together to equal a full 50-minute class hour. For a program that is longer than one 50-minute class hour, credit shall be granted for additional 25-minute segments (one-half of a 50-minute class hour). Only class hours or the equivalent (and not participant hours devoted to preparation or study time) will be used to measure the hours of continuing education.
(2) Any program designed pursuant to Section 87(b) must be a minimum of one 50-minute class hour. Should a program be comprised of multiple subject areas as described in Section 88(a)(1), those components specific to Section 87(b) must be a minimum of one 50-minute class hour. 
(3) Meet the provider requirements for Group Internet-Based Program (Webcast) under Section 88.1(b).
(c) Self-Study
In order to qualify as acceptable continuing education under Section 88(d), any self-study course, whether in electronic or paper text format, must: 
(1) Grant continuing education credit equal to the average completion time if the self-study course is designed to use learning methodologies that simulate a classroom learning process by employing significant ongoing interactive feedback to the participant regarding his/her learning progress. These courses clearly define lesson objectives and manage the participant through the learning process by (A) requiring frequent participant response to questions that test for understanding of the material presented, (B) provide evaluated feedback to incorrectly answered questions, and (C) reinforcement feedback to correctly answered questions. Evaluated feedback means a response specific to each incorrect answer to the study questions that explains why the particular answer is wrong, as each one is likely to be wrong for a different reason. Reinforcement feedback means a response to the correct answer of the study questions that restates and explains why the answer selected was correct. 
(2) Any program designed pursuant to Section 87(b) must be a minimum of one class hour. Should a program be comprised of multiple subject areas as described in Section 88(a)(1), those components specific to Section 87(b) must be a minimum of one 50-minute class hour. 
(3) Require a passing score on a test given at the conclusion of the course. 
(4) Any self-study program or component designed pursuant to Section 87(b) shall require a 90 percent passing score on a test given at the conclusion of the course. Should a program be comprised of multiple subject areas as described in Section 88(a)(1), those components specific to Section 87(b) shall require a 90 percent passing score on a test given at the conclusion of the component specific to Section 87(b) or at the conclusion of the course.
(5) Meet the provider requirements for self-study under Section 88.1(c). 
NOTE

Authority cited: Section 5027, Business and Professions Code. Reference: Sections 5026 and 5027, Business and Professions Code.
HISTORY

1. New section filed 5-9-2000; operative 6-8-2000 (Register 2000, No. 19). 
2. Amendment of subsection (b) and new subsections (c)-(c)(3) filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4).
3. Amendment filed 7-11-2007; operative 8-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 28).
4. Amendment filed 12-18-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
5. Amendment renumbering duplicative subsection designator (c)(3) as subsection (c)(4) and renumbering former subsection (c)(4) as (c)(5) filed 2-1-2011; operative 3-3-2011 (Register 2011, No. 5).
§89. Control and Reporting.
Note     •     History

(a) Upon renewal, a licensee who is required, pursuant to Section 87, to obtain continuing education must provide a written statement, signed under penalty of perjury, certifying that the requisite number of continuing education hours has been obtained. The licensee shall disclose the following information concerning courses or programs claimed as qualifying continuing education:
(1) Course title or description
(2) Date of completion
(3) Name of school, firm or organization providing the course or program
(4) Method of study, i.e., whether course or program is self-study, live presentation or Group Internet-Based Program (Webcast)
(5) Number of hours earned.
(b) If credit is claimed for completing the two hour regulatory review course specified in Section 87.8, a licensee shall obtain and retain for six years after renewal of his/her license, a certificate of completion or its equivalent disclosing the following information:
(1) Name of licensee
(2) Course title
(3) Board-issued approval number for the professional conduct and ethics course completed by the licensee
(4) School, firm or organization providing the course
(5) Date of completion
(6) Verification by a program provider representative, such as a signature or seal.
(c) If continuing education credit for attending a continuing education course is claimed, the licensee shall obtain and retain for four years after renewal a certificate of completion or its equivalent disclosing the following information:
(1) Name of licensee in attendance
(2) School, firm or organization conducting course
(3) Location of course attended
(4) Title of course or description of content
(5) Dates of attendance except when the licensee attended a course for academic credit given by a college, university, or other institution of higher learning accredited by an association recognized by the Secretary of the United States Department of Education, in which case the applicant may provide evidence of a grade of pass or “credit” to satisfy this requirement.
(6) Number of hours of actual attendance except when the licensee attended a course for academic credit given by a college, university, or other institution of higher learning accredited by an association recognized by the Secretary of the United States Department of Education, in which case the applicant may provide evidence of a grade of pass or “credit” to satisfy this requirement.
(7) Verification by a program provider representative, such as a signature or seal.
(d) If continuing education credit is claimed for completing a self-study course, the licensee shall obtain and retain for four years after renewal a certificate of completion or its equivalent disclosing the following information:
(1) Name of licensee taking the course
(2) School, firm, or organization providing the course
(3) Title of course or description of contents
(4) Date of completion
(5) Number of hours of continued education credit granted for completing the course.
(e) If credit as an instructor, discussion leader, or speaker is claimed, the licensee shall retain for four years after renewal the following information:
(1) School, firm or organization providing course
(2) Location of course presented
(3) Title of the course or description of content
(4) Course outline
(5) Dates and evidence of presentation
(6) Number of hours of actual preparation time and presentation time.
(f) If credit is claimed for writing continuing education instructional materials, the following information shall be maintained for four years after renewal:
(1) Name of the course provider or publisher
(2) Title of the course and a description of the instructional materials
(3) Date of completion of the instructional materials or publication date
(4) A copy of the instructional materials
(5) Hours claimed.
(g) If credit for published articles and books is claimed, the following information shall be maintained for four years after renewal:
(1) Name and address of publisher
(2) Title of publication
(3) Brief description
(4) Date(s) of publication
(5) Copy of publication
(6) Hours claimed
(h) If credit for writing questions for the Uniform CPA Examination is claimed, the licensee shall obtain and retain for four years after renewal a letter or other statement from the American Institute of Certified Public Accountants documenting the licensee's participation and the number of hours of continuing education credit the licensee has received.
(i) The Board will solicit and verify such information on a test basis.  If a licensee is found to have a deficiency, the licensee shall be so notified.  Upon request, the licensee may be granted a reasonable period of time in which to correct the deficiency.
(j) A licensee who is determined by the Board at renewal not to have completed the required number of hours of qualifying continuing education shall be required to make up any deficiency. A licensee who is required to make up a deficiency shall be ineligible for active status license renewal or conversion to active status pursuant to Section 87.1 until such time as documentation to support the required hours of continuing education for license renewal has been submitted and approved by the Board.
(k) A licensee's willful making of any false or misleading statement, in writing, regarding his/her continuing education shall constitute cause for disciplinary action pursuant to section 5100(g) of the Accountancy Act.
NOTE

Authority cited: Section 5027, Business and Professions Code. Reference: Section 5027, Business and Professions Code.
HISTORY

1. Amendment filed 12-24-75; effective thirtieth day thereafter (Register 75, No. 52).
2. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
3. Amendment of subsections (a) and (b) and new subsections (c) and (d) filed 12-10-90; operative 1-9-91 (Register 91, No. 3).
4. Amendment filed 11-30-93; operative 12-30-93 (Register 93, No. 49).
5. New subsection (f) and subsection relettering filed 3-28-96; operative 7-1-96 (Register 96, No. 13).
6. Editorial correction of subsection (a) (Register 97, No. 25).
7. Amendment of subsection (f) filed 6-16-97; operative 6-30-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 25).
8. Amendment filed 5-9-2000; operative 6-8-2000 (Register 2000, No. 19). 
9. Change without regulatory effect amending subsection (k) filed 11-15-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 46).
10. Amendment of subsections (a)(4) and (d) filed 7-11-2007; operative 8-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 28).
11. Amendment of subsection (b), new subsections (b)(6) and (c)(7) and amendment of subsection (k) filed 12-18-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
§89.1. Reports.
Note     •     History

(a) For purposes of monitoring and promoting compliance with applicable accounting principles and reporting standards, the Report Quality Monitoring Committee may require licensees, selected on the basis of a statistical sampling or upon referral from another committee of the Board, to supply copies of selected financial reports they have issued during the previous two years. This requirement applies to any licensee who had primary responsibility for, and authority to sign, at least one financial report that was issued during the previous two years. The financial report or reports to be submitted shall be selected by the responding licensee and shall reflect the highest level of service rendered by such licensee during the period.
For purposes of this regulation, financial report shall mean
(1) the licensee's report issued as the result of an engagement covered by generally accepted auditing standards or government auditing standards (audit), or standards for accounting and review services (compilation or review), or attestation standards (attest engagements),
(2) accompanying financial statements or other client assertion,
(3) accompanying footnotes, and
(4) supplementary financial data, if any.
(b) Willful failure or refusal of a licensee to comply with the Board's written request for a copy of financial report(s), within 30 calendar days of the licensee's receipt of that request, constitutes a violation of Section 5100(g) of the Accountancy Act.
NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Sections 5010 and 5018, Business and Professions Code.
HISTORY

1. New section filed 6-5-87; operative 7-5-87 (Register 87, No. 24).
2. Amendment of subsection (a) and Note filed 11-17-93; operative 12-17-93 (Register 93, No. 47).
3. Amendment of section heading and subsection (a) and new subsections (a)(1)-(4) filed 7-22-99; operative 8-21-99 (Register 99, No. 30).
4. Change without regulatory effect amending subsection (a) filed 9-19-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 38).
5. Amendment of subsection (a) filed 2-18-2003; operative 3-20-2003 (Register 2003, No. 8).
6. Change without regulatory effect amending subsection (b) filed 11-15-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 46).
§90. Exceptions and Extensions.
Note     •     History

(a) A renewal applicant may be granted either an extension of time to complete continuing education requirements or an exception from continuing education requirements. Extensions or exceptions may be granted by the Board for the following causes:
(1) Reasons of health, certified by a medical doctor, which prevent compliance by the licensee;
(2) Service of the licensee on extended active duty with the Armed Forces of the United States;
(3) Other good cause.
(b) No extension or exception shall be made solely because of age.
(c) Willful failure of a licensee to complete applicable continuing education within a specified extension of time shall constitute cause for disciplinary action pursuant to section 5100(g) of the Accountancy Act.
(d) A renewal applicant who has met the requirement of Section 87(a) and becomes subject to continuing education pursuant to Section 87(c), (d) or (e) during the last 6 months of a two-year license renewal period shall be granted, upon request, an extension of time of up to 6 months in which to complete the continuing education required by Section 87(c), (d) or (e). Continuing education completed pursuant to this extension shall be part of the 80 hours of continuing education required under Section 87(a) for the next two-year renewal period. However, it shall not be part of the 24 hours of continuing education required under Section 87(c) or (d) or the 8 hours of continuing education required under Section 87(e) for the next two-year renewal period.
NOTE

Authority cited: Section 5027, Business and Professions Code. Reference: Sections 5028 and 5100(g), Business and Professions Code.
HISTORY

1. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
2. Amendment renumbering subsections (a), (b), and (d) to (a)(1), (2) and (4) and new subsections (a) and (c) filed 6-27-90; operative 7-27-90 (Register 90, No. 35).
3. Repealer of subsection (a)(3) and subsection renumbering filed 3-28-96; operative 7-1-96 (Register 96, No. 13).
4. Amendment of subsection (a) and Note filed 12-17-96; operative 1-1-97 pursuant to Government Code section 11343.4(d) (Register 96, No. 51).
5. Repealer and new subsection (d) filed 6-17-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 25).
6. Amendment of subsections (c)-(d) and amendment of Note filed 7-19-2004; operative 8-18-2004 (Register 2004, No. 30).
7. Amendment of subsection (d) filed 2-1-2011; operative 3-3-2011 (Register 2011, No. 5).
§91. Reentry, Waiver of Examination and New Licensees. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 5010 and 5027, Business and Professions Code. Reference: Sections 5026, 5027, 5087, 5134, Business and Professions Code.
HISTORY

1. Amendment filed 12-24-75; effective thirtieth day thereafter (Register 75, No. 52).
2. Amendment filed 6-1-79; designated effective 7-1-79 (Register 79, No. 22).
3. Repealer filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
§92. Expired License. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 5010 and 5027, Business and Professions Code. Reference: Sections 5026, 5027, 5070, 5070.5, 5070.6, 5070.7, 5134, Business and Professions Code.
HISTORY

1. Amendment filed 12-24-75; effective thirtieth day thereafter (Register 75, No. 52).
2. Amendment filed 6-1-79; designated effective 7-1-79 (Register 79, No. 22).
3. Repealer filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
§93. Unexpired Licenses.
Note     •     History

Permits issued under these rules expire at 12 midnight on the last day of the birth month of an odd numbered year if the licensee was born in an odd numbered year or of an even numbered year if the licensee was born in an even numbered year. Permit renewal is the responsibility of the licensee. To renew an unexpired permit, a certificate holder or registrant shall, before the time at which the permit would otherwise expire, apply for renewal on a form prescribed by the board, pay the renewal fee prescribed and give evidence to the board that the continuing education provisions of these regulations have been complied with. Renewal of an unexpired permit shall continue the permit in effect for the two-year renewal cycle ending in the licensee's birth month unless otherwise provided for in these regulations or the California Accountancy Act.
NOTE

Authority cited: Section 5010, Business and Professions Code. Reference: Sections 152.6, 5070.5 and 5134, Business and Professions Code.
HISTORY

1. Amendment filed 6-1-79; designated effective 7-1-79 (Register 79, No. 22).
2. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
§94. Failure to Comply.
Note     •     History

Failure to comply with these continuing education rules by a licensee engaged in public practice, as defined in Business and Professions Code Section 5051, constitutes cause for disciplinary action under Section 5100.
NOTE

Authority cited: Sections 5018 and 5027, Business and Professions Code. Reference: Sections 5026 and 5100, Business and Professions Code.
HISTORY

1. New section filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
Article 12.5. Citations and Fines
§95. Citations.
Note     •     History

(a) The executive officer of the board, in lieu of filing an accusation seeking the suspension or revocation of any permit or certificate or the censure of the holder of any such permit or certificate pursuant to Sections 5100, 5101 and5156 of the Business and Professions Code, may issue a citation to any person as defined in Section 5035 of the Business and Professions Code who holds a permit or certificate from the board for a violation of any provision of the Accountancy Act or any regulation adopted by the board. 
(b) In his or her discretion, the Board's executive officer may issue a citation under this section to a licensee for a violation of a term or condition contained in a decision placing that licensee on probation.
NOTE

Authority cited: Sections 125.9 and 5010, Business and Professions Code. Reference: Section 125.9, Business and Professions Code. 
HISTORY

1. New section filed 1-5-90; operative 2-4-90 (Register 90, No. 3). 
2. Change without regulatory effect amending Note filed 11-15-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 46).
3. Amendment designating first paragraph as subsection (a) and new subsection (b) filed 2-15-2008; operative 3-16-2008 (Register 2008, No. 7).
§95.1. Citation Format.
Note     •     History

Each citation: 
(a) shall be in writing; 
(b) shall describe with particularity the nature of the violation, including specific reference to the provision of law determined to have been violated; 
(c) may contain an assessment of an administrative fine, an order of correction or abatement fixing a reasonable period of time for correction or abatement of the violation, or both an administrative fine and an order of correction or abatement; 
(d) shall be served in accordance with the provisions of Section 11505 (c) of the Government Code; 
(e) shall inform the cited person that if he or she desires a hearing to contest the finding of a violation, that hearing shall be requested by written notice to the board within 30 calendar days of the issuance of the citation or assessment. 
NOTE

Authority cited: Sections 125.9, 148 and 5010, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code. 
HISTORY

1. New section filed 1-5-90; operative 2-4-90 (Register 90, No. 3). 
2. Amendment of subsections (c) and (e) and amendment of Note filed 12-17-96; operative 1-1-97 pursuant to Government Code section 11343.4(d) (Register 96, No. 51).
§95.2. Fines.
Note     •     History

The amount of the administrative fine assessed by the executive officer pursuant to this article shall not be less than $100 or more than $5,000 for each investigation.
NOTE

Authority cited: Sections 125.9, 148 and 5010, Business and Professions Code. Reference: Sections 125.9, 148 and 5100(g), Business and Professions Code. 
HISTORY

1. New section filed 1-5-90; operative 2-4-90 (Register 90, No. 3). 
2. Amendment of section filed 9-23-91; operative 10-23-91 (Register 91, No. 52).
3. Amendment filed 11-30-93; operative 12-30-93 (Register 93, No. 49).
4. Amendment of section and Note filed 12-17-96; operative 1-1-97 pursuant to Government Code section 11343.4(d) (Register 96, No. 51).
5. Amendment filed 1-7-99; operative 1-7-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 2).
6. Amendment filed 7-22-99; operative 8-21-99 (Register 99, No. 30).
7. Change without regulatory effect amending section and Note filed 11-15-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 46).
8. Editorial correction of second table (Register 2005, No. 47).
9. Repealer and new section filed 2-15-2008; operative 3-16-2008 (Register 2008, No. 7).
§95.3. Citation Factors.
Note     •     History

In assessing an administrative fine or issuing an order of correction or abatement, the executive officer of the board shall give due consideration to the following factors: 
(a) The gravity of the violation. 
(b) The good or bad faith of the cited person or entity. 
(c) The history of previous violations. 
(d) Evidence that the violation was or was not willful. 
(e) The extent to which the cited person or entity has cooperated with the board's investigation. 
(f) The extent to which the cited person or entity has mitigated or attempted to mitigate any damage or injury caused by the violation. 
NOTE

Authority cited: Sections 125.9, 148 and 5010, Business and Professions Code. Reference: Sections 125.9, 148 and 5100(g), Business and Professions Code. 
HISTORY

1. New section filed 1-5-90; operative 2-4-90 (Register 90, No. 3). 
2. Amendment of first paragraph and Note filed 12-17-96; operative 1-1-97 pursuant to Government Code section 11343.4(d) (Register 96, No. 51).
3. Change without regulatory effect amending Note filed 11-15-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 46).
§95.4. Failure to Comply with Citation.
Note     •     History

The failure of a licensee to comply with a citation containing an assessment of administrative fine, an order of correction or abatement or both an administrative fine and an order of correction or abatement after this citation is final and has been served in accordance with the provisions of Section 11505(c) of the Government Code shall constitute a ground for revocation or suspension of the license or permit.
NOTE

Authority cited: Sections 125.9, 148 and 5010, Business and Professions Code. Reference: Sections 125.9, 148 and 5100(g), Business and Professions Code. 
HISTORY

1. New section filed 1-5-90; operative 2-4-90 (Register 90, No. 3). 
2. Amendment of section heading, repealer and new section, and amendment of Note filed 12-17-96; operative 1-1-97 pursuant to Government Code section 11343.4(d) (Register 96, No. 51).
3. Change without regulatory effect amending Note filed 11-15-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 46).
§95.5. Appeals.
Note     •     History

Any person or entity served with a citation pursuant to this Article and Sections 125.9 and 148 of the Business and Professions Code may contest the citation by appealing to the board in writing within 30 calendar days of the issuance of the citation. The cited person or entity may contest any or all of the following aspects of the citation: 
(a) The occurrence of a violation of the Accountancy Act or a regulation adopted by the board. 
(b) The reasonableness of the order of correction or abatement. 
(c) The period of time allowed for correction in the order of correction or abatement. 
(d) The amount of the administrative fine. 
If the cited person or entity fails to notify the Board of his/her/its intent to contest the citation, the citation shall be deemed a final order of the Board and shall not be subject to administrative review.
If a cited person or entity notifies the Board that he/she/it intends to contest a citation, the Board shall afford an opportunity for a hearing. The Board shall thereafter issue a decision, based on findings of fact, affirming, modifying or vacating the citation or penalty or both, or directing other appropriate relief. The proceedings under this Section shall be conducted in accordance with the provisions of Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code (the California Administrative Procedure Act).
The failure of a cited person or entity who has appealed to the Board to appear at the time and place of the hearing shall be deemed a withdrawal of his, her or its appeal, and the citation shall constitute a final order of the Board and shall not be subject to administrative review. 
NOTE

Authority cited: Sections 125.9, 148 and 5010, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code. 
HISTORY

1. New section filed 1-5-90; operative 2-4-90 (Register 90, No. 3). 
2. Amendment of section and Note filed 12-17-96; operative 1-1-97 pursuant to Government Code section 11343.4(d) (Register 96, No. 51).
§95.6. Unlicensed, Unregulated Practice.
Note     •     History

The executive officer of the board may issue citations, in accordance with Section 125.9 and 148 of the Business and Professions Code, against any person defined in Business and Professions Code Section 5035 who is acting in the capacity of a licensee under the jurisdiction of the Board. Each citation may contain an assessment of an administrative fine, an order of abatement fixing a reasonable period of time for abatement of the violation, or both an administrative fine and an order of abatement. Administrative fines shall be in a range from $100 to $5,000 for each investigation. Any sanction authorized for activity under this section shall be separate from and in addition to any other civil or criminal remedies. 
NOTE

Authority cited: Sections 125.9, 148 and 5010, Business and Professions Code. Reference: Sections 125.9, 148, 5050 and 5051, Business and Professions Code. 
HISTORY

1. New section filed 1-5-90; operative 2-4-90 (Register 90, No. 3).
2. Amendment of section and Note filed 2-15-2008; operative 3-16-2008 (Register 2008, No. 7).
Article 13. Denial, Suspension, and Revocation of Certificates, Permits, or Licenses
§98. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), the Board shall consider the disciplinary guidelines entitled “A Manual of Disciplinary Guidelines and Model Disciplinary Orders” (7th edition, 2011) which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the Board in its sole discretion determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Sections 5010, 5018 and 5116, Business and Professions Code; and Section 11400.20, Government Code. Reference: Sections 5018, 5100 and 5116-5116.6, Business and Professions Code; and Section 11425.50(e), Government Code.
HISTORY

1. New section filed 6-16-97; operative 6-30-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 25).
2. Amendment of section and Note filed 5-3-2001; operative 7-1-2001 (Register 2001, No. 18).
3. Amendment filed 1-23-2004; operative 1-23-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 4).
4. Amendment of section and Note filed 12-12-2005; operative 1-1-2006 pursuant to Government Code section 11343.4 (Register 2005, No. 50).
5. Amendment filed 1-10-2012; operative 2-9-2012 (Register 2012, No. 2).
§98.1. Mediation Guidelines.
Note     •     History

The guidelines, entitled “California Board of Accountancy Mediation Guidelines” (July 17, 1998), which are hereby incorporated by reference, constitute the Board's guidelines for determining whether an enforcement matter under Article 6 of the Accountancy Act is appropriate for referral to mediation and for the procedures and the form of the mediation process.
NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Sections 5010 and 5018, Business and Professions Code; and Section 11420.10, Government Code.
HISTORY

1. New section filed 1-18-2000; operative 2-17-2000 (Register 2000, No. 3).  
§99. Substantial Relationship Criteria.
Note     •     History

For the purposes of denial, suspension, or revocation of a certificate or permit pursuant to Division 1.5 (commencing with Section 475) of the Business and Professions Code, a crime or act shall be considered to be substantially related to the qualifications, functions or duties of a certified public accountant or public accountant if to a substantial degree it evidences present or potential unfitness of a certified public accountant or public accountant to perform the functions authorized by his or her certificate or permit in a manner consistent with the public health, safety, or welfare. Such crimes or acts shall include but not be limited to those involving the following:
(a) Dishonesty, fraud, or breach of fiduciary responsibility of any kind;
(b) Fraud or deceit in obtaining a certified public accountant's certificate or a public accountant's permit under Chapter 1, Division III of the Business and Professions Code;
(c) Gross negligence in the practice of public accountancy or in the performance of the bookkeeping operations described in Section 5052 of the code;
(d) Violation of any of the provisions of Chapter 1, Division III of the Business and Professions Code or willful violation of any rule or regulation of the board.
NOTE

Authority cited: Sections 5010 and 5018, Business and Professions Code. Reference: Sections 481 and 5100, Business and Professions Code.
HISTORY

1. New section filed 2-14-75; effective thirtieth day thereafter (Register 75, No. 7).
2. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
3. Amendment of first paragraph and subsections (a) and (c) filed 7-11-2007; operative 8-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 28).
§99.1. Rehabilitation Criteria for Denials, Suspensions, Revocations, Restorations, Reduction of Penalty, Etc.
Note     •     History

When considering the denial of a certificate or permit under Section 480 of the Business and Professions Code, the suspension or revocation of a certificate or permit or restoration of a revoked certificate under Section 11522 of the Government Code, the board, in evaluating the rehabilitation of the applicant and his present eligibility for a certificate or permit, will consider the following criteria:
(1) Nature and severity of the act(s) or offense(s).
(2) Criminal record and evidence of any act(s) committed subsequent to the act(s) or offense(s) under consideration which also could be considered as grounds for denial, suspension or revocation.
(3) The time that has elapsed since commission of the act(s) or offense(s) referred to in subdivision (1) or (2).
(4) The extent to which the applicant or licensee has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant or licensee.
(5) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(6) Evidence, if any, of rehabilitation submitted by the applicant or licensee.
NOTE

Authority cited: Section 5010, Business and Professions Code. Reference: Sections 480, 481, 482, 486, 5100 and 5106, Business and Professions Code; and Section 1203.4, Penal Code.
HISTORY

1. New Article 13 (Sections 100.1 and 100.4) filed 2-9-73 as an emergency; designated effective 3-7-73 (Chap. 903, 1972 Stats.) (Register 73, No. 8).
2. Certificate of Compliance filed 7-3-73 (Register 73, No. 27).
3. Renumbering from Section 100.1 filed 4-9-74; effective thirtieth day thereafter (Register 74, No. 15).
4. Amendment filed 2-14-75; effective thirtieth day thereafter (Register 75, No. 7).
5. Amendment filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
§99.2. Rehabilitation Criteria for Suspensions or Revocations. [Repealed]
History

HISTORY

1. Renumbering from Section 100.4 filed 4-9-74; effective thirtieth day thereafter (Register 74, No. 15).
2. Amendment filed 2-14-75; effective thirtieth day thereafter (Register 75, No. 7).
3. Repealer filed 4-12-83; effective thirtieth day thereafter (Register 83, No. 16).
Division 2. California Board of Architectural Examiners

(Originally Printed 12-5-46)
Article 1. General Provisions
§100. Location of Offices.
Note     •     History

The principal office of the California Architects Board is located at 2420 Del Paso Road, Ste 105, Sacramento, California.
NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Section 5500, Business and Professions Code.
HISTORY

1. Amendment filed 6-25-54; effective thirtieth day thereafter (Register 54, No. 14).
2. Amendment filed 3-14-56; effective thirtieth day thereafter (Register 56, No. 5).
3. Amendment filed 1-5-59 as an organizational and procedural rule; effective upon filing (Register 59, No. 2).
4. Amendment of division heading and section filed 12-17-92; effective 12-17-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 51).
5. Change without regulatory effect amending section and Note filed 10-31-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 44).
§101. Tenses, Gender and Number. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Section 14, Business and Professions Code.
HISTORY

1. Repealer filed 3-22-83; effective thirtieth day thereafter (Register 83, No. 13.)
§102. Definitions.
Note     •     History

For the purpose of the rules and regulations contained in this chapter, the term “board” means the California Architects Board; and the term “code” means the Business and Professions Code.
NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Section 5500, Business and Professions Code.
HISTORY

1. Amendment filed 12-17-92; effective 12-17-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 51).
2. Change without regulatory effect amending section and adding Note filed 10-31-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 44).
§103. Delegation of Certain Functions.
Note     •     History

The power and discretion conferred by law upon the Board to receive and file accusations; issue notices of hearing, statements to respondent and statements of issues; receive and file notices of defense; determine the time and place of hearings under Section 11508 of the Government Code; issue subpoenas and subpoenas duces tecum; set and calendar cases for hearing and perform other functions necessary to the business-like dispatch of the business of the Board in connection with proceedings under the provisions of Sections 11500 through 11528 of the Government Code, prior to the hearing of such proceedings; and the certification and delivery or mailing of copies of decisions under Section 11518 of the Government Code are hereby delegated to and conferred upon the executive officer of the Board.
NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Section 5561.5, Business and Professions Code.
HISTORY

1. Amendment filed 3-22-83; effective thirtieth day thereafter (Register 83, No. 13).
2. Amendment filed 10-16-96; operative 10-16-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 42).
§104. Filing of Addresses.
Note     •     History

Each person holding a certificate of registration, license, permit, or any other authority to practice architecture in the State of California under any and all laws administered by the board, shall file his/her proper and current business name and address and mailing address with the board at its office in Sacramento, and immediately notify the board at its said office of any and all changes of business name and address or mailing address, giving both the old and new names or addresses.
NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Section 5526, Business and Professions Code.
HISTORY

1. Amendment filed 3-14-56; effective thirtieth day thereafter (Register 56, No. 5).
2. Amendment filed 10-27-65; effective thirtieth day thereafter (Register 65, No. 20).
3. Amendment filed 7-16-79; effective thirtieth day thereafter (Register 79, No. 29).
4. Amendment filed 9-6-89; operative 10-6-89 (Register 89, No. 37).
Article 2. Applications
§109. Filing of Applications.
Note     •     History

(a) Definitions:
(1) A “new candidate” shall mean a candidate who is submitting his or her first application to the Board for eligibility evaluation for the Architect Registration Examination (ARE) or one who had previously submitted an application but had been determined by the Board to be ineligible. 
(2) An “inactive candidate” shall mean a candidate who (A) has not taken an examination as a candidate of the Board for five or more years, or (B) has been determined by the Board to be eligible but who has not taken any examination since the Board's determination and five or more years have passed.
(3) “Active in the examination process” shall mean that there has not been a period of five or more years since (A) the candidate last took an examination as a candidate of the Board, or (B) the candidate has been determined by the Board to be eligible.
(4) A “re-examinee” shall mean a candidate who has previously been determined by the Board to be eligible for the ARE and who is active in the examination process as a candidate of the Board.
(b) Application Process:
(1) Effective July 1, 2008, a new or inactive candidate applying to the Board for eligibility for the ARE shall prior to eligibility for the examination enroll in the Intern Development Program (IDP) by establishing a Council Record with the National Council of Architectural Registration Boards (NCARB).
The requirement to establish an NCARB Council Record does not apply to a candidate who was determined by the Board to be eligible on or before June 30, 2008 and who is active in the examination process.
(2) A new or inactive candidate applying to the Board for eligibility evaluation for the ARE shall prior to licensure complete the IDP of the NCARB, as defined in the most recent edition of NCARB's Intern Development Program Guidelines (currently the July 2011 edition), or the Internship in Architecture Program (IAP) of Canada (currently the 2001 edition), and the Comprehensive Intern Development Program (CIDP) of the Board, as defined in the Board's Comprehensive Intern Development Program Handbook (currently the 2005 edition). All three documents referred to in the preceding sentence are hereby incorporated by reference.
The IDP/IAP/CIDP requirement does not apply to a candidate who (A) was determined by the Board to be eligible on or before December 31, 2004, and who is active in the examination process; or (B) has completed all of the necessary education equivalents prior to January 1, 2005, who has submitted a completed application for eligibility evaluation to the Board that is postmarked on or before December 31, 2004, and who has been determined by the Board to be eligible.
(3) A new or inactive candidate shall submit an Application for Eligibility Evaluation, 19C-1 (9/2006), as provided by the Board and certified under penalty of perjury, and accompanied by such supporting documents required herein. Such supporting documents may include the candidate's current and valid IDP file transmitted by NCARB or current and valid verification of completion of the requirements of Canada's IAP, CIDP Evidence Verification Forms, certified original transcripts sent directly to the Board by the college or university, Employment Verification Form(s), 19C-12 (9/2006), and, if appropriate, proper foreign education evaluations and self-employment documentation. Applications for Eligibility Evaluation shall be accepted on a continuous basis throughout the year. For a candidate applying for eligibility for the ARE, the eligibility review fee specified in Section 144(a) shall be required.
(4) A new or inactive candidate receiving notification that he or she is ineligible based on insufficient education and/or employment verification as evaluated by the Board and/or failure to enroll in IDP by establishing an NCARB Council Record shall submit such additional education and/or employment verification and/or verification of enrollment in IDP.
(5) Upon the Board's determination of a candidate's eligibility for the ARE based upon the Board's education requirements and evidence of the candidate's enrollment in IDP, the Board shall transmit the candidate's eligibility information to NCARB or its authorized representative for entry into NCARB's database. For a candidate whose application is submitted on or after July 1, 1999 and who has been determined to be eligible, such eligibility shall be retained while the candidate is active in the examination process.
(6) As a candidate acquires additional work experience, it is the candidate's responsibility to ensure that the employer(s) complete Employment Verification Forms covering the work experience gained with that employer and that the forms are submitted to the Board.
(7) A new or inactive candidate who is a licensed architect in a qualifying foreign country, as defined in Section 117(c)(2), shall prior to licensure (A) complete IDP, or IAP, as referenced in subdivision (b)(2), and CIDP, as referenced in subdivision (b)(2); or (B) submit the the Board 1. proof of licensure in the qualifying foreign country, 2. an Employment Verification Form on his or her own behalf documenting five years of practice of architecture as a licensed architect in the qualifying foreign country, 3. an Employment Verification Form documenting at least one year of experience under the direct supervision of an architect licensed in a United States jurisdiction granted at 100% credit or at least two years of experience under the direct supervision of an architect(s) registered in a Canadian province granted at 50% credit, and 4. documentation of five years of education equivalents. All three documents referred to in subdivision (b)(7)(A) are hereby incorporated by reference.
(8) Effective January 1, 2005, a new or inactive candidate who is a licensed architect in a non-qualifying foreign country and one who is a licensed architect in a qualifying foreign country but who does not submit all of the items prescribed in subdivision (b)(7) shall apply as a new candidate and meet the requirements prescribed in subdivisions (b)(1) and b(2) of this section.
(c) Effective July 1, 1999, a  re-examinee applying for eligibility for the ARE shall submit a Test Application Form, 19C-11 (3/2006), and accompanied by the eligibility review fee specified in Section 144(a). Upon determination that the candidate is eligible, the Board shall transmit the candidate's eligibility information to NCARB or its authorized representative for entry into NCARB's database. For a candidate whose application is submitted on or after July 1, 1999 and who has been determined to be eligible, such eligibility shall be retained while the candidate is active in the examination process. Test Application Forms shall be accepted on a continuous basis throughout the year.
(d) A candidate who had a valid eligibility on file with the Board on or before June 30, 2008 may schedule with NCARB or its authorized representative to take one or more division(s) of the ARE without first enrolling in IDP.
(e) A candidate who did not have a valid eligibility on file with the Board on or before June 30, 2008 may only schedule with NCARB or its authorized representative to take one more division(s) of the ARE after first enrolling in IDP by establishing an NCARB Council Record.
(f) The Board shall retain the file of a candidate who is active in the examination process as a candidate of the Board. The Board may purge the candidate file of an inactive candidate. An inactive candidate who wishes to reapply to the Board shall be required to apply in accordance with this section by submitting the required documents to allow the Board to determine the candidate's current eligibility. For a candidate applying for the ARE, the eligibility review fee specified in Section 144(a) shall be required.
The Board shall retain for a two-year period, transcripts, Employment Verification Forms, and other supporting documents received from individuals who have not submitted an Application for Eligibility Evaluation. Thereafter, the Board may purge these documents.
NOTE

Authority cited: Sections 5526 and 5552.5, Business and Professions Code. Reference: Sections 5550 and 5552.5, Business and Professions Code.
HISTORY

1. Amendment filed 9-1-77; effective thirtieth day thereafter (Register 77, No. 36). For prior history, see Register 73, No. 10.
2. Amendment filed 7-16-79; effective thirtieth day thereafter (Register 79, No. 29).
3. Amendment filed 2-24-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 9).
4. Amendment of subsections (b) and (c) filed 10-17-86; effective upon filing pursuant to Government Code section 11346.2(d) (Register 86, No. 42).
5. Amendment of subsection (b) filed 6-10-88; operative 7-10-88 (Register 88, No. 25).
6. Amendment of subsections (b) and (c) filed 12-4-89; operative 12-4-89 pursuant to Government Code section 11346.2(d) Register 89, No. 49).
7. Amendment filed 3-7-90; operative 3-7-90 (Register 90, No. 12).
8. Change without regulatory effect amending subsection (c) filed 8-30-90 pursuant to section 100, title 1, California Code of Regulations; operative 9-29-90 (Register 90, No. 42).
9. Change without regulatory effect amending subsections (c)(1), (c)(2) and (c)(4) filed 7-10-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 43).
10. Change without regulatory effect amending subsections (c)(2) and (c)(4) filed 6-10-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 24).
11. Change without regulatory effect amending subsections (c)(1) and (3) filed 2-22-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 9).
12. Change without regulatory effect amending subsections (c)(2) and (c)(4) filed 5-7-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 19).
13. Change without regulatory effect amending subsections (c)(1) and (c)(3) filed 8-23-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 35).
14. Change without regulatory effect amending subsections (c)(2) and (c)(4) filed 2-15-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 7).
15. Change without regulatory effect amending subsection (c)(4) filed 7-7-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 27).
16. Change without regulatory effect amending subsections (c)(1) and (3) filed 11-14-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
17. Change without regulatory effect repealing subsection (b), subsection relettering, and amending subsections (b)(1)-(2) and (b)(4) filed 3-9-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 10).
18. Change without regulatory effect amending subsections (b)(1)-(2) and (b)(3) filed 12-18-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 51).
19. Amendment filed 10-16-96; operative 10-16-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 42).
20. Amendment filed 2-25-99; operative 2-25-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 9).
21. Change without regulatory effect amending subsections (a)(1) and (b) filed 1-7-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 1).
22. Amendment filed 1-15-2003; operative 2-14-2003 (Register 2003, No. 3).
23. Change without regulatory effect amending subsection (b)(1) filed 4-14-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 16).
24. Change without regulatory effect amending subsections (b)(1) and (c) filed 8-26-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 35).
25. Amendment filed 7-16-2004; operative 7-16-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 29).
26. Amendment of subsections (b)(1) and (b)(6) filed 7-22-2005; operative 8-21-2005 (Register 2005, No. 29).
27. Change without regulatory effect amending subsections (b)(1)-(2), (b)(6), (c) and (d) filed 10-31-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 44).
28. New subsection (b)(1), subsection renumbering, amendment of newly designated subsections (b)(2) and (b)(4)-(8) and subsections (c)-(d), new subsection (e), subsection relettering and amendment of newly designated subsection (f) filed 6-26-2008; operative 7-1-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 26).
29. Change without regulatory effect amending subsections (b)(2) and (b)(7) filed 9-29-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
30. Repealer of subsections (b)(2), (b)(7) and (b)(8) pursuant to final paragraph 1-1-2011 (Register 2011, No. 38).
31. New subsections (b)(2), (b)(7) and (b)(8), repealer of final paragraph and amendment of Note filed 9-22-2011; operative 10-22-2011 (Register 2011, No. 38).
32. Amendment of subsections (b)(2) and (b)(7) filed 1-11-2012; operative 2-10-2012 (Register 2012, No. 2).
§110. Substantial Relationship Criteria.
Note     •     History

For the purposes of denial, suspension, or revocation of the license of an architect pursuant to Division 1.5 (commencing with Section 475) of the Business and Professions Code, a crime or act shall be considered substantially related to the qualifications, functions and duties of an architect if to a substantial degree it evidences present or potential unfitness of an architect to perform the functions authorized by his/her license in a manner consistent with the public health, safety or welfare. Such crimes or acts shall include, but not be limited to, those involving the following:
(a) Any violation of the provisions of Chapter 3, Division 3 of the Business and Professions Code.
NOTE

Additional authority cited: Section 5526, Business and Professions Code. Reference: Sections 475-492, Business and Professions Code.
HISTORY

1. New section filed 6-5-73; effective thirtieth day thereafter (Register 73, No. 23). For history of former section, see Register 60, No. 10.
2. Repealer and new section filed 2-28-75; effective thirtieth day thereafter (Register 75, No. 9).
3. Amendment filed 9-6-89; operative 10-6-89 (Register 89, No. 37).
§110.1. Criteria for Rehabilitation.
Note     •     History

(a) When considering the denial of an architect's license under Section 480 of the Business and Professions Code, the board, in evaluating the rehabilitation of the applicant and his/her present eligibility for a license will consider the following criteria:
(1) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the Business and Professions Code.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(5) Evidence, if any, of rehabilitation submitted by the applicant.
(b) When considering the suspension or revocation of the license of an architect on the grounds that the person licensed has been convicted of a crime, the board, in evaluating the rehabilitation of such person and his/her present eligibility for licensure will consider the following criteria:
(1) Nature and severity of the act(s) or offense(s).
(2) Total criminal record.
(3) The time that has elapsed since commission of the act(s) or offense(s).
(4) Whether the licensee has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against the licensee.
(5) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(6) Evidence, if any, of rehabilitation submitted by the licensee.
(c) When considering the petition for reinstatement of the license of an architect, the Board shall evaluate evidence of rehabilitation submitted by the petitioner, considering those criteria specified in subsection (b).
NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Sections 475-492, Business and Professions Code.
HISTORY

1. New section filed 2-28-75; effective thirtieth day thereafter (Register 75, No. 9).
2. Amendment of subsection (a)-(c) filed 9-6-89; operative 10-6-89 (Register 89, No. 37).
§111. Review of Applications.
Note     •     History

(a) Within thirty (30) days after receipt of an Application for Eligibility Evaluation, 19C-1 (9/2006), for the Architect Registration Examination (ARE), the Board shall inform the candidate whether the application is complete and the candidate is eligible or that the application is deficient and what specific information or documentation is required to complete the application.
(b) (1) The Board shall notify a candidate within one hundred and fifty (150) days after the filing of a complete Application for Eligibility Evaluation for the ARE of his or her results thereon. These processing times apply to those candidates who are eligible and who take first available scheduled appointment for the ARE.
(2) The Board shall notify a candidate within one hundred and sixty-five (165) days after the filing of a complete application for the California Supplemental Examination of his or her results thereon. These processing times apply to those candidates who submit their complete California Supplemental Examination application on the examination filing deadline.
(3) The Board shall decide within three hundred and thirty (330) days after the filing of an Application for Eligibility Evaluation whether the candidate meets the requirements for original licensure. The actual processing time applies to those candidates who are eligible for licensure and who take and pass the first available examinations and who initially submitted a complete Application for Eligibility Evaluation.
(c) The Board shall decide within two hundred and ten (210) days after the filing of a reciprocity application whether the applicant meets the requirements for original licensure. The actual processing time applies to those persons who are eligible for licensure and who take and pass the first available examinations and who submitted a complete application on the first available examination deadline.
(d) Within thirty (30) days after receipt of an Application for Licensure, the Board shall notify the applicant whether the application is complete and the applicant is eligible for licensure or that the application is deficient and what specific information or documentation is required to complete the application.
NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Section 5550, Business and Professions Code.
HISTORY

1. New section filed 11-10-88; operative 12-10-88 (Register 88, No. 49). For history of former Section 111, see Registers 79, No. 29 and 56, No. 5.
2. Amendment filed 10-16-96; operative 10-16-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 42).
3. Change without regulatory effect amending subsection (b)(2) filed 10-15-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
4. Change without regulatory effect amending subsection (a) filed 1-7-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 1).
5. Change without regulatory effect amending subsection (a) filed 4-14-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 16).
6. Change without regulatory effect amending subsection (a) filed 8-26-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 35).
7. Change without regulatory effect amending subsection (a) and Note filed 10-31-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 44).
§112. Processing Times.
Note     •     History

(a) The minimum, median, and maximum processing times for examination results from the time of receipt of a complete application until the Board makes a decision is set forth below.

	Architect Registration 	California Supplemental
	Examination	Examination
	Minimum--100 days	Minimum--120 days
	Median--125 days	Median--150 days
	Maximum--150 days	Maximum--165 days

These processing times apply to those candidates who initially submit a complete Application for Eligibility Evaluation or who submit a complete application on the filing deadline for the applicable examination and who take the first available examination.
(b) The minimum, median and maximum processing times for a license from the time of receipt of a complete application until the Board makes a decision is set forth below.

	In-State Application	Reciprocity Application
	Minimum--210 days	Minimum--150 days
	Median--270 days	Median--180 days
	Maximum--330 days	Maximum--210 days
	
These processing times apply to those candidates who initially submit a complete Application for Eligibility Evaluation or who submit a complete application on the first available examination deadline and who take and pass the first available examinations.
NOTE

Authority cited: Section 5526, Business and Professions Code; and Section 15376, Government Code. Reference: Section 15376, Government Code.
HISTORY

1. New section filed 11-10-88; operative 12-10-88 (Register 88, No. 49).
2. Amendment filed 10-16-96; operative 10-16-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 42).
3. Change without regulatory effect amending table heading filed 10-15-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
Article 3. Examinations
§116. Eligibility for Examination.
Note     •     History

This section shall apply to candidates who are not licensed architects and who are not eligible for reciprocity pursuant to Section 121.
(a) To be eligible for the Architect Registration Examination (ARE), a candidate shall meet one of the following requirements below and enroll in the Intern Development Program by establishing a Council Record with the National Council of Architectural Registration Boards:
(1) Have a degree in architecture accredited by the National Architectural Accrediting Board from a school of architecture as approved by the Board, or
(2) Have at least sixty (60) net months of architectural training and experience under the direct supervision of an architect in private practice or the equivalent as evaluated by the Board, or
(3) Have a combination of educational and experience credit as evaluated by the Board such as to total sixty (60) net months.
(b)(1) To be eligible for a California Supplemental Examination administered prior to January 1, 2005, a candidate shall have been granted Board credit for all required divisions of the ARE and have at least seven and one-half (7-1/2) net years of educational and/or experience credits as evaluated by the Board, of which at least one year of experience shall have been under the direct supervision of an architect(s) licensed in a United States jurisdiction.
(2) To be eligible for a California Supplemental Examination administered on or after January 1, 2005, a candidate shall have been granted Board credit for all required divisions of the ARE and have at least eight (8) net years of educational and/or experience credits as evaluated by the Board, of which at least one year of experience shall have been under the direct supervision of an architect(s) licensed in a United States jurisdiction granted at 100% credit or at least two years of experience under the direct supervision of an architect(s) registered in a Canadian province granted at 50% credit, including completion of the IDP/IAP/CIDP requirement if applicable pursuant to Section 109.
NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Section 5550, Business and Professions Code.
HISTORY

1. Amendment filed 12-12-78; effective thirtieth day thereafter (Register 78, No. 50). For prior history, see Register 75, No. 46.
2. Amendment of subsection (b) filed 3-9-79; effective thirtieth day thereafter (Register 79, No. 10).
3. Amendment of subsection (a) filed 7-16-79; effective thirtieth day thereafter (Register 79, No. 29).
4. Amendment filed 2-24-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 9.).
5. Amendment filed 10-17-86; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 86, No. 42).
6. Amendment of subsection (a) filed 6-10-88; operative 7-10-88 (Register 88, No. 25).
7. Amendment of subsections (a) and (b) filed 12-4-89; operative 12-4-89 pursuant to Government Code Section 11346. (d) (Register 89, No. 49). 
8. Amendment filed 10-16-96; operative 10-16-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 42).
9. Editorial correction of subsection (a)(3) (Register 98, No. 42).
10. Change without regulatory effect amending subsection (b) filed 10-15-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
11. Amendment filed 1-15-2003; operative 2-14-2003 (Register 2003, No. 3).
12. New first paragraph, redesignation and amendment of former subsection (b) as subsection (b)(1) and new subsection (b)(2) filed 7-16-2004; operative 7-16-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 29).
13. Amendment of subsections (b)(1)-(2) filed 7-22-2005; operative 8-21-2005 (Register 2005, No. 29).
14. Amendment of subsection (a) filed 6-26-2008; operative 7-1-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 26).
§117. Experience Evaluation.
Note     •     History

The Board's evaluation of candidates' training and educational experience is based on the Board's Table of Equivalents as listed below.
The Table is comprised of four columns. Column A lists the types of experience for which credit may be granted. Columns B and C specify the maximum credit that may be granted to a candidate who was determined by the Board to be eligible for the Architect Registration Examination (ARE), the California Supplemental Examination, or licensure prior to January 1, 2005 and who is active in the examination process or to a candidate who is otherwise exempt from the IDP/IAP/CIDP requirement specified in Section 116(b). Column D specifies the maximum credit that may be granted to a new or inactive candidate who was determined by the Board to be eligible for the ARE on or after January 1, 2005 and who is subject to the IDP/IAP/CIDP requirement.

TABLE OF EQUIVALENTS
(a) Experience Equivalents:

	Column A	Column B	Column C	Column D	
		Candidates	Candidates
		Eligible Prior to	Eligible Prior to	Candidates
		January 1, 2005	January 1, 2005	Eligible January 1,
		or Otherwise	or Otherwise	2005 or After and
		Exempt from	Exempt from	Subject to
		IDP/IAP/CIDP	IDP/IAP/CIDP	IDP/IAP/CIDP
	Experience Description	Requirement	Requirement	Requirement	
		Education	Training and/or	
		Equivalents Max. 	Practice Equivalents 	Max. Credit
		Credit Allowed	Max. Credit Allowed	Allowed	

(1) A professional degree in architecture, where the degree 	5 years		5 years
program has been accredited by the National Architectural 
Accrediting Board (NAAB) or the Canadian Architectural 
Certification Board (CACB), or units toward such a degree.

(2) 	A professional degree in architecture, where the degree	4 years 		4 years 
program has not been accredited by  NAAB or CACB and 
the program consists of at  least a five-year curriculum, or 
units toward such a  degree.	

(3) A four-year degree in architecture Baccalaureus 	3 1/2 years		3 1/2 years
Atrium (BA), Atrium Baccalaureus (AB), Bachelor of 
Science (BS), or units toward such a degree.

(4) A degree from a school/college which has an 	3 1/2 years		3 1/2 years
NAAB-accredited or CACB-accredited professional degree 
program in architecture, where the degree could be accepted for 
entry into a two-year NAAB-accredited or CACB-accredited 
Master of Architecture program, or units toward such a 
degree.

(5) A degree which consists of at least a four -year 	2 years		2 years
curriculum in a field related to architecture as defined 
in subsection (b)(6), or units toward such a  degree. 

(6) Any other university or college degree which 	1 year		1 year
consists of at least a four-year curriculum. 

(7)(A) Any other city/community college degree which 	6 months 		6 months
consists of at least a two-year curriculum. 	
 (B) Any other city/community college degree or  	1 year		1 year
technical school certificate in a field related to architecture.

(8) Experience under the direct supervision of an a	5 years 	3 years	5 years
rchitect(s) licensed in a United States jurisdiction shall 
be granted 100% credit. 

(9) Certification by the National Council of Architectural  	5 years 	3 years	8 years
Registration Boards (NCARB) shall be granted a maximum 
of eight years credit upon receipt in the Board office of the 
candidate's current and valid NCARB blue cover file, 
transmitted by NCARB. 

(10) While a candidate is enrolled in a college or university, 
credit shall be granted: 	
 (A) 100% for experience obtained under the direct 	1 year	or 1 year	1 year
supervision of architect(s) licensed in the U.S.	

 (B) 50% for experience as, or experience obtained under		1 year	1 year 
the direct  supervision of, a registered civil or structural 
engineer  and/or a licensed  landscape architect licensed in 
a United States jurisdiction.

 (C) 50% for experience as, or experience obtained under 		1 year	1 year
the direct supervision of, a California licensed general building 
contractor.

 (D) 50% for experience as, or experience obtained under the 		1 year	1 year
direct supervision of, a California certified building official 
as defined in subsection (c)(7).

 (E) 50% for experience as, or experience obtained under 		1 year	1 year
the direct supervision of, a foreign licensed architect licensed 
in the qualifying foreign country where the experience occurred.

(11) Completion of the Intern Development  Program 	2 years  	3 years 	5 years
(IDP) of the National Council of Architectural 
Registration Boards or the Intern Architect Program of 
Canada shall be granted a minimum of three years credit, 
upon receipt in the Board office of the candidate's current 
and valid NCARB IDP file transmitted by NCARB or 
documentation transmitted by a Canadian provincial architectural 
association, respectively.

	Column A	Column B	Column C	Column D	
		Candidates	Candidates
		Eligible Prior to	Eligible Prior to	Candidates
		January 1, 2005	January 1, 2005	Eligible January 1,
		or Otherwise	or Otherwise	2005 or After and
		Exempt from	Exempt from	Subject to
		IDP/IAP/CIDP	IDP/IAP/CIDP	IDP/IAP/CIDP
	Experience Description	Requirement	Requirement	Requirement	
		Education	Training and/or	
		Equivalents Max. 	Practice Equivalents 	Max. Credit
		Credit Allowed	Max. Credit Allowed	Allowed	

(12)(A) Experience as, or experience obtained under the 		2 years	2 years
direct supervision of, a registered civil or structural engineer, 
and/or a licensed landscape architect licensed in a United 
States jurisdiction shall be granted 50% credit.

 (B) Experience as, or experience obtained under the 		1 year	1 year
direct supervision of,  a California licensed general building 
contractor shall be granted 50% credit.

 (C) Experience as, or experience obtained under the direct		1 year	1 year
supervision of, a California certified building official as 
defined in subsection (c)(7) shall be granted 50% credit.

(13) Experience as a licensed architect practicing in another 		8 years	8 years
U.S. jurisdiction with a verified record of substantial 
architectural practice shall be granted 100% credit. 

(14)(A) A post professional degree in architecture or with 		1 year	1 year
an emphasis on architecture consisting of a Master, 
Master of Science, or Ph.D. degree, or units toward 
such a degree, or 

 (B) Teaching and/or research in NAAB-accredited 		1 year	1 year
or CACB-accredited architectural curriculums shall  
be granted 100% credit only for those hours worked  
if verified by the college or university. 

(15)	(A) Experience under the direct supervision of  an 	5 years 	2 years 	5 years
architect licensed in the qualifying foreign country 
where the experience occurred shall  be granted 50% credit.	

 (B) Experience as a foreign licensed architect licensed	5 years 	2 years	5 years 
in the qualifying foreign country with a verified record of 
substantial architectural practice shall be granted 50% credit. 	
(b) Education Equivalents:
“Education equivalents” shall mean Table categories (a)(1) through (a)(9), (a)(10)(A), (a)(11), (a)(13), and (a)(15)(A) and (B).

	(1) For the purposes of this section, NAAB shall refer to the National Architectural Accrediting Board, and CACB shall refer to the Canadian Architectural Certification Board.
(2) A “professional degree program” shall be defined as one of the following types of programs: 1. Bachelor of Architecture, five-year program; 2. Bachelor of Architecture for individuals with a prior degree; 3. Master of Architecture, four-year undergraduate program in architecture plus a two-year graduate program in architecture; 4. Master of Architecture, four-year undergraduate program in another discipline plus a three-year graduate program in architecture.
(3) Where a candidate is seeking education equivalents for having obtained a professional degree or units towards such a degree from an NAAB-accredited or CACB-accredited program, he or she shall be eligible for such credit if such program is or was accredited by NAAB or CACB either at the time of graduation or within two years after the date of graduation or termination of enrollment.
(4) Credit allowed for units obtained without a degree shall only be computed within the categories of subsections (a)(1) through (5) or (a)(14)(A) of this section. No credit for units obtained under subsections (a)(6) or (7) shall be recognized unless such units have been transferred to and accepted by a school within subsections (a)(1) through (5) of this section.
(5) Academic units based on the categories specified in subsections (a)(1) through (5) or (a)(14)(A) of this section shall be evaluated up to the maximum allowed for that subsection. Where a candidate has not obtained a degree, the maximum credit allowed for the categories contained in subsections (a)(1) through (5) or (a)(14)(A) shall be six months less than the maximum credit that would have been granted if the candidate had obtained a degree in that category. Fractions greater than one-half of an academic year shall be counted as one-half of a year and smaller fractions will not be counted. 30 semester units or 45 quarter units is considered to be one academic year.
(6) Degrees in a field related to architecture shall be evaluated under subsection (a)(5) and defined as the following: Architectural Design; Architectural Engineering; Architectural Studies; Architectural Technology; Building Science; City and Regional Planning; Civil, Mechanical, Structural, or Electrical Engineering; Construction Engineering; Construction Management; Environmental Design; Interior Architecture; Landscape Architecture; and Urban and Regional Design.
(7) Experience obtained as, or experience obtained under the direct supervision of, a licensed professional as defined in subsections (a)(8), (a)(12), and (a)(15)(A) or (B) while a candidate is enrolled in a college or university shall be allowed maximum credit for educational/training equivalents of 1 year as defined in subsections (a)(10)(A) through (E). A candidate who obtains experience under the direct supervision of a licensed professional as defined in subsections (a)(8), (a)(12), and (a)(15)(A) or (B) while enrolled in a college or university shall have his/her education and/or experience evaluated according to the method which provides the candidate the most credit. A candidate enrolled in a degree program where credit earned is based on work experience courses (i.e., internship or co-op programs) shall not receive more than the maximum credit allowed for degrees earned under subsections (a)(1) through (7).
(8) A candidate who possesses a degree and possesses units from more than one college or university shall have the degree evaluated first prior to evaluating additional education credits.
(9) A candidate with multiple degrees shall not be able to accumulate credit for more than one degree unless he or she has received one professional degree in architecture and one post professional degree in architecture or with an emphasis on architecture as specified in subsection (a)(14)(A). Otherwise, the degree that receives the most credit as determined by subsection (a) shall take priority over any other degree.
(10) A candidate who possesses a professional degree and also possesses a post professional degree in architecture or with an emphasis on architecture as specified in subsection (a)(14)(A) shall be granted one additional year credit for the post professional degree.
(11) Degrees from a foreign college or university shall be granted credit, as determined by the applicable category contained in subsections (a)(1) through (7). A transcript(s) certified by the college or university must be evaluated by NAAB or an educational evaluation service, approved by the National Association of Credential Evaluation Services, Inc. (NACES) equating the degree toward a comparable U.S. degree. Any cost of evaluation shall be the responsibility of the candidate. Professional degrees accredited by CACB shall be accepted by the Board and shall not be required to be evaluated by NAAB or an NACES educa-- tion evaluation service equating the degree toward a comparable U.S. degree.
(12) Units from a foreign college or university shall be granted credit, as provided for in the applicable category contained in subsections (a)(1) through (5) upon submission of a transcript(s) certified by the college or university. These certified documents must be evaluated by NAAB or an NACES educational evaluation service equating the units toward a comparable U.S. degree. Any cost of evaluation shall be the responsibility of the candidate. Professional degrees accredited by CACB shall be accepted by the Board and shall not be required to be evaluated by NAAB or an NACES education evaluation service equating the degree toward a comparable U.S. degree.
(c) Training Equivalents:
“Training equivalents” shall mean Table categories (a)(8) through (a)(15).
(1) Candidates shall be at least 18 years of age or a high school graduate before they shall be eligible to receive training credit for work experience.
(2) Except as provided below, work experience shall be granted training credit only when: 
(a) The supervising professional is licensed in a United States jurisdiction or a Canadian province and the work experience is obtained or the project is located in a United States jurisdiction or Canadian province, or
(b) The supervising professional is licensed in a qualifying foreign country where the work experience is obtained or project is located.
Training credit shall be granted for work experience obtained under the authority of or on the property of the United States Federal Government when the work experience is obtained as or under the direct supervision of a licensed professional as defined in subsections (a)(8), (a)(12)(A), and (a)(13).
The term “qualifying foreign country” shall mean a foreign country whose standards and qualifications for issuing a license to practice architecture are equivalent to those required in this state.
(3) Employment shall be considered on the basis of a calendar month of 40-hour work weeks. Credit may be given for overtime.
(4) Every candidate shall earn at least one year of training credit for experience as or under the direct supervision of an architect(s) licensed in a United States jurisdiction granted at 100% credit or at least two years of experience under the direct supervision of an architect(s) registered in a Canadian province granted at 50% credit. 
(5) Any combination of credit received under subsections (a)(10)(B) and (a)(12)(A) shall not exceed the two years maximum credit allowed for experience as, or experience obtained under the direct supervision of, a registered civil or structural engineer and/or a licensed landscape architect licensed in a United States jurisdiction. Any combination of credit received under subsections (a)(10)(C) and (a)(12)(B) shall not exceed the one year maximum credit allowed for experience as, or experience obtained under the direct supervision of, a California licensed general building contractor. Any combination of credit received under subsections (a)(10)(D) and (a)(12)(C) shall not exceed the one year maximum credit allowed for experience as, or experience obtained under the direct supervision of, a California certified building official. Any combination of credit received under subsections (a)(10)(E) and (a)(15)(A) or (B) shall not exceed the maximum credit allowed for experience as, or experience obtained under the direct supervision of, a foreign licensed architect licensed in the qualifying foreign country where the experience occurred. A candidate cannot exceed two years maximum credit in any combination under subsections (a)(10)(B) through (D) and (a)(12)(A) through (C).
(6) Experience under the supervision of a “responsible managing officer” operating under a corporate contractor license shall qualify as experience under subsection (a)(12)(B) and shall be verified by the responsible managing officer of that corporation.
(7) For the purpose of this section, a California certified building official shall be as defined by Section 18949.27 of the Health and Safety Code as an individual who is certified in accordance with or otherwise exempt from Chapter 7, Part 2.5 of Division 13 (commencing with Health and Safety Code Section 18949.25).
(8) The entry point for IDP shall be as defined in NCARB's Intern Development Program Guidelines, as referenced in section 109(b)(2). 
(d) Practice Equivalents:
“Practice equivalents” shall mean Table categories (a)(8) through (a)(15).
(1) Practice credits for experience as a licensed architect, registered civil and/or structural engineer, California licensed general building contractor, licensed landscape architect, or certified California building official may be accumulated only after initial registration, licensure or certification by a licensing authority of a political jurisdiction.
(2) A candidate verifying his or her experience as a licensed architect, registered civil and/or structural engineer, California licensed general building contractor, licensed landscape architect, or certified California building official shall complete an Employment Verification Form (19C-12)(3/2006) available from the Board on his or her own behalf, submit proof of licensure, registration, or certification, and attach a list of projects for the time period covered. The list shall include the names and addresses of the clients, type of projects, construction costs, date project was started, date of completion, and all services provided by the candidate.
(e) Miscellaneous Information:
(1) Independent, non-licensed practice or experience, regardless of claimed coordination or liaison with licensed professionals, shall not be granted credit.
(2) Training experience under subsections (a)(10)(B) through (D), (a)(12), or (a)(14) can only be accumulated after the candidate has obtained credit for at least the five years of educational equivalents as evaluated by the Board. Candidates who are certified as having completed the requirements of IDP as referenced in section 109(b)(2), based upon receipt in the Board office of the candidate's current and valid NCARB IDP file transmitted by NCARB, or IAP, as referenced in section 109(b)(2), based upon receipt in the Board office of documentation transmitted by a Canadian provincial architectural association, are exempt from this requirement for their IDP/IAP training units.
NOTE

Authority cited: Sections 5526, 5550 and 5552, Business and Professions Code. Reference: Sections 5550 and 5552, Business and Professions Code.
HISTORY

1. Repealer and new section filed 7-16-79; effective thirtieth day thereafter (Register 79, No. 29).
2. Amendment of first paragraph and new subsections (a)-(e) filed 10-28-88; operative 11-27-88 (Register 88, No. 45).
3. Change without regulatory effect amending subsection (e)(1) filed 8-30- 90 pursuant to section 100, title 1, California Code of Regulations; operative 9-29-90 (Register 90, No. 42).
4. Change without regulatory effect amending subsection (e)(1) filed 7-10- 91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 43).
5. Amendment filed 8-26-92; operative 9-25-92 (Register 92, No. 35).
6. Amendment filed 4-5-95; operative 4-5-95 (Register 95, No. 14).
7. Amendment of first paragraph and subsections (a), (b)(9), (d)(2), (e)(2) and (e)(3) filed 10-16-96; operative 10-16-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 42).
8. Amendment of subsection (a)15.(a)-(b) and repealer and new subsection (c)(2) filed 2-6-97; operative 2-6-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 6).
9. Amendment filed 11-12-97; operative 12-12-97 (Register 97, No. 46).
10. Editorial correction of subsection (a) Table and subsections (b), (c) and (d) (Register 98, No. 16).
11. Editorial correction of subsection (e)(2) (Register 98, No. 33).
12. Editorial correction of subsections (c)(7) and (e)(2) (Register 98, No. 49).
13. Amendment filed 12-7-98; operative 1-6-99 (Register 98, No. 50).
14. Amendment of subsection (e)(3) filed 2-25-99; operative 2-25-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 9).
15. Change without regulatory effect amending subsection (d)(2) filed 1-7-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 1).
16. Amendment of subsections (a)(1), (a)(2), (a)(4), (a)(11), (a)(14)(B), (b)(1), (b)(3)-(5), (b)(11) and (b)(12) filed 3-13-2000; operative 3-13-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 11). 
17. Amendment filed 1-15-2003; operative 2-14-2003 (Register 2003, No. 3).
18. Amendment filed 7-16-2004; operative 7-16-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 29).
19. Amendment of second paragraph and subsections (b)(11)-(12), (c)(2) and (c)(4) filed 7-22-2005; operative 8-21-2005 (Register 2005, No. 29).
20. Change without regulatory effect amending subsections (c)(8), (d)(2) and (e)(2) filed 10-31-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 44).
21. Change without regulatory effect amending subsection (e)(2) filed 9-29-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
22. Amendment of subsection (c)(2) and new subsections (c)(2)(a) and (c)(2)(b) filed 3-3-2011; operative 3-3-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 9). 
23. Amendment of subsections (c)(8) and (e)(2) filed 1-11-2012; operative 2-10-2012 (Register 2012, No. 2).
§118. Time and Place of Examination.
Note     •     History

Examinations shall be held at such times and places as may be determined by the board.
NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Section 5550, Business and Professions Code.
HISTORY

1. Repealer and new section filed 2-24-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 9).
§118.5. Examination Transfer Credit.
Note     •     History

A candidate who is not a licensed architect and who has passed an examination prepared by NCARB or divisions thereof in another United States or Canadian jurisdiction shall be entitled to receive Board credit, in accordance with sections 119, 119.5, and 119.6, for those examination sections or divisions as they correspond to the ARE divisions.
NOTE

Authority cited: Sections 5526 and 5550, Business and Professions Code. Reference: Section 5500, Business and Professions Code.
HISTORY

1. New section filed 1-15-2003; operative 2-14-2003 (Register 2003, No. 3).
§119. Written Examination--Transition Plan.
Note     •     History

Effective January 1, 1987, all candidates for licensure as an architect shall pass all sections of the California architectural licensing examination, subject to the following provisions:
(a) Candidates who have previously received Board credit for any section of the Qualifying test or the Professional examination or division of the Architect Registration Examination (ARE) shall be given credit for those sections/divisions as these sections/divisions correspond to the 1987 California architectural licensing examination sections in accordance with the following transition chart:
Previous Sections Passed

	Professional Examination/	Credit to
	 Qualifying Test	 ARE Divisions

	Professional Examination, 
	  Section B, Part I & II	 Division A
	Professional Examination, 
	  Section A, (Design/Site)	 Division B and C
	Professional Examination, 
	  Section B, Part III	 Division D, E, F, G, & H
	Qualifying Test, 
	  Section B	 Division D, E, & F
	Qualifying Test, 
	  Section D	 Division G
	Qualifying Test,
	 Section C	 Division H
	Professional Examination, 
	  Section B, Part IV	 Division I

		Credit to
	Previous Division	1987 California
	Passed-ARE	Exam Sections

	Division A	Section 7
	Division B	Section 8
	Division C	Section 9
	Division D	Section 1
	Division E	Section 2
	Division F	Section 3
	Division G	Section 4
	Division H	Section 5
	Division I	Section 6
	
NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Sections 135 and 5550, Business and Professions Code.
HISTORY

1. Amendment filed 12-14-72 as an emergency; effective upon filing (Register 72, No. 51).
2. Certificate of Compliance filed 3-5-73 (Register 73, No. 10).
3. Repealer and new section filed 2-24-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 9).
4. Amendment filed 10-17-86; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 86, No. 42).
5. Amendment of subsection (a) filed 4-5-88; operative 5-5-88 (Register 88, No. 17). 
6. Amendment of introductory paragraph and subsections (a) and (b) filed 12-4-89; operative 12-4-89 pursuant to Government Code Section 11346.2(d) (Register 89, No. 49). 
7. Amendment of subsection (a), and repealer of subsection (b) filed 3-7-90; operative 3-7-90 (Register 90, No. 12).
8. Amendment filed 10-16-96; operative 10-16-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 42).
§119.5. 1989 and 1990 Transition Plan.
Note     •     History

(a) Effective January 1, 1989, Section I--“General Structures” and Section 3--“Long Span,” of the California architectural licensing examination shall be combined into a single section entitled “Section 1-Structural Systems.”
A candidate who has not received Board credit for Sections 1 and 3 of the 1987 or 1988 California architectural licensing examination shall be required to pass Section 1--“Structural Systems” of the 1989 California architectural licensing examination.
A candidate who has received Board credit on the 1987 or 1988 California architectural licensing examination shall be given credit on the 1989 California architectural licensing examination in accordance with the following transition table:

	Previous Sections Passed	Credit to 1989 
	1987/88 California Exam	California Exam

	Section 1	No credit
	Section 2	Section 2

	Section 3	No credit
	Section 4	Section 4

	Previous Sections Passed	Credit to 1989 
	1987/88 California Exam	California Exam

	Section 5	Section 5
	Section 6	Section 6
	Section 7	Section 7
	Section 8	Section 8
	Section 9	Section 9
	Section 1 and 3	Section 1
(b) Effective January l, 1990, the California architectural licensing examination shall consist of nine separate divisions. A candidate who has passed portions of the l989 California architectural licensing examination shall receive credit in accordance with the following transition table:

	Previous Sections Passed	Credit to 1990
	1989 California Exam	California Exam
	and Thereafter

	Section 1	Division D/F
	Section 2	Division E
	Section 3	Not Applicable
	Section 4	Division G
	Section 5	Division H
	Section 6	Division I
	Section 7	Division A
	Section 8	Division B.1 (Written)
		Division B.2 (Graphic)
	Section 9	Division C (Graphic)
(c) Effective January 1, 1990, a candidate who has passed all or portions of either the 1987, 1988, or 1989 Architect Registration Examination (ARE) as prepared by the NCARB, shall be given corresponding credit for those sections of the 1987, 1988 or 1989 California architectural licensing examination in accordance with the following transition tables:

	Previous Divisions Passed	Credit to 1987
	1987 ARE	California Exam Sections

	Division A	Section 7
	Division B	Section 8

	Division C	Section 9
	Division D	Section 1
	Division E	Section 2
	Division F	Section 3
	Division G	Section 4
	Division H	Section 5
	Division I	Section 6

	Previous Divisions Passed	Credit to 1988
	1988 ARE	California Exam Sections

	Division A	Section 7
	Division B.1 (Written)	Section 8
	Division B.2 (Graphic)	Section 8
	Division C (Graphic)	Section 9
	Division D/F	Sections 1 & 3
	Division E	Section 2
	Division G	Section 4
	Division H	Section 5
	Division I	Section 6

	Previous Divisions Passed	Credits to 1989
	1989 ARE	California Exam Sections

	Division A	Section 7
	Division B.1 (Written)	Section 8
	Division B.2 (Graphic)	Section 8

	Division C (Graphic)	Section 9
	Division D/F	Section 1

	Division E	Section 2

	Division G	Section 4
	Division H	Section 5
	Division I	Section 6
To receive credit for Section 8 of the 1988 or 1989 California architectural licensing examination, a candidate shall have passed both Division B.1 and Division B.2 of the 1988 or 1989 ARE.
NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Section 5550, Business and Professions Code.
HISTORY

1. New section filed 4-5-88; operative 5-5-88 (Register 88, No. 17).
2. Amendment filed 2-23-89; operative 3-25-89 (Register 89, No. 9).
3. Amendment of section heading, renumbering and amendment of introductory paragraph to subsection (a) and new subsection (b) filed 12-4-89; operative 12-4-89 pursuant to Government Code Section 11346.2(d) (Register 89, No. 49). 
4. Amendment of subsections (a) and (b), and new subsection (c) filed 3-7-90; operative 3-7-90 (Register 90, No. 12).
5. Amendment filed 10-16-96; operative 10-16-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 42).
6. Editorial correction of subsection (c) (Register 2011, No. 9).
§119.6. Computer-Based Examination Transition Plan.
Note     •     History

(a) Commencing with the first administration of the computer-based Architect Registration Examination (ARE) in February 1996, Division B1: Site Design (Written) and Division B2: Site Design (Graphic) of the California architectural licensing examination shall be combined into a single division entitled “Division B: Site Design.”
A candidate who has passed Division B: Site Design of the computer-based ARE during the February 1996 Field Test shall be given Board credit for both Division B1: Site Design (Written) and Division B2: Site Design (Graphic) of the California architectural licensing examination.
(b) Commencing with the implementation of the computer-based ARE in February 1997, Division B: Site Design shall be entitled “Site Planning.”
Effective July 1, 1996, a candidate who has not received Board credit for both Division B1: Site Design (Written) and Division B2: Site Design (Graphic) of the California architectural licensing examination by June 30, 1996 shall be required to pass the Site Planning division of the computer-based ARE.
(c) Commencing with the implementation of the computer-based ARE in February 1997, Division C: Building Design shall be separated into two divisions entitled “Building Planning” and “Building Technology.”
Effective November 1, 1996, a candidate who has not received Board credit for Division C: Building Design of the California architectural licensing examination by June 30, 1996 shall be required to pass both the Building Planning and Building Technology divisions of the computer-based ARE.
(d) Commencing with the implementation of the computer-based ARE in February 1997, the titles of the divisions of the ARE shall be revised to those listed on the following transition table.
Effective July 1, 1996, a candidate who has received Board credit on the 1990-1996 California architectural licensing examination shall be given Board credit on the computer-based ARE in accordance with the following transition table:

View Graphic
NOTE

Authority cited: Sections 5526 and 5550 Business and Professions Code. Reference: Section 5550 Business and Professions Code.
HISTORY

1. New section filed 3-1-96; operative 3-1-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 9).
2. Amendment filed 10-16-96; operative 10-16-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 42).
3. Amendment of subsection (d) table filed 12-30-2005; operative 1-1-2006 pursuant to Government Code section 11343.4 (Register 2005, No. 52).
§119.7. Examination Transition Plan -- ARE 3.1 to ARE 4.0.
Note     •     History

(a) Effective July 1, 2008, all candidates for licensure as an architect who have not passed at least one division of the Architect Registration Examination Version 3.1 (ARE 3.1) will be required to take and pass all divisions of Architect Registration Examination Version 4.0 (ARE 4.0) and versions thereafter.
(b) Effective July 1, 2008, all candidates for licensure as an architect who have passed at least one division of ARE 3.1 will have until June 30, 2009 to pass all remaining divisions of ARE 3.1.
(c) Effective July 1, 2009, candidates for licensure as an architect who have not passed all divisions of ARE 3.1 by June 30, 2009 will be required to transition to ARE 4.0 and versions thereafter.
Candidates who are required to transition from ARE 3.1 to ARE 4.0 will be required to take and pass divisions of ARE 4.0 in accordance with the following transition chart:

 Divisions Not Passed in Version 3.1	Divisions Required for Version 4.0

Pre-Design	Programming Planning & Practice
General Structures	Structural Systems
Lateral Forces	Structural Systems
Mechanical & Electrical Systems	Building Systems
Building Design/Materials &	Building Design & Construction 
 Methods	 Systems
Construction Documents & Services	Construction Documents & Services
Site Planning	Programming Planning & Practice
	Site Planning & Design
Building Planning	Schematic Design
Building Technology	Building Design & Construction 
	 Systems
	Building Systems
	Construction Documents & Services
	Structural Systems
NOTE

Authority cited: Sections 5526 and 5550, Business and Professions Code. Reference: Section 5550, Business and Professions Code.
HISTORY

1. New section filed 6-30-2008; operative 7-1-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 27). 
§120. Re-Examination.
Note     •     History

(a) Prior to January 1, 2006, candidates for the Architect Registration Examination (ARE) shall receive credit for each division passed and shall be required to retake only those divisions of the ARE previously failed. Credit for divisions passed prior to January 1, 2006 shall be retained.
(b) Effective January 1, 2006, candidates for the Architect Registration Examination (ARE) shall receive conditional credit for each division passed and shall be required to retake only those divisions of the ARE previously failed or those divisions passed on or after January 1, 2006 for which the conditional credit has expired. Conditional credit shall remain valid for five years after the date the division was passed for which conditional credit was granted. Conditional credit shall become full credit only if the conditional credit is within its five-year period of validity and the candidate has passed all remaining divisions of the ARE. Candidates who have received full credit for all divisions of the ARE shall be deemed to have passed the ARE.
(c) A candidate who has failed a division of the ARE or who has failed to appear for a scheduled division of the ARE shall not be permitted to take any subsequent division of the ARE unless he or she has reapplied properly to NCARB or its authorized representative for the division(s). 
(d) A candidate who has failed a division of the ARE shall not be permitted to reapply to NCARB or its authorized representative for that previously failed division within six (6) months after the date that the candidate last failed the division.
NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Section 5550, Business and Professions Code.
HISTORY

1. Repealer filed 12-12-78; effective thirtieth day thereafter (Register 78, No. 50). For former history, see Register 73, No. 10.
2. New section filed 2-18-81; effective thirtieth day thereafter (Register 81, No. 8).
3. Repealer and new section filed 3-22-83; effective thirtieth day thereafter (Register 83, No. 13).
4. Amendment filed 10-16-96; operative 10-16-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 42).
5. Redesignation of existing section as subsections (a), (c) and (d), amendment of newly designated subsection (a) and new subsection (b) filed 12-30-2005; operative 1-1-2006 pursuant to Government Code section 11343.4 (Register 2005, No. 52).
§121. Form of Examinations; Reciprocity.
Note     •     History

All candidates for an architectural license shall be required to take and successfully complete the Architect Registration Examination (ARE) and the California Supplemental Examination subject to the following provisions: 
(a)(1) A candidate who is licensed as an architect in another United States jurisdiction, (i.e., state, territory or possession of the United States) either by having passed a written architectural licensing examination administered by that United States jurisdiction on or before January 1, 1966 and who has engaged in the practice of architecture as a licensed architect for five or more years in one or more United States jurisdiction or by having passed an examination prepared by the National Council of Architectural Registration Boards (NCARB), comparable to the ARE (as determined by the Board), shall be eligible for licensure upon passing the California Supplemental Examination as specified in Section 124 of these regulations. 
(2) A candidate shall prior to licensure (1) complete IDP or IAP, as referenced in section 109(b)(2); or (2) submit to the Board (A) proof of licensure in another U.S. jurisdiction, (B) an Employment Verification Form on his or her own behalf documenting three years of architectural practice as a licensed architect in another U.S. jurisdiction, and (C) documentation of five years of education equivalents. Both documents referred to in the preceding sentence are hereby incorporated by reference. A candidate who holds a current and valid Certification by NCARB shall be exempt from the IDP/IAP/CIDP requirement and the requirement to submit items (A) through (C) prescribed in this subdivision upon receipt in the Board office of the candidate's current and valid NCARB blue cover Certification file transmitted by NCARB.
(b)(1) A candidate who is registered as an architect in a Canadian province and who holds a current and valid Certification issued by the National Council of Architectural Registration Boards shall be eligible for licensure upon passing the California Supplemental Examination as specified in Section 124 of these regulations.
(2) A candidate who is registered as an architect in the United Kingdom and who holds a current and valid Certification issued on or before December 31, 1996 by the National Council of Architectural Registration Boards shall be eligible for licensure upon passing the California Supplemental Examination as specified in Section 124 of these regulations.
NOTE

Authority cited: Sections 5526, 5550 and 5552.5, Business and Professions Code. Reference: Sections 5550, 5552 and 5552.5, Business and Professions Code. 
HISTORY

1. Amendment filed 12-14-72 as an emergency; effective upon filing (Register 72, No. 51). For prior history, see Register 63, No. 13. 
2. Certificate of Compliance filed 3-5-73 (Register 73, No. 10). 
3. Amendment filed 12-12-78; effective thirtieth day thereafter (Register 78, No. 50). 
4. Amendment filed 7-16-79; effective thirtieth day thereafter (Register 79, No. 29). 
5. Amendment of subsection (c) filed 3-25-81; effective thirtieth day thereafter (Register 81, No. 13). 
6. Amendment filed 2-24-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 9). 
7. Amendment filed 3-3-86; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 86, No. 10). 
8. Amendment filed 10-17-86; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 86, No. 42). 
9. Amendment of subsection (c) filed 7-28-87; operative 7-28-87 pursuant to Government Code Section 11346.2(d) (Register 87, No. 31). 
10. Amendment of subsection (a) filed 11-10-88; operative 12-10-88 (Register 88, No. 49). 
11. Amendment of introductory paragraph and subsections (a) and (b), and repealer of subsection (c) which expired by its own terms on 12-31-88 filed 12-4-89; operative 12-4-89 pursuant to Government Code Section 11346.2(d) (Register 89, No. 49). 
12. Amendment of subsections (a), (b)(1) and (b)(2) filed 3-7-90; operative 3-7-90 (Register 90, No. 12).
13. Repealer of subsection (a)(2), (a)(3), (a)(4), (b)(4), (b)(5) and (b)(6) filed 12-18-90; operative 1-1-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 5).
14. New subsection (b) and subsection relettering filed 6-22-95; operative 7-22-95 (Register 95, No. 25).
15. Amendment filed 10-16-96; operative 10-16-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 42).
16. Editorial correction of subsection (c) (Register 97, No. 5).
17. Amendment of newly designated subsection (b)(1), new subsection (b)(2) and amendment of Note filed 1-28-97; operative 1-28-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 5).
18. Change without regulatory effect amending section filed 10-15-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
19. Amendment filed 1-15-2003; operative 2-14-2003 (Register 2003, No. 3).
20. Redesignation and amendment of former subsection (a) as subsection (a)(1), new subsection (a)(2) and new last paragraph filed 7-16-2004; operative 7-16-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 29).
21. Change without regulatory effect amending subsection (a)(2) filed 9-29-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
22. Repealer of subsection (a)(2) pursuant to final paragraph 1-1-2011 (Register 2011, No. 38).
23. New subsection (a)(2), repealer of final paragraph and amendment of Note filed 9-22-2011; operative 10-22-2011 (Register 2011, No. 38).
24. Amendment of subsection (a)(2) filed 1-11-2012; operative 2-10-2012 (Register 2012, No. 2).
§122. Examinations; Waivers.
Note     •     History

Those applicants who had unsuccessfully attempted and were only required to complete the graphic design section of the Qualifying test shall have until June 30, 1982 to pass the graphic design section or the equivalent thereof in order to receive credit for the Qualifying test.
NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Section 5550, Business and Professions Code.
HISTORY

1. Amendment of subsection (c) filed 9-1-78 as an emergency; effective upon filing (Register 78, No. 35).
2. Certificate of Compliance filed 11-17-78 (Register 78, No. 46). 
3. Amendment of subsection (b) filed 12-12-78; effective thirtieth day thereafter (Register 78, No. 50). For prior history, see Register 75, No. 46.
4. Amendment of subsections (a), (c) and repealer of subsection (d) filed 7-16-79; effective thirtieth day thereafter (Register 79, No. 29).
5. Amendment of subsection (b)(1) filed 7-16-79; designated effective 3-1-81 (Register 79, No. 29).
6. Amendment of subsection (b)(1) filed 3-25-81; effective thirtieth day thereafter (Register 81, No. 13).
7. Amendment filed 2-24-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 9).
§122.5. Refund of Fees.
Note     •     History

If the board determines that a candidate is not eligible for any of the applicable examination or sections thereof for which he or she has applied, the examination fee submitted shall be refunded to such candidate.
NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Section 158, Business and Professions Code.
HISTORY

1. New section filed 8-4-70; effective thirtieth day thereafter (Register 70, No. 32).
2. Amendment filed 12-14-72 as an emergency; effective upon filing (Register 72, No. 51).
3. Certificate of Compliance filed 3-5-73 (Register 73, No. 10).
4. Repealer filed 5-21-76; effective thirtieth day thereafter (Register 76, No. 21).
5. New section filed 2-18-81; effective thirtieth day thereafter (Register 81, No. 8).
§123. Written Examination Credit. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Section 5550, Business and Professions Code.
HISTORY

1. New section filed 2-24-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 9). For history of former section, see Registers 79, No. 29; 75, No. 46; 73, No. 10; 72, No. 51 and 70, No. 32.
2. Amendment filed 10-17-86; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 86, No. 42).
3. Amendment filed 12-4-89; operative 12-4-89 pursuant to Government Code Section 11346.2(d) (Register 89, No. 49). 
4. Repealer filed 10-16-96; operative 10-16-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 42).
§124. California Supplemental Examination.
Note     •     History

(a) The California Supplemental Examination shall consist of an examination covering the practice of architecture. 
(b) A candidate who has been deemed eligible for the California Supplemental Examination, pursuant to Section 116(b)(2) of these regulations, shall submit the applicable fee and application, as provided by the Board.
(c) A candidate who fails the California Supplemental Examination shall be allowed to retake the examination only after reapplying with the Board, as prescribed above.
(d) A candidate who fails the California Supplemental Examination may not retake the examination for at least 180 days from the date that the candidate took the examination that he or she failed.
(e) Effective January 1, 1991, where a candidate who has been found to be deficient in an area or areas of the California Supplemental Examination, such candidate shall be required to reappear for another complete California Supplemental Examination.
(f) A candidate who has received Board credit for any individual section(s) of the California Supplemental Examination but who has not passed that exam as of January 1, 1991, shall be required to pass the California Supplemental Examination as administered after January 1, 1991.
NOTE

Authority cited: Sections 5526 and 5550, Business and Professions Code. Reference: Section 5550, Business and Professions Code.
HISTORY

1. Amendment filed 12-14-72 as an emergency; effective upon filing (Register 72, No. 51). For prior history, see Register 56, No. 51.
2. Certificate of Compliance filed 3-5-73 (Register 73, No. 10).
3. Amendment filed 11-14-75; effective thirtieth day thereafter (Register 75, No. 46).
4. Amendment filed 7-16-79; effective thirtieth day thereafter (Register 79, No. 29).
5. Amendment filed 7-3-80; effective thirtieth day thereafter (Register 80, No. 27).
6. Amendment filed 3-22-83; effective thirtieth day thereafter (Register 83, No. 13).
7. Amendment of subsections (a) and (b) and new subsection (c) filed 12-18-90; operative 1-1-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 5).
8. Editorial correction of printing error in HISTORY 7. filing date (Register 91, No. 32).
9. Amendment of subsections (a) and (c) filed 10-16-96; operative 10-16-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 42).
10. Change without regulatory effect amending section heading and section filed 10-15-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
11. Amendment of subsection (a), new subsections (b)-(d) and subsection relettering filed 5-18-2011; operative 5-18-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 20). 
§124.5. Review of California Supplemental Examination.
Note     •     History

(a) A candidate who has failed the California Supplemental Examination may apply to the Board for review. The Board's review shall be limited to situations where a candidate has alleged that he or she was significantly disadvantaged due to a significant procedural error in or adverse environmental conditions during the exam administration.
(b) A request for review and all supporting documentation shall be filed with the Board within 30 days after the date on which the examination result was mailed to the candidate. A request for review shall be made in writing and shall set forth the grounds for review and all of the specific facts or circumstances and how those facts or circumstances constitute the basis for review.
(c) Examination materials shall not be released to or reviewed by any candidate.
(d) Within 30 days after the Board has rendered a decision on a candidate's request for review, the candidate will be notified in writing of the Board's decision. In acting on requests for review, the Board may take such action as it deems appropriate, provided that such action shall not include the reversal of a failing score.
NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Section 5550, Business and Professions Code.
HISTORY

1. New section filed 4-7-95; operative 5-8-95 (Register 95, No. 14).
2. Change without regulatory effect amending section heading and subsection (a) filed 10-15-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§124.7. Expired License; California Supplemental Examination.
Note     •     History

An individual whose architect license has been expired for more than five years shall apply for a new license pursuant to Section 5600.3 of the code. Except as provided for in subdivision (a) of Section 5600.3, all such individuals shall be examined by the Board. In the examination of the applicant, the Board may waive all or portions of the Architect Registration Examination, but shall require the applicant to pass the California Supplemental Examination specified in Section 124.
NOTE

Authority cited: Sections 5526, 5550 and 5552, Business and Professions Code. Reference: Sections 5550, 5552 and 5600.3, Business and Professions Code.
HISTORY

1. New section filed 5-30-95; operative 6-29-95 (Register 95, No. 22).
2. Amendment filed 4-29-98; operative 5-29-98 (Register 98, No. 18).
3. Change without regulatory effect amending section heading and section filed 10-15-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§125. Examination Appeals. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 5526 and 5550, Business and Professions Code. Reference: Section 5550, Business and Professions Code.
HISTORY

1. New section filed 9-14-79; effective thirtieth day thereafter (Register 79, No. 37).
2. Amendment filed 10-17-86; effective upon filing pursuant to Government Code section 11346.2(d) (Register 86, No. 42).
3. Amendment of subsection (a) filed 12-4-89; operative 12-4-89 pursuant to Government Code section 11346.2(d) (Register 89, No. 49).
4. Amendment filed 10-31-90; operative 11-30-90 (Register 90, No. 49).
5. Repealer filed 11-10-94; operative 12-12-94 (Register 94, No. 45).
Article 5. Miscellaneous
§134. Use of the Term Architect; Responsible Control Within Business Entity.
Note     •     History

(a) Use of the Term Architect: It shall be unlawful for any person to use a business name that includes as part of its title or description of services the term “architect,” “architecture,” or “architectural,” or any abbreviations or confusingly similar variations thereof, unless that person is a business entity wherein an architect is: (1) in management control of the professional services that are offered and provided by the business entity; and, (2) either the owner, a part-owner, an officer or an employee of the business entity.
(b) Responsible Control within Business Entity: (1) Where a person uses a business name that includes as part of its title or description of services the term “architect,” “architecture,” or “architectural,” or any abbreviations or confusingly similar variations thereof, all of the professional services offered and provided by that person are to be offered and provided by or under the responsible control of an architect.
(c) Definitions of Terms Used in this Section:
(1) The term “professional services” shall be given the same meaning as defined in Business and Professions Code section 5500.1.
(2) The term “management control” shall mean general oversight of the professional services offered and provided by the business entity.
(3) The term “responsible control” shall be given the same meaning as defined in Business and Professions Code section 5535.1.
(4) The term “business entity” shall mean any sole proprietorship, firm, corporation, partnership, limited liability partnership, or alliance formed by written agreement to practice architecture including on a single project or on a series of projects.
(5) The term “person” shall be given the same meaning as defined in Business and Professions Code section 5535.
(6) The term “architect” shall be given the same meaning as defined in Business and Professions Code section 5500.
NOTE

Authority cited: Section 5526, Business Professions Code. Reference: Sections 5535.1, 5535.2, 5535.3, 5536, 5582 and 5582.1, Business and Professions Code.
HISTORY

1. Amendment filed 3-14-56; effective thirtieth day thereafter (Register 56, No. 5).
2. Amendment filed 10-27-65; effective thirtieth day thereafter (Register 65, No. 20).
3. Repealer and new section filed 10-17-88; operative 11-16-88 (Register 88, No. 44).
4. Repealer and new section heading and section and amendment of Note filed 7-18-2008; operative 8-17-2008 (Register 2008, No. 29).
§135. Association. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5526, Business and Professions Code. Reference cited: Sections 5561, 5583 and 5586, Business and Professions Code.
HISTORY

1. New section filed 7-3-80; effective thirtieth day thereafter (Register 80, No. 27).
2. Amendment of subsections (a)-(c) and new subsection (d) filed 10-17-88; operative 11-16-88 (Register 88, No. 44).
3. Editorial correction of subsection (b)(3) (Register 98, No. 33).
4. Repealer filed 7-18-2008; operative 8-17-2008 (Register 2008, No. 29).
§136. Stamp.
Note     •     History

(a) The stamp authorized for use by architects by section 5536.1 of the code may be purchased from any source. It shall be circular in shape and shall be not less than one (1) inch in diameter and not more than two (2) inches in diameter. The stamp shall be of a design similar to those shown below and shall bear at minimum those elements specified in section 5536.1(b) of the Code.
(b) The stamp shall not be of the embossing type.
(c) The license renewal date shall be shown on the stamp by either leaving a space on the stamp where the architect shall write his or her renewal date or having the license renewal date printed on the stamp.

View Graphic
NOTE

Authority cited: Sections 5526, 5536.1(d), 5550 and 5552, Business and Professions Code. Reference: Sections 5536.1(d), 5550 and 5552, Business and Professions Code.
HISTORY

1. New section filed 4-3-91; operative 4-3-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 16).
2. Change without regulatory effect amending subsections (a) and (c) and amending Note filed 10-31-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 44).
§137. Public Information Disclosure.
Note     •     History

(a) The Board shall establish and maintain a public information system to provide members of the public with information regarding complaints and disciplinary or enforcement actions against licensed architects and unlicensed persons subject to the Board's jurisdiction and Chapter 3, Division 3 of the Code (commencing with section 5500). Such a system shall also provide the public with information regarding the licensed status of the Board's licensees.
Information subject to the public information system shall be disclosed to members of the public, upon request, by telephone, in person, or in writing (including fax or email). Such information, when feasible and to the extent required or permitted by law, shall be made available by the Board in writing or by telephone. Requests for information shall be responded to within ten (10) days.
(b) Information to be Disclosed Regarding License Status. 
The Board shall disclose the following information regarding past and current licensees:
(1) The name of the licensee, as it appears in the Board's records;
(2) The license number;
(3) The address of record;
(4) The license issue date;
(5) The license expiration date; and
(6) The license status and history.
(c) Information to be Disclosed Regarding Disciplinary or Enforcement Action. 
Unless otherwise required by law, the Board shall disclose the following information regarding disciplinary or enforcement actions taken against licensees and unlicensed persons, if applicable:
(1) Total number of disciplinary and enforcement actions taken by the Board;
(2) Brief summary of disciplinary and enforcement actions taken by the Board; Citations that have been satisfactorily resolved shall be disclosed as such;
(3) Current status of pending Accusations, Statements of Issues, and Citations filed by the Board; disclosure of pending actions shall contain a disclaimer stating that the pending administrative action(s) against the person is/are alleged and no final legal determination has yet been made; further disclaimers or cautionary statements regarding such pending actions may also be made; and
(4) Information which is statutorily mandated to be disclosed.
(d) Information to be Disclosed Regarding Complaints. 
(1) The Board shall disclose complaint information when the executive officer has determined that:
(A) The complaint information has a direct and immediate relationship to the health and safety of another person; and
(B) One or more of the following have occurred:
1. A complaint involves a dangerous act or condition caused by the subject of the complaint that has or could result in a death, bodily injury or severe consequences and disclosure may protect the consumer and/or prevent additional harm to the public;
2. A series of complaints against a party alleging a pattern of unlawful activity has been received by the Board and it has been determined that disclosure may protect the consumer and/or prevent additional harm to the public;
3. A complaint has been referred to the Attorney General for filing of an Accusation or Statement of Issues; or
4. A complaint has been referred to other law enforcement entity for prosecution.
Complaint information that is determined to meet the conditions of disclosure listed in subsection (d)(1) shall be incorporated into the public information system no later than ten (10) days after the conditions of disclosure have been met.
(2) Information about a complaint shall not be disclosed if it is determined by the executive officer that any of the following apply:
(A) Disclosure is prohibited by statute or regulation;
(B) Disclosure might compromise an investigation or prosecution; or
(C) Disclosure might endanger or injure the complainant or third party.
(3) When conditions of disclosure have been met, the Board shall disclose the following information regarding complaints received against licensees and unlicensed persons, if applicable:
(A) Total number of complaints meeting conditions of disclosure;
(B) Date(s) of receipt and nature of the complaint(s);
(C) Disposition of the complaint(s), by indicating whether the matter has been:
1. Referred to formal disciplinary action;
2. Disposed of through any other action, formal or informal; or
3. Other disposition;
(D) Information which is statutorily mandated to be disclosed;
(E) Current status of criminal prosecution resulting from a complaint received by the Board;
(F) A description of the type of public information not included in the system (i.e., civil judgments, criminal convictions, unsubstantiated complaints); and
(G) Disclaimers indicating that the system does not constitute endorsement or non-endorsement of a person, and that the system may not contain all available information.
NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Sections 125.9, 129(e), 148, 5510.1 and 5560, Business and Professions Code; and Section 6253, Government Code.
HISTORY

1. New section filed 6-1-2006; operative 7-1-2006 (Register 2006, No. 22).
Article 6. Certificates
§138. Issuance of Original Certificate. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Sections 5551 and 5552, Business and Professions Code.
HISTORY

1. New section filed 12-14-72 as an emergency; effective upon filing (Register 72, No. 51).
2. Certificate of Compliance filed 3-5-73 (Register 73, No. 10).
3. Repealer filed 3-22-83; effective thirtieth day thereafter (Register 83, No. 13.)
§139. Issuance of Duplicate Certificates.
Note     •     History

Upon the submission of an affidavit by an architect verifying that his original certificate has been lost, destroyed or mutilated, and upon the payment of the fee as prescribed in Section 144, the Board shall issue a certificate marked “DUPLICATE.”
NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Section 5557, Business and Professions Code.
HISTORY

1. Amendment filed 3-9-79; effective thirtieth day thereafter (Register 79, No. 10).
2. Amendment filed 2-18-81; effective thirtieth day thereafter (Register 81, No. 8).
3. Amendment filed 10-16-96; operative 10-16-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 42).
§140. Notification of Licensure to Clients.
Note     •     History

Every licensee shall provide notice to the licensee's clients of the fact that the licensee is currently licensed by the Board. Notice shall be provided by any of the following methods:
(a) Displaying his or her license in a public area of the principal place of practice where the licensee provides the licensed service.
(b) Providing a statement to each client to be signed and dated by the client and retained in the architect's records, that states the client understands the architect is licensed by the California Architects Board.
(c) Including a statement that the licensee is licensed by the California Architects Board either on letterhead or on a contract for services.
(d) Posting a notice in a public area of the principal place of practice where the licensee provides the licensed service that states the named licensee is licensed by the California Architects Board.
NOTE

Authority cited: Section 5526(c), Business and Professions Code. Reference: Section 138, Business and Professions  Code.
HISTORY

1. New section filed 3-21-2000; operative 4-20-2000 (Register 2000, No. 12).  
Article 7. Fees
§144. Fees.
Note     •     History

Pursuant to Section 5604 of the code, the following fees are fixed by the Board effective January 1, 2011.
(a) The application fee for reviewing a candidate's eligibility to take any or all division(s) of the Architect Registration Examination (ARE) is one hundred dollars ($100) for applications submitted on or after July 1, 1999.
(b) The application fee for reviewing a reciprocity candidate's eligibility to take the California Supplemental Examination is thirty-five dollars ($35).
(c) The fee for the California Supplemental Examination is one hundred dollars ($100).
(d) The fee for an original license is three hundred dollars ($300). If the license is issued less than one year before the date on which it will expire, the fee is one hundred fifty dollars ($150).
(e) The biennial renewal fee commencing with the renewal period which begins on or after January 1, 2011 shall be three hundred dollars ($300).
(f) The delinquency fee is one hundred dollars ($100).
(g) The fee for a duplicate certificate is fifteen dollars ($15).
NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Section 5604, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 12-27-77 as an emergency; designated effective 1-1-78 (Register 77, No. 53). For prior history, see Register 75, No. 46.
2. Certificate of Compliance filed 4-4-78 (Register 78, No. 14).
3. New subsections (c) - (e) filed 7-19-79 as an emergency; effective upon filing (Register 79, No. 29). Certificate of Compliance included.
4. Amendment of subsections (b) and (d) filed 7-3-80; effective thirtieth day thereafter (Register 80, No. 27).
5. Amendment filed 2-18-81; effective thirtieth day thereafter (Register 81, No. 8).
6. Amendment filed 2-24-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 9).
7. Amendment of section heading and subsection (a) filed 10-17-86; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 86, No. 42).
8. Amendment of subsection (a) filed 4-5-88; operative 5-5-88 (Register 88, No. 17).
9. Amendment filed 11-10-88; effective 11-10-88 and operative 1-1-89 pursuant to Statutes 1988, Chapter 600 (Register 88, No. 47).
10. Amendment of subsection (a) filed 12-4-89; operative 12-4-89 pursuant to Government Code Section 11346.2(d) (Register 89, No. 49). 
11. Amendment filed 3-7-90; operative 3-7-90 (Register 90, No. 12).
12. Repealer of first paragraph and subsection (a), amendment of newly designated first paragraph and subsections (a), (b), (f) and (g) and relettering filed 12-17-92; effective 12-17-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 51). 
13. Amendment filed 10-16-96; operative 10-16-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 42).
14. Change without regulatory effect amending subsections (b) and (c) filed 10-15-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
15. Amendment of subsection (a) filed 2-25-99; operative 2-25-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 9).
16. Amendment of first paragraph and subsections (d)-(f) filed 11-23-2010; operative 11-23-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 48).
§145. Fees for Building Designers. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 5526 and 5605, Business and Professions Code. Reference: Section 5605, Business and Professions Code.
HISTORY

1. New section filed 7-19-79 as an emergency; effective upon filing (Register 79, No. 29). Certificate of Compliance included.
2. Repealer filed 9-6-89; operative 10-6-89 (Register 89, No. 37).
§146. Renewal of Building Designer Registration. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Section 5600 and 5600.2, Business and Professions Code.
HISTORY

1. New section filed 6-6-75; effective thirtieth day thereafter (Register 75, No. 23).
2. Amendment of section heading and NOTE filed 3-22-83; effective thirtieth day thereafter (Register 83, No. 13.)
3. Repealer filed 9-6-89; operative 10-6-89 (Register 89, No. 37).
Article 8. Disciplinary Proceedings
§150. Willful Misconduct.
Note     •     History

Willful misconduct includes the violation by an architect of a provision of the agreement with a client if:
(1) the architect has full knowledge that the conduct or omission is a violation of the agreement, and
(2) the architect has made no reasonable effort to inform the client of the conduct or omission.
NOTE

Authority cited: Section 5526, Business and Professions Code. Reference cited: Section 5584, Business and Professions Code.
HISTORY

1. New Article 8 (Sections 150 and 151) filed 7-3-80; effective thirtieth day thereafter (Register 80, No. 27).
2. Amendment filed 3-22-83; effective thirtieth day thereafter (Register 83, No. 13).
§151. Aiding and Abetting.
Note     •     History

(a) For purposes of Sections 5582 and 5582.1 of the code, aiding and abetting takes place when a California licensed architect signs any instrument of service which has been prepared by any person who is not:
(1) a California licensed architect or civil engineer or structural engineer, or
(2) a subordinate employee under his/her immediate and responsible direction, or
(3) an individual, who is associated by written agreement with the architect and who is under the architect's immediate and responsible direction as described in subsection (b) of this section.
(b) The requirements of “immediate and responsible direction” as used in this section shall be deemed to be satisfied when the architect:
(1) instructs the person described in subsection (a) of this section, in the preparation of instruments of service, and
(2) the architect has exercised the same judgment and responsibility in reviewing all stages of the design documents and other phases of the work as required by law, and which would normally be exercised if he/she personally performed the required tasks.
NOTE

Authority cited: Section 5526, Business and Professions Code. Reference cited: Sections 5551.1, 5582 and 5586, Business and Professions Code.
HISTORY

1. Amendment of subsections (a) and (b) filed 10-17-88; operative 11-16-88 (Register 88, No. 44).
§152. Citations.
Note     •     History

(a) The Board's executive officer is authorized to issue citations containing orders of abatement and/or administrative fines pursuant to sections 125.9 or 148 of the code against an architect or an unlicensed person who has committed any acts or omissions which are in violation of the Architects Practice Act or any regulation adopted pursuant thereto.
(b) A citation shall be issued whenever any order of abatement is issued or any fine is levied. Each citation shall be in writing and shall describe with particularity the nature and facts of the violation, including a reference to the statutes or regulations alleged to have been violated. The citation shall be served upon the individual personally or by certified mail. 
(c) Where citations include an assessment of an administrative fine, they shall be classified according to the nature of the violation and shall indicate the classification on the face thereof as follows:
(1) Class “A” violations are violations which the executive officer has determined involve an unlicensed person who has violated Business and Professions Code section 5536, including but not limited to, acting in the capacity of or engaged in the practice of architecture. A class “A” violation is subject to an administrative fine in an amount not less than seven hundred and fifty dollars ($750) and not exceeding two thousand five hundred dollars ($2,500) for each and every violation.
(2) Class “B” violations are violations which the executive officer has determined involve either a person who, while engaged in the practice of architecture, has violated a statute or regulation relating to the practice of architecture and which has caused physical damage to a structure or building or to real property or monetary damage to a client or member of the public or a person who has committed a class “C” violation and has one or more prior, separate class “C” violations. A class “B” violation is subject to an administrative fine in an amount not less than one thousand dollars ($1,000) and not exceeding two thousand five hundred dollars ($2,500) for each and every violation.
(3) Class “C” violations are violations which the executive officer has determined involve a person who, while engaged in the practice of architecture, has violated a statute or regulation relating to the practice of architecture and which has not caused the death of or bodily injury to another person or physical damage to a structure or building or to real property or monetary damage to a client or a member of the public. A class “C” violation is subject to an administrative fine in an amount not less than two hundred and fifty dollars ($250) and not exceeding one thousand dollars ($1,000) for each and every violation.
(d) In assessing the amount of an administrative fine, the executive officer shall consider the following criteria:
(1) The good or bad faith exhibited by the cited person.
(2) The nature and severity of the violation.
(3) Evidence that the violation was willful.
(4) History of violations of the same or similar nature.
(5) The extent to which the cited person has cooperated with the board's investigation.
(6) The extent to which the cited person has mitigated or attempted to mitigate any damage or injury caused by his or her violation.
(7) Such other matters as justice may require.
(e) Notwithstanding the administrative fine amounts specified in subsection (c), a citation may include a fine between $2,501 and $5,000 if one or more of the following circumstances apply:
(1) The citation involves a violation that has an immediate relationship to the health and safety of another person.
(2) The cited person has a history of two or more prior citations of the same or similar violations.
(3) The citation involves multiple violations that demonstrate a willful disregard of the law.
(4) The citation involves a violation or violations perpetrated against a senior citizen or disabled person.
(f) The sanction authorized under this section shall be separate from, and in addition to, any other civil or criminal remedies.
NOTE

Authority cited: Sections 125.9 and 5526, Business and Professions Code. Reference: Sections 125.9, 148, 149, 5510.1 and 5560, Business and Professions Code.
HISTORY

1. New section filed 12-2-86; designated effective 1-1-87 (Register 86, No. 49).
2. Amendment of section heading, section and Note filed 7-13-98; operative 8-12-98 (Register 98, No. 29).
3. Amendment of section and Note filed 5-22-2006; operative 6-21-2006 (Register 2006, No. 21).
§152.5. Contest of Citations, Informal Conference.
Note     •     History

(a) In addition to requesting an administrative hearing as provided for in subdivision (b)(4) of section 125.9 of the code, the cited person may request an informal conference to review the acts charged in the citation. A request for an informal conference shall be made in writing, within ten (10) days after service of the citation, to the executive officer.
(b) The executive officer shall hold, within sixty (60) days from the receipt of the request, an informal conference with the cited person. At the conclusion of the informal conference, the executive officer may affirm, modify or dismiss the citation, including any fine levied, order of abatement or order of correction issued. The executive officer shall state in writing the reasons for his or her action and transmit a copy of his or her findings and decision to the cited person.
Unless an administrative hearing as provided for in subdivision (b)(4) of section 125.9 of the code was requested in a timely manner, an informal conference decision which affirms the citation shall be deemed to be a final order with regard to the citation issued, including the fine levied and the order of abatement or order of correction.
(c) If the citation, including any fine levied or order of abatement or correction, is modified, the citation originally issued shall be considered withdrawn and a new citation issued. If the cited person desires a hearing to contest the new citation, he or she shall make a request in writing, within thirty (30) days of receipt of the informal conference decision, to the executive officer. The hearing shall be conducted as provided for in subdivision (b)(4) of section 125.9 of the code.
A cited person may not request an informal conference for a citation which has been modified following an informal conference.
NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Sections 125.9, 148 and 149, Business and Professions Code.
HISTORY

1. New section filed 7-13-98; operative 8-12-98 (Register 98, No. 29).
§153. Dwellings.
Note     •     History

(a) For the purposes of subdivision (a) of Section 5537 of the code, the term “single family dwelling” shall mean a free standing unattached dwelling of woodframe construction not more than two stories and basement in height. Such a single family dwelling shall not share any common building components, including, but limited to, foundations, roofing and structural systems, with any other structure or dwelling.
(b) For purpose of subdivision (a) of Section 5537 of the Code, the term “multiple dwellings” shall mean a structure composed of no more than four attached dwelling units which share any common building components including, but not limited to, foundations, roofing and structural systems. Such multiple dwelling units shall be of woodframe construction and not more than two stories and basement in height.
NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Section 5537, Business and Professions Code.
HISTORY

1. New Section filed 1-7-88; operative 2-6-88 (Register 88, No. 3).
§154. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), the Board shall consider the disciplinary guidelines entitled “Disciplinary Guidelines” [2000] which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the Board in its sole discretion determines that the facts of the particular case warrant such a deviation -- for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Sections 5510.1 and 5526, Business and Professions Code; and Section 11425.50(e), Government Code. Reference: Sections 125.3, 125.6, 480(a), 496, 5553, 5560, 5561.5, 5565, 5577, 5578, 5579, 5580, 5582, 5582.1, 5583, 5584 and 5585, Business and Professions Code; and Section 11425.50(e), Government Code.
HISTORY

1. New section filed 2-4-97; operative 2-4-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 6).
2. Amendment of section and “Disciplinary Guidelines” (incorporated by reference) and amendment of Note filed 2-26-99; operative 2-26-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 9).
3. Amendment of section and Note filed 3-13-2000; operative 3-13-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 11).
Article 9. Professional Conduct
§160. Rules of Professional Conduct.
Note     •     History

A violation of any rule of professional conduct in the practice of architecture constitutes a ground for disciplinary action. Every person who holds a license issued by the Board shall comply with the following:
(a) Competence:
(1) An architect shall undertake to perform professional services only when he or she, together with those whom the architect may engage as consultants, are qualified by education, training, and experience in the specific technical areas involved.
(2) In addition to subsection (a)(1) above, when practicing architecture, an architect shall act with reasonable care and competence, and shall apply the technical knowledge and skill which is ordinarily applied by architects of good standing, practicing in this state under similar circumstances and conditions.
(b) Willful Misconduct:
(1) In designing a project, an architect shall have knowledge of all applicable building laws, codes, and regulations. An architect may obtain the advice of other professionals (e.g., attorneys, engineers, and other qualified persons) as to the intent and meaning of such laws, codes, and regulations and shall not knowingly design a project in violation of such laws, codes and regulations.
(2) Whenever the Board is conducting an investigation, an architect or a candidate for licensure shall respond to the Board's requests for information and/or evidence within 30 days of the date mailed to or personally delivered on the architect or a candidate for licensure.
(c) Conflict of Interest:
(1) An architect shall not accept compensation for services from more than one party on a project unless the circumstances are fully disclosed to and agreed to (such disclosure and agreement to be in writing) by all such parties.
(2) If an architect has any business association or financial interest which is substantial enough to influence his or her judgment in connection with the performance of professional services, the architect shall fully disclose in writing to his or her client(s) or employer(s) the nature of the business association or financial interest. If the client(s) or employer(s) object(s) to such association or financial interest, the architect shall either terminate such association or interest or offer to give up the project or employment.
(3) An architect shall not solicit or accept payments, rebates, refunds, or commissions whether in the form of money or otherwise from material or equipment suppliers in return for specifying their products to a client of the architect.
(4) An architect shall not engage in a business or activity outside his or her capacity as an officer, employee, appointee, or agent of a governmental agency knowing that the business or activity may later be subject, directly or indirectly to the control, inspection, review, audit, or enforcement by the architect.
(5) When acting as the interpreter of construction contract documents and the judge of construction contract performance, an architect shall endeavor to secure faithful performance of all parties to the construction contract and shall not show partiality to any party.
(d) Full Disclosure:
(1) An architect shall accurately represent to a prospective or existing client or employer his or her qualifications and the scope of his or her responsibility in connection with projects or services for which he or she is claiming credit.
(2) An architect shall respond in writing within 30 days to any request from the Board for information solicited in connection with a candidate's application for a license to practice architecture. When providing information in connection with a candidate's application for a license to practice architecture, an architect shall accurately report the candidate's  training or experience for the period of time that the architect had direct supervision of the candidate.
(e) Copyright Infringement:
(1) An architect shall not have been found by a court to have infringed upon the copyrighted works of other architects or design professionals.
(f) Informed Consent:
(1) An architect shall not materially alter the scope or objective of a project without first fully informing the client and obtaining the consent of the client in writing.
NOTE

Authority cited: Section 5526, Business and Professions Code. Reference: Sections 5526 and 5578, Business and Professions Code.
HISTORY

1. New article 9 (section 160) and section filed 1-13-98; operative 2-12-98 (Register 98, No. 3).
2. New subsections (c)(4) and (e) filed 6-2-99; operative 7-2-99 (Register 99, No. 23).
3. New subsections (b)(2) and (c)(5), amendment of subsection (d)(2) and new subsections (f)-(f)(1) filed 7-12-2007; operative 8-11-2007 (Register 2007, No. 28).
Division 3. State Board of Barber Examiners

(Originally Printed 12-5-46)
Article 1. General Provisions
§200. Location of Office.
Note     •     History

NOTE

Authority cited for §§ 200 to 248, inclusive: Section 6508 of the Business and Professions Code.
HISTORY

1. Amendment filed 3-11-64; effective thirtieth day thereafter (Register 64, No. 6).
2. Amendment filed 8-19-75; effective thirtieth day thereafter (Register 75, No. 34).
3. Repealer of division 3, article 1 and section filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§201. Definitions.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6508, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 202 to section 201 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§202. Delegation of Certain Functions.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6503 and 6508, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 202 to section 201, and renumbering former section 203 to section 202 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§202.1. Duties of Executive Officer.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6503, 6503.5 and 6504, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 203.1 to section 202.1 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§203. Review of Applications; Processing Time.
Note     •     History

NOTE

Authority cited: Section 15376, Government Code; and Section 6508, Business and Professions Code. Reference: Section 15376, Government Code; and Sections 6534.1, 6534.9, 6545, 6547, 6548.5, 6549, 6549.1, 6550.5 and 6560, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 203 to section 202, and renumbering former section 203.4 to section 203 filed 6-19-89 (Register 89, No. 30). For prior history, see Registers 88, No. 40 and 87, No. 33.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
Article 2. Barber Colleges
§204. Application for Registration.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6534.1 and 6534.2, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 204.1 to section 204 filed 6-19-89 (Register 89, No. 30). For prior history, see Registers 88, No. 40 and 83, No. 25.
2. Repealer of article 2 and section filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§204.1. Premises.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6534.2 and 6534.6, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 204.1 to section 204, and renumbering former section 205 to section 204.1 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§204.2. Minimum Equipment.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6534.2 and 6580.3, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 204.2 to section 210, and renumbering former section 205 to section 204.2 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§204.3. Ventilation.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6580, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 222.2 to section 204.3 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§204.4. Barber College Floors.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6534.3 and 6580, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 222.3 to section 204.4 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§204.5. Workstands.
History

HISTORY

1. Change without regulatory effect renumbering former section 204.5 to section 206, and renumbering former section 222.4 to section 204.5 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§204.6. Headrests.
History

HISTORY

1. Change without regulatory effect renumbering former section 204.6 to section 224, and renumbering former section 222.5 to section 204.6 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§204.7. Labels on Bottles and Containers.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6508, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 204.7 to section 225, and renumbering former section 213.1 to section 204.7 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§205. Inspection.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6534.2 and 6534.3, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 205 to section 204.1, and renumbering former section 206 to section 205 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§206. Discontinuance of Business.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6508, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 206 to section 205, and renumbering former section 204.5 to section 206 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§206.1. Abandonment of Applications.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6534.1, 6545, 6547, 6549, 6550.5 and 6560, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 203.5 to section 206.1 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§207. Activities Prohibited in Colleges.
History

HISTORY

1. Change without regulatory effect renumbering former section 222.1 to section 207 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§207.1. False Advertising Services.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 137 and 6573, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 249(a)-(b)(2) to section 207.1 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§207.2. Advertising: Use of Barber Pole.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 137 and 6533, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 249(b)(4) to section 207.2 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§208. New Course of Instruction.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6535, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 208 to section 950.1 filed 10-4-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 41). For prior history, see Register 89, No. 30.
§208.1. Instruction Limited to College; Exceptions.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6527, 6527.5 and 6534, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 219.6 to section 208.1 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§208.2. Correspondence Course.
History

HISTORY

1. Change without regulatory effect renumbering former section 221 to section 208.2 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§208.3. Payment of Commissions by Barber Colleges.
History

HISTORY

1. Change without regulatory effect renumbering former section 220 to section 208.3 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§209. Number of Instructors.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6527.5, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 209 to section 211, and renumbering former section 218 to section 209 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§210. Student Enrollments.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6536 and 6537, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 204.2 to section 210 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§211. Verification of Educational Requirement.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6546.5, 6560.5 and 6562, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 209 to section 211 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§212. Scope of Instructor's Work.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6527.5, Business and Professions Code.
HISTORY

1. Amendment filed 1-11-54; effective thirtieth day thereafter (Register 54, No. 2).
2. Amendment filed 3-11-64; effective thirtieth day thereafter (Register 64, No. 6).
3. Amendment filed 9-4-69; effective thirtieth day thereafter (Register 69, No.36).
4. New NOTE filed 6-16-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 25).
5. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§213. Instructor Training Program.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6537.4, 6550.5, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 213 to section 950.6 filed 10-4-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 41). For prior history, see Register 89, No. 30.
§213.1. Seminars.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6550.6, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 213.1 to section 204.7, and renumbering former section 242 to section 213.1 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§214. Demonstrations of Acts of Barbering.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6509, 6520, 6521, 6524-6535, 6537, 6537.1, 6537.2, 6545-6550.6, 6560-6562, 6570-6596, 6600-6605 and 6634, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 214(a), (b) to section 218.1, section 214(c) to section 218, section 214(d) to section 218.1, and renumbering former section 212.2 to section 214 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§215. Barber College; 400-Hour Course.
Note     •     History

NOTE

Authority cited: Sections 6508 and 6545.1, Business and Professions Code. Reference: Section 6545.1, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 215 to section 950.8 filed 10-4-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 41). For prior history, see Register 89, No. 30.
§215.1. Barber Student; 400-Hour Course.
Note     •     History

NOTE

Authority cited: Sections 6508 and 6545.1, Business and Professions Code. Reference: Section 6545.1, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 219.2 to section 215.1 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§216. Barber Student; 250-Hour Course.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6508, 6536 and 6537, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 216 to section 221, and renumbering former section 219.4 to section 216 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§217. Refresher Students.
Note     •     History

NOTE

Authority cited: Sections 6508 and 6537, Business and Professions Code. Reference: Section 6537, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 219 to section 217 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§218. Student Enrollment.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6545, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 218 to section 209, and renumbering former section 214(c) to section 218 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§218.1. Attendance.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6537 and 6545.1(d), Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 214(a),(b) to section 218.1 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§218.2. Extensions.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6535.1, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 214(d) to section 218.2 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§219. Records.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6535, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 219 to section 217, and renumbering former section 216.1 to section 219 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§220. Transfers.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6536 and 6537, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 220 to section 208.3, and renumbering former section 214.1 to section 220 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§221. Conduct of Students.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6523, 6524, 6572, 6578, 6580.1, 6580.2 and 6582, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 221 to section 208.2, and renumbering former section 216 to section 221 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§222. Uniforms During College Hours.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6508, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 213 to section 222 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§223. Washing Hands.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6582, Business and Professions Code.
HISTORY

1. To change without regulatory effect renumbering former section 223 to section 235, and renumbering former section 222.6 to section 223 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§224. Student Security Trust Fund.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6540, 6540.3, 6541 and 6541.5, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 224(a) to sections 242.1 and 242.2, section 224(b) to section 243, section 224(c) to section 244, section 224(c), (d) to section 237, and renumbering former section 204.6 to section 224 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Amendment of subsection (b) filed 10-13-89; operative 11-12-89 (Register 89, No. 42).
3. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
Article 2.5. Institutional Training Programs
§225. Reimbursement from Trust Fund.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6540, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 225(a)-(c) to section 240, section 225(d) to section 244, section 225(e) to section 239, section 225(f) to section 240.5, and renumbering former section 204.7 to section 225 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer of article 2.5 and section filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§230. Department of Corrections Course.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6546.6, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 252 to section 230 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§231. Federal Correctional Institutions.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6546.6, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 231 to section 291, and renumbering former section 253 to section 231 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
Article 3. Barber Shops
§235. Definition.
History

HISTORY

1. Change without regulatory effect renumbering former section 235 to section 297, and renumbering former section 223 to section 235 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer of article 3 and section filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§236. Application for Registration.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6578 and 6582, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 225(d) to section 236 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§237. Establishment License.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6525 and 6549, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 224(c), (d) to section 237 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§238. Location.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6585 and 6604, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 224.1(b) and section 238 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§239. Premises.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6578, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 225(e) to section 239 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§240. Equipment and Sanitation.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6578, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 225(a)-(c) to section 240 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§240.1. Ventilation.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6580, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 224.4 to section 240.1 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§240.2. Barbershop Floors.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6580, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 224.5 to section 240.2 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§240.3. Workstands.
History

HISTORY

1. Change without regulatory effect renumbering former section 224.6 to section 240.3 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§240.4. Headrests.
History

HISTORY

1. Change without regulatory effect renumbering former section 224.7 to section 240.4 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§240.5. Neck Dusters and Brushes.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6578, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 225(f) to section 240.5 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§241. Approval of Disinfectants.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6578(h), Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 244 to section 241 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§242. Display of Certificates.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6522.5, 6523 and 6524, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 242 to section 213.1, and renumbering and amendment of former section 224(b) to section 242 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§242.1. Display of Barber Shop Certificate.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6520, 6525, 6546.1, 6549 and 6565, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 224(a) to section 242.1 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§242.2. Supervision and Barber in Charge.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6520, 6525, 6546.1, 6549 and 6565, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 224(a) to section 242.2 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§243. Photographs.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6522.5, 6523 and 6524, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 224(b) to section 243 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§244. Change in Ownership, Location or Floor Plan.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6549, 6549.1, 6549.6, 6525 and 6578, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 244 to section 241, and renumbering former section 224(c), section 224.05 and section 225(d) to section 244 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§245. Multi-Purpose Establishment.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6585, 6604 and 6549.6, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 224.1(a) to section 245 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§246. Activities Prohibited in Shops.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6580, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 246(a), (b) to section 250, section 246(c) to section 250.1, section 246(d), (g) to section 250.2, section 246(e) to section 256, section 246(f) to section 250.4, and renumbering former section 224.2(a) to section 246 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§246.1. Leasing and Rental Agreements.
History

HISTORY

1. Change without regulatory effect renumbering former section 246.1 to section 250.3, and renumbering former section 224.3 to section 246.1 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§246.2. Animals in Barber Shops.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6580, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 246.2 to section 256, and renumbering former section 224.2 to section 246.2 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
Article 4. Apprentices
§247. Barbershop Advertising.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 137 and 6573, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 247(a), (c) to section 253, section 247(b), (g) to section 254, section 247(i) to section 254.1, section 247(e), (f) to section 255, section 247(d) to section 257, section 247(h) to section 258, and renumbering and amendment of former section 249(a), (b)(1), (b)(3) to section 247 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer of article 4 and section filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§250. Approval of Apprentice Training Programs.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6545, 6546.1, 6537.3 and 6550, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 250 to section 290, and renumbering former section 246(a), (b) to section 250 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
§250.1. Applications for Apprentice Training Programs.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6546.1, 6537.3, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 246(c) to section 250.1 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
§250.2. Premises and Equipment Requirements for Approval.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6546.1, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 246(d), (g) to section 250.2 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
§250.3. Enrollment of Apprentices.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6537.5, 6546.1, 6546 and 6550, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 246.1 and section 246.3(a) to section 250.3 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
§250.4. Classroom Instruction.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6537.3 and 6546.1, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 246(f) to section 250.4 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
§251. Training Hours and Schedule.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6546 and 6546.1, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 251 to section 296, and renumbering former section 231.5(a) to section 251 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
§252. Pre-Apprenticeship Training.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6508 and 6546, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 252 to section 230, and renumbering section 247.1 to section 252 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
§253. Board Approved Trainers.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6546.1, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 253 to section 231, and renumbering former section 247(a), (c) to section 253 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
§254. Board Approved Establishments.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6546.1 and 6550, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 247(b), (g) to section 254 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
§254.1. Record of Apprentice Training.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6546.1, 6545, 6546, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 234 and section 247(i) to section 254.1 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
§255. Practical Training Requirements.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6546.1 and 6550, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 247(e), (f) to section 255 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
§256. Instructor Requirements.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6550.5 and 6537.3, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 246(e), section 246.2 and section 246.3(b) to section 256 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
§257. Apprentice Certificate Display.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6546.1, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 247(d) to section 257 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
§258. Posting of Sign.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6546.1, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 247(h) to section 258 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
§259. Attendance.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6546.1, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 246.3(c)-(e) to section 259 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
§260. Transfers and Termination.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6546.1, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 246.3(f), (g) to section 260 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
§261. Application to Take Examination.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6545, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 231.5(c) to section 261 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
§262. Surrender of Certificate.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6546, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 231.5(b) to section 262 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
§263. Completion of Apprentice Training Program.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6546.1, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 246.4 to section 263 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
§264. Canceled Apprentice Certificates.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6545 and 6546, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 231.6 to section 264 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
§265. No Fee for Services in JATC Program.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6537.3, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 246.5 to section 265 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
§266. Restrictions on Apprentice Training.
History

HISTORY

1. Change without regulatory effect renumbering former section 247.2 to section 266 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
§267. Service by Registered Apprentices.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6545, 6546, 6546.1 and 6550, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 232 to section 267 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 5-20-94; operative 6-20-94 (Register 94, No. 20).
Article 5. Barbers
§271. Restoration of Expired Certificate.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6626, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 249.4 to section 271 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer of article 5 and section filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§272. Compliance with Sanitation Requirements.
History

HISTORY

1. Change without regulatory effect renumbering former section 225.1 to section 272 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
Article 6. Examinations
§276. Eligibility Limitation.
Note     •     History

NOTE

Authority cited: Sections 6508 and 6511.6, Business and Professions Code. Reference: Sections 6545, 6545.1, 6550.5 and 6560, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 226 to section 276 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer of article 6 and section filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§277. Application to Use Interpreter.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6511.6, 6545, 6546.1 and 6560, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 227 to section 277 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§278. Notice of Examination to Applicant Using Interpreter.
Note     •     History

NOTE

Authority cited: Sections 6508 and 6511.6, Business and Professions Code. Reference: Sections 6545, 6547 and 6560, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 227.1 to section 278 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§279. Use of Interpreter Prohibited.
History

HISTORY

1. Change without regulatory effect renumbering former section 227.4 to section 279 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§280. Furnishing False Information in Connection with Use of Interpreter.
Note     •     History

NOTE

Authority cited: Sections 6508 and 6511.6, Business and Professions Code. Reference: Sections 6545, 6547 and 6560, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 227.2 to section 280 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§281. Limitations on Interpreters.
Note     •     History

NOTE

Authority cited: Sections 6508 and 6511.6, Business and Professions Code. Reference: Sections 6545, 6547 and 6560, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 227.3 to section 281 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§282. Examination Attire.
Note     •     History

NOTE

Authority cited: Sections 6508 and 6511.6, Business and Professions Code. Reference: Section 6548, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 228 to section 282 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§283. Examination Appeal.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6545, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 203.2 to section 283 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
Article 7. Rehabilitation
§290. Violation of Rules and Regulations.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6509, 6520, 6521, 6524-6535, 6537, 6537.1, 6537.2, 6545-6550.6, 6560-6562, 6570-6596, 6600-6605 and 6634, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 250 to section 290 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer of article 7 and section filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§291. Substantial Relationship Criteria.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 481, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 231 to section 291 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§292. Criteria for Rehabilitation.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 482, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 231.1 to section 292 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
Article 8. Miscellaneous
§295. Charge for Dishonored Check.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6157, Government Code.
HISTORY

1. Change without regulatory effect renumbering former section 236.1 to section 295 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer of article 8 and section filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§296. Address Change.
History

HISTORY

1. Change without regulatory effect renumbering former section 251 to section 296 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§297. Reciprocity.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Section 6560, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 235 to section 297 filed 6-19-89 (Register 89, No. 30). For prior history, see Register 88, No. 40.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
Article 9. Administrative Fines
§300. Administrative Fines.
Note     •     History

NOTE

Authority cited: Section 6508, Business and Professions Code. Reference: Sections 6522.5, 6523, 6524, 6525, 6526, 6527, 6527.5, 6528, 6534.9 6537.1, 6546.1, 6550, 6550.6, 6565, 6571.5, 6572, 6573, 6574, 6578, 6579, 6580, 6582, 6585, 6601 and 6607, Business and Professions Code.
HISTORY

1. New article 7.5 (section 300) filed 9-19-85; effective upon filing pursuant to Government Code section 11346.2(d) (Register 85, No. 38). For prior history, see Register 76, No. 50.
2. Amendment filed 9-19-88; operative 10-19-88 (Register 88, No. 40).
3. Change without regulatory effect renumbering former article 7.5 to article 9 filed 6-19-89 (Register 89, No. 30).
4. Change without regulatory effect of subsection (b) filed 8-4-89 pursuant to section 100, title 1, California Code of Regulations (Register 89, No. 33).
5. Editorial correction of HISTORY  1 (Register 90, No. 21).
6. Repealer of article 9 and section filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
Division 4. State Board of  Chiropractic Examiners

(Originally Printed 12-5-46)
Article 1. General Provisions
§301. Tenses, Gender and Number.
History

For the purpose of the rules and regulations contained in this chapter, the present tense includes the past and future tenses, and the future, the present; the masculine gender includes the feminine, and the feminine, the masculine; and the singular includes the plural, and the plural, the singular.
HISTORY

1. For prior history of sections 300 and 301, see Registers 88, No. 23 and 76, No. 50 (Register 90, No. 21). 
§302. Practice of Chiropractic.
Note     •     History

(a) Scope of Practice.
(1) A duly licensed chiropractor may manipulate and adjust the spinal column and other joints of the human body and in the process thereof a chiropractor may manipulate the muscle and connective tissue related thereto.
(2) As part of a course of chiropractic treatment, a duly licensed chiropractor may use all necessary mechanical, hygienic, and sanitary measures incident to the care of the body, including, but not limited to, air, cold, diet, exercise, heat, light, massage, physical culture, rest, ultrasound, water, and physical therapy techniques in the course of chiropractic manipulations and/or adjustments.
(3) Other than as explicitly set forth in section 10(b) of the Act, a duly licensed chiropractor may treat any condition, disease, or injury in any patient, including a pregnant woman, and may diagnose, so long as such treatment or diagnosis is done in a manner consistent with chiropractic methods and techniques and so long as such methods and treatment do not constitute the practice of medicine by exceeding the legal scope of chiropractic practice as set forth in this section.
(4) A chiropractic license issued in the State of California does not authorize the holder thereof:
(A) to practice surgery or to sever or penetrate tissues of human beings, including, but not limited to severing the umbilical cord;
(B) to deliver a human child or practice obstetrics;
(C) to practice dentistry;
(D) to practice optometry;
(E) to use any drug or medicine included in materia medica;
(F) to use a lithotripter;
(G) to use ultrasound on a fetus for either diagnostic or treatment purposes; or
(H) to perform a mammography.
(5) A duly licensed chiropractor may employ the use of vitamins, food supplements, foods for special dietary use, or proprietary medicines, if the above substances are also included in section 4057 of the Business and Professions Code, so long as such substances are not included in materia medica as defined in section 13 of the Business and Professions Code.
The use of such substances by a licensed chiropractor in the treatment of illness or injury must be within the scope of the practice of chiropractic as defined in section 7 of the Act.
(6) Except as specifically provided in section 302(a)(4), a duly licensed chiropractor may make use of X-ray and thermography equipment for the purposes of diagnosis but not for the purposes of treatment. A duly licensed chiropractor may make use of diagnostic ultrasound equipment for the purposes of neuromuscular skeletal diagnosis.
(7) A duly licensed chiropractor may only practice or attempt to practice or hold himself or herself out as practicing a system of chiropractic. A duly licensed chiropractor may also advertise the use of the modalities authorized by this section as a part of a course of chiropractic treatment, but is not required to use all of the diagnostic and treatment modalities set forth in this section. A chiropractor may not hold himself or herself out as being licensed as anything other than a chiropractor or as holding any other healing arts license or as practicing physical therapy or use the term “physical therapy” in advertising unless he or she holds another such license.
(b) Definitions.
(1) Board. The term “board” means the State Board of Chiropractic Examiners.
(2) Act. The term “act” means the Chiropractic Initiative Act of California as amended.
Note: The Chiropractic Initiative Act of California is listed in West's Annotated California Codes following section 1000 of the Business and Professions Code, and in Deering's California Codes Annotated as an appendix to the Business and Professions Code.
(3) Duly licensed chiropractor. The term “duly licensed chiropractor” means any chiropractor in the State of California holding an unrevoked certificate to practice chiropractic, as that term is defined in section 7 of the Act, that has been issued by the board.
NOTE

Authority cited: Sections 1000-4(b) and 1000-10(a), Business and Professions Code. Reference: Sections 1000-5 and 1000-7, Business and Professions Code.
HISTORY

1. Renumbering of subsection (b) to subsection (c) filed 7-7-78; effective thirtieth day thereafter (Register 78, No. 27). For prior history, see Register 65, No. 24.
2. Redesignation of section 318 as subsection 302(b) filed 7-7-78; effective thirtieth day thereafter (Register 78, No. 27).
3. Repealer and new section filed 8-4-87; operative 9-3-87 (Register 87, No. 32).
4. Change without regulatory effect of subsection (b)(2) (Register 88, No. 23).
5. Amendment of subsection (a) filed 4-4-91 as an emergency; operative 4-4-91 (Register 91, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-3-91 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (a) with amendments refiled 6-3-91 as an emergency; operative 6-3-91 (Register 91, No. 34). A Certificate of Compliance must be transmitted to OAL by 10-1-91 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-3-91 order transmitted to OAL 9-27-91 and filed 10-23-91 (Register 92, No. 24).
8. Change without regulatory effect amending subsection (a)(5) filed 1-12-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 2).
§303. Filing of Addresses.
Note     •     History

Each person holding a license to practice chiropractic in the State of California under any and all laws administered by the board shall file his proper and current place of practice address of his principal office and, where appropriate, each and every sub-office, with the board at its office in Sacramento and shall immediately notify the board at its said office of any and all changes of place of practice address, giving both his old and his new address within 30 days of change.
NOTE

Authority cited: Sections 1000-4(b) and 1000-4(e), Business and Professions Code. Reference: Section 1000-10(a), Business and Professions Code.
HISTORY

1. Amendment filed 1-4-77; effective thirtieth day thereafter (Register 77, No.2).
2. Amendment filed 7-30-87; operative 8-29-87 (Register 87, No. 32)
§304. Discipline by Another State.
Note     •     History

The revocation, suspension, or other discipline by another state of a license or certificate to practice chiropractic, or any other health care profession for which a license or certificate is required, shall constitute grounds for disciplinary action against a chiropractic licensee or grounds for the denial of chiropractic licensure of an applicant in this state.
NOTE

Authority cited: Section 4(b) of the Chiropractic Initiative Act of California (Stats. 1923, p. lxxxviii). Reference: Section 4(b) of the Chiropractic Initiative Act of California (Stats. 1923, p. lxxxviii).
HISTORY

1. New section filed 2-5-80; effective thirtieth day thereafter (Register 80, No. 5). For prior history, see Register 76, No. 50.
2. Repealer of section heading and section and new section heading and section filed 4-6-2000; operative 5-6-2000 (Register 2000, No. 14).
§305. Procedure in Disciplinary Proceedings.
Note     •     History

All proceedings relating to the refusal to grant, suspension or revocation of a license to practice chiropractic, or for the reissuance or reinstatement of a license which has been suspended or revoked, or for the disciplining of licensees in any manner shall be conducted in accordance with the provisions of Section 11500 et seq. of Chapter 5 of Part 1 of Division 3 of Title 2 of the Government Code.
NOTE

Authority cited: Sections 1000-4(b), 1000-4(e) and 1000-10(b), Business and Professions Code (Chiropractic Initiative Act). Reference: Section 1000-4(h), Business and Professions Code.
HISTORY

1. Amendment of section and new Note filed 5-13-93; operative 6-14-93 (Register 93, No. 20).
2. Amendment filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
§306. Delegation of Certain Functions.
Note     •     History

The power and discretion of the board to receive and file accusations; issue notices of hearing, statements to respondent, statements of issues, subpoenas, and subpoenas duces tecum; receive and file notices of defense; set and calendar cases for hearing; certify and deliver or mail copies of decisions; and perform other functions necessary to expedite the business of the board in connection with the conduct of the proceedings mentioned in Section 305 hereof in accordance with the provisions of Chapter 5 of Part 1 of Division 3 of Title 2 of the Government Code, are hereby delegated to the Executive Officer.
NOTE

Authority cited: Sections 1000-4(b) and 1000-4(e), Business and Professions Code. Reference: Section 1000-3, Business and Professions Code.
HISTORY

1. Amendment filed 12-6-65; effective thirtieth day thereafter (Register 65, No. 24).
2. Amendment filed 7-30-87; operative 8-29-87 (Register 87, No. 32).
3. Change without regulatory effect amending section filed 10-5-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 40).
§306.1. Chiropractic Quality Review Panel (CQRP). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 1000-4(b), 1000-4(c), 1000-4(d), 1000-4(e), and 1000-10(a), Business and Professions Code (Chiropractic Initiative Act). Reference: Sections 1000-4(h), 1000-6(a), Business and Professions Code.
HISTORY

1. New section filed 5-13-93; operative 6-14-93 (Register 93, No. 20).
2. Change without regulatory effect amending first paragraph and subsections (a)(2), (c)(8)-(9), (d)(2), (d)(4), (e)(1) and (e)(3) filed 10-5-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 40).
3. Repealer filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
§306.2. Persons Not Employees Hired by or Under Contract with the Board.
Note     •     History

If a person, not a regular employee of the board, is hired or is under contract to provide expertise or to perform investigations for the Board of Chiropractic Examiners in the evaluation of the conduct of a licensee or administration of a board examination, and such person is named as a defendant in a civil action directly resulting from opinions rendered, statements made, investigations conducted or testimony given, the board shall provide for representation required to defend the defendant in that civil action. The board shall not be liable for any judgment rendered against that person. The Attorney General shall be utilized in those civil actions.
NOTE

Authority cited: Sections 1000-4(b), 1000-4(e) and 1000-10(a), Business and Professions Code (Chiropractic Initiative Act). Reference: Sections 1000-4(h) and 154.5, Business and Professions Code.
HISTORY

1. New section filed 5-13-93; operative 6-14-93 (Register 93, No. 20).
2. Amendment of section heading and section filed 9-23-2002; operative 10-23-2002 (Register 2002, No. 39).
§306.3. Investigators; Authority to Inspect Premises.
Note     •     History

The board or its designee may inspect the physical premises of any chiropractic office during regular business hours.
NOTE

Authority cited: Sections 1000-4(b) and 1000-4(e), Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii). Reference: Sections 1000-4(b), 1000-4(e) and 1000-4(h), Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii).
HISTORY

1. New section filed 10-2-2002; operative 11-1-2002 (Register 2002, No. 40).
§307. Refund of Fees.
History

The board is not authorized or permitted by law to return any portion of the license application fee of a qualified applicant.
HISTORY

1. Amendment filed 12-6-65; effective thirtieth day thereafter (Register 65, No. 24).
§308. Display of License.
Note     •     History

(a) Each person holding a license shall display a current active license in a conspicuous place in the licensee's principal office or primary place of practice. 
(b) Any licensed Doctor of Chiropractic with more than one place of practice shall obtain from the Board a Satellite Office Certificate for each additional place of practice. Said certificate must be renewed annually.
(c) A licensed Doctor of Chiropractic must display in a conspicuous place a current active Satellite Office Certificate at the office for which it was issued.
No licensed Doctor of Chiropractic shall display any chiropractic license, certificate or registration, which is not currently active and valid.
NOTE

Authority cited: Section 1000-4(b), Business and Professions Code. Reference: Sections 1000-5, 1000-7 and 1000-12, Business and Professions Code.
HISTORY

1. New section filed 2-26-51 as an emergency; effective upon filing (Register 23, No. 4).
2. Amendment filed 1-4-77; effective thirtieth day thereafter (Register 77, No. 2).
3. Amendment filed 2-27-78; effective thirtieth day thereafter (Register 78, No. 9).
4. Amendment filed 2-15-79; effective thirtieth day thereafter (Register 79, No. 7).
5. Amendment filed 7-30-87; operative 8-29-87 (Register 87, No. 32).
6. Amendment of section and Note filed 10-8-2002; operative 11-7-2002 (Register 2002, No. 41).
§309. Posting of Notice of Revocation or Suspension. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4(b), Chiropractic Initiative Act of California.
HISTORY

1. New section filed 7-7-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Repealer filed 7-30-87; operative 8-29-87 (Register 87, No. 32).
Article 2. Practice of Chiropractic
§310. Change of Name.
Note     •     History

Any licensee who shall change his name according to the law, shall, within 10 days of such change, reregister his name with the Executive Officer of the board by submitting to the board office a written statement of the change and evidence of legal documentation.
NOTE

Authority cited: Sections 1000-4(b) and 1000-4(e), Business and Professions Code. Reference: Sections 1000-7 and 1000-10(b), Business and Professions Code.
HISTORY

1. Amendment filed 1-4-77; effective thirtieth day thereafter (Register 77, No. 2).
2. Repealer and new section filed 7-30-87; operative 8-29-87 (Register 87, No. 32).
3. Change without regulatory effect amending section filed 10-5-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 40).
§310.1. Replacement License.
Note     •     History

Any licensee shall be entitled to a replacement license if his original license is lost, stolen or mangled, or upon written request and legal documentation of name change. Each request for a replacement license must be accompanied by a nonrefundable fee of $25.00, and signed written statement as to the circumstances of loss of said license, or the return to the board office of the mangled license.
NOTE

Authority cited: Sections 1000-4(b) and 1000-4(e), Business and Professions Code. Reference: Sections 1000-7 and 1000-10(b), Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 310.1 to Section 310.2 and new Section 310.1 filed 7-30-87; operative 8-29-87 (Register 87, No. 32). For history of former Section 310.1, see Register 78, No. 50.
§310.2. Use of Title by Unlicensed Persons.
Note     •     History

No person shall engage in the practice of chiropractic, as defined in Section 302, without holding a license, which is in an active status, issued by the Board.
Any person who advertises or promotes, in any manner, the words “doctor” or “chiropractor,” the letters, prefixes or suffixes “Dr.” or “D.C.,” or any other word, title or letters indicating or implying that he or she is engaged in the practice of chiropractic, or who represents or holds himself or herself out as a doctor of chiropractic, without having, at the time of so doing, a valid, unrevoked, or unsurrendered license, is in violation of the Chiropractic Initiative Act.
NOTE

Authority cited: Section 1000-4(b), Business and Professions Code. Reference: Section 1000-15, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 310.1 to Section 310.2 filed 7-30-87; operative 8-29-87 (Register 87, No. 32). For history of former Section 310.1, see Register 78, No. 50.
2. Editorial correction of Note (Register 2000, No. 2).
3. Amendment of section heading and section filed 7-20-2001; operative 8-19-2001 (Register 2001, No. 29).
§311. Advertisements.

Constructive educational publicity is encouraged, but the use by any licensee of advertising which contains misstatements, falsehoods, misrepresentations, distorted, sensational or fabulous statements, or which is intended or has a tendency to deceive the public or impose upon credulous or ignorant persons, constitutes grounds for the imposition of any of the following disciplinary penalties:
(a) Suspension of said licensee's right to practice in this State for a period not exceeding one (1) year.
(b) Placing said licensee upon probation.
(c) Taking such other action, excepting the revocation of said licensee's license, in relation to disciplining said licensee as the board in its discretion may deem proper.
§311.1. Chiropractic Specialties.
Note     •     History

For purposes of the Department of Industrial Relations' Qualified Medical Evaluator Eligibility regulations (Division of Workers' Compensation, Title 8, California Code of Regulations, Section 12), the board recognizes only those specialty boards that are recognized by the American Chiropractic Association or the International Chiropractors Association.
NOTE

Authority cited: Section 1000-4(b), Business and Professions Code; and Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii. Reference: Section 1000-4(b), Business and Professions Code; and Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii.
HISTORY

1. New section filed 3-16-2010; operative 4-15-2010 (Register 2010, No. 12).
§312. Illegal Practice.
Note     •     History

Unlicensed individuals are not permitted to diagnose, analyze, or perform a chiropractic adjustment. An “unlicensed individual” is defined as any person, including a student or graduate of a chiropractic institution, who does not hold a valid California chiropractic license. An exemption is hereby created for student doctors participating in board approved preceptorship programs.
The permitted activities of unlicensed individuals are as follows: 
(a) Unlicensed individuals may take the history of a patient. However, this activity is separate from the consultation which at all times must be conducted by the licensed doctor.
(b) Unlicensed individuals may conduct standard neurological, orthopedic, physical and chiropractic examinations, except they may not perform such examinations which require diagnostic or analytic interpretations nor may they render a conclusion either verbally or in writing regarding the patient's physical condition. As an example, unlicensed individuals may not perform evaluations of heart or lung soundings. Such individuals shall be at all times under the immediate and direct supervision of a licensed Doctor of Chiropractic.
“Immediate and direct supervision” means the licensed Doctor of Chiropractic shall be at all times on the premises where the examinations are being conducted. The licensed Doctor of Chiropractic shall be responsible for the verification of the recorded findings and will be solely responsible for rendering a conclusion based on the findings.
(c) Unlicensed individuals may administer physical therapy treatments as an adjunct to chiropractic adjustment, provided the physical therapy treatment is conducted under the adequate supervision of a licensed Doctor of Chiropractic. Adequate supervision shall include all of the following:
(1) The doctor shall be present in the same chiropractic facility with the unlicensed individual at least fifty percent of any work week or portion thereof the said individual is on duty unless this requirement has been waived by the board. The doctor shall be readily available to the said individual at all other times for advice, assistance and instruction.
(2) The doctor shall initially examine and prepare a written treatment program for a patient prior to the providing of physical therapy treatment by the unlicensed individual.
(3) The doctor shall provide periodic reevaluation of the treatment program and of the individual's performance in relation to the patient. “Periodic reevaluation” shall mean at least once every thirty days the patient is under active care.
(4) The doctor shall perform and record an evaluation of the patient and his or her response to treatment at the termination thereof.
(d) Unlicensed individuals may mark X-ray films administered by a Doctor of Chiropractic. “Marking X-rays” is defined as drawing and measuring between reference points and making angular and linear measurements. Unlicensed individuals are not permitted to make any diagnostic conclusions or chiropractic analytical listings, and the licensed doctor is responsible for any pathological entities covered or obstructed by the markings.
(e) Unlicensed individuals may not administer X-rays unless they hold a valid X-ray technician certificate from the Department of Health Services, or participate under the direct supervision of a licensed Doctor of Chiropractic in a training program approved by that department and set forth in Section 25668.1 of the California Health and Safety Code. This prohibition, set forth in Section 30403 of Title 17 of the California Administrative Code includes the following activities:
(1) Positioning of patient;
(2) Setting up of X-ray machines;
(3) Pushing a button;
(4) Developing of films. The Department of Health Services has determined that unlicensed individuals may develop X-ray film if that is their sole radiologic responsibility.
Unlicensed individuals who exceed the permitted scope of practice set forth in this regulation shall be in violation of Section 15 of the Chiropractic Act and shall be prohibited from applying for a California chiropractic license for such time as may be determined by the board. Student doctors participating in board approved preceptorship programs are not to be considered “unlicensed individuals” when working in said program.
NOTE

Authority cited: Section 4(b) of the Chiropractic Initiative Act of California (Stats. 1923, p. lxxxviii). Reference: Section 15 of the Chiropractic Initiative Act of California (Stats. 1923, p. lxxxviii) and Section 25668.1, California Health and Safety Code; Section 30403 of Title 17, California Administrative Code.
HISTORY

1. Repealer and new section filed 7-16-79; effective thirtieth day thereafter (Register 79, No. 29).
2. Amendment filed 2-1-80; effective thirtieth day thereafter (Register 80, No. 5).
§312.1. Ownership of a Chiropractic Practice.
Note     •     History

No unlicensed individual may own a chiropractic practice regardless of the form in which the practice is established (individual ownership, partnership, corporation, etc.). This does not preclude a layperson from owning the facilities in which the practice is conducted, and the equipment provided. It does prohibit a layperson from being in a position of making and/or influencing decisions relating to diagnosis, or treatment of patients which are matters requiring chiropractic licensure.
NOTE

Authority cited: Section 1000-4(b), Business and Professions Code. Reference: Sections 1000-7, 1000-10 and 1000-15, Business and Professions Code.
HISTORY

1. New section filed 7-30-87; operative 8-29-87 (Register 87, No. 32).
§312.2. Ownership of Practice upon the Death or Incapacity of a Licensee.
Note     •     History

In the event of the death of a chiropractic licensee, or the legal declaration of the mental incompetency of the licensee to practice, the unlicensed heirs or trustees of the chiropractor must dispose of the practice within six (6) months. At all times during that period the practice must be supervised by a licensed chiropractor. The board will consider a petition to extend this period if it is submitted within four (4) months after the death or the declaration of incompetence of the licensee, including identification of any extenuating circumstances that will prevent compliance.
NOTE

Authority cited: Section 1000-4(b), Business and Professions Code. Reference: Sections 1000-7, 1000-10 and 1000-15, Business and Professions Code.
HISTORY

1. New section filed 7-30-87; operative 8-29-87 (Register 87, No. 32).
§313. Inducing Student to Practice Chiropractic.
Note     •     History

No licensee of chiropractic in the State of California shall offer or cause to be offered to a student or prospective student of chiropractic any promise or inducement, either written or verbal, which may induce said student or prospective student to believe he or she, during the freshman, sophomore, junior or senior years, or within the time that he or she shall be a student in, and/or before graduation from chiropractic school or college, and/or before receiving a license from the board, may be legally employed in any chiropractic private office, or chiropractic school or college, to practice chiropractic, with or without compensation, and no student shall accept or rely upon any such promise or understanding except that junior or senior students only may, for professional instruction, be assigned to regular clinic practice, during regular clinic hours, in the clinic conducted upon the premises of a regularly incorporated chiropractic school or college, and then only when said clinic is in charge of a duly licensed chiropractor as clinic instructor. This section does not apply to students and doctors who participate in preceptorship programs sponsored by chiropractic institutions holding status with the Council on Chiropractic Education or seeking such status. Violation of this rule by any student shall be deemed to be also a violation of Section 312 hereof.
NOTE

Authority cited: Section 1000-4(b), Business and Professions Code. Reference: Sections 1000-10(b) and 1000-15, Business and Professions Code.
HISTORY

1. Amendment filed 2-15-79; effective thirtieth day thereafter (Register 79, No. 7).
2. Amendment filed 7-30-87; operative 8-29-87 (Register 87, No. 32).
§314. Law Violators.
Note     •     History

It shall be the duty of every licensee to notify the Executive Officer or his or her designee of any violation of the act, or of these rules and regulations, in order that the board may take appropriate disciplinary action
NOTE

Authority cited: Sections 1000-4(b), Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923 p. 1xxxviii). Reference: Section 1000-4(b), Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923 p. 1xxxviii).
HISTORY

1. Amendment of section and new Note filed 5-27-2010; operative 6-26-2010 (Register 2010, No. 22).
§315. Mental Illness.
History

(a) Administrative Adjudication. The proceedings under this regulation shall be conducted in accordance with Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code, and the board shall have all the powers granted therein.
(b) Psychiatric Examinations. When reasonable cause exists that a person holding a license under this Act is mentally ill to the extent that it may affect his ability to conduct with safety to the public the practice authorized by such license, the board may order the license holder to be examined by one or more physicians specializing in psychiatry designated by the board. The report of such persons shall be made available to the license holder and may be received as direct evidence in a proceeding conducted pursuant to subsection (c) of this regulation.
(c) Probation, Suspension, etc., in Event of Mental Illness; Reinstatement. If a license holder has been found to be mentally ill by one or more physicians specializing in psychiatry designated by the board, the results of which indicates that such illness does effect his ability to conduct, with safety, the practice authorized by his license, the board may take action, in accordance with subdivision (a) of this regulation, by any one of the following methods:
(1) Placing him on probation.
(2) Suspending his right to practice for a period not exceeding one year.
(3) Revoking his license.
(4) Taking such other action in relation to his license as the board in its discretion deems proper.
The board shall not restore such license to good standing until it shall receive competent evidence, from one or more physicians specializing in psychiatry, designated by the board, of the absence or control of the condition which caused its action and until it is satisfied that with due regard to the public interest the licensee's right to practice may be safely reinstated.
Before reinstating such a person, the board may require the person to pass an oral or written examination, or both, to determine his present fitness to resume his practice.
(d) Conditions of Reinstatement. In setting aside action taken under subsection (c) of this regulation, the board may impose terms and conditions to be followed by the license holder after his license has been reinstated. The authority of the board to impose terms and conditions includes, but is not limited to, the following: 
(1) Requiring the license holder to obtain additional professional training and to pass an examination upon the completion of the training. The examination may be written or oral, or both, and may be a practical or clinical examination, or both, at the option of the board.
(2) Requiring the license holder to submit to a complete diagnostic examination by one or more physicians appointed by the board. If the board requires the certificate holder to submit to such an examination, the board shall receive and consider any other report of a complete diagnostic examination given by one or more physicians of the license holder's choice.
(3) Setting any other requirement the board in its discretion deems proper.
HISTORY

1. Amendment filed 8-19-77; effective thirtieth day thereafter (Register 77, No. 34).
§316. Responsibility for Conduct on Premises.
Note     •     History

(a) Every licensee is responsible for the conduct of employees or other persons subject to his supervision in his place of practice, and shall insure that all such conduct in his place of practice conforms to the law and to the regulations herein.
(b) Where a chiropractic license is used in connection with any premises, structure or facility, no sexual acts or erotic behavior involving patients, patrons or customers, including, but not necessarily limited to, sexual stimulation, masturbation or prostitution, shall be permitted on said premises, structure or facility.
(c) The commission of any act of sexual abuse, sexual misconduct, or sexual relations by a licensee with a patient, client, customer or employee is unprofessional conduct and cause for disciplinary action. This conduct is substantially related to the qualifications, functions, or duties of a chiropractic license.
This section shall not apply to sexual contact between a licensed chiropractor and his or her spouse or person in an equivalent domestic relationship when that chiropractor provides professional treatment.
NOTE

Authority cited: Sections 1000-4, 1000-10 and 1057, Business and Professions Code. Reference: Sections 726 and 1000-10, Business and Professions Code.
HISTORY

1. New section filed 7-13-71; effective thirtieth day thereafter (Register 71, No. 29).
2. New subsection (c) and amendment of Note filed 7-26-96; operative 8-25-96 (Register 96, No. 30).
§317. Unprofessional Conduct.
Note     •     History

The board shall take action against any holder of a license who is guilty of unprofessional conduct which has been brought to its attention, or whose license has been procured by fraud or misrepresentation or issued by mistake.
Unprofessional conduct includes, but is not limited to, the following:
(a) Gross negligence;
(b) Repeated negligent acts;
(c) Incompetence;
(d) The administration of treatment or the use of diagnostic procedures which are clearly excessive as determined by the customary practice and standards of the local community of licensees;
(e) Any conduct which has endangered or is likely to endanger the health,welfare, or safety of the public;
(f) The administering to oneself, of any controlled substance, or the use of any dangerous drug or of alcoholic beverages to the extent or in a manner as to be dangerous or injurious to oneself, or to any other person or to the public, or to the extent that the use impairs the ability of the person to conduct with safety to the public the practice authorized by the license;
(g) Conviction of a crime which is substantially related to the qualifications, functions or duties of a chiropractor;
(h) Conviction of any offense, whether felony or misdemeanor, involving moral turpitude, dishonesty, physical violence or corruption. The board may inquire into the circumstances surrounding the commission of the crime in order to fix the degree of discipline or to determine if such conviction was of an offense involving moral turpitude, dishonesty, physical violence or corruption. A plea or verdict of guilty, or a plea of nolo contendere is deemed to be a conviction within the meaning of the board's disciplinary provisions, irrespective of a subsequent order under the provisions of Section 1203.4 of the Penal Code. The board may order a license to be suspended or revoked, or may decline to issue a license upon the entering of a conviction or judgement in a criminal matter.
(i) The conviction of more than one misdemeanor or any felony involving the use, consumption, or self-administration of any dangerous drug or alcoholic beverage, or any combination of those substances.
(j) The violation of any of the provisions of law regulating the dispensing or administration of narcotics, dangerous drugs, or controlled substances;
(k) The commission of any act involving moral turpitude, dishonesty, or corruption, whether the act is committed in the course of the individual's activities as a license holder, or otherwise;
(l) Knowingly making or signing any certificate or other document relating to the practice of chiropractic which falsely represents the existence or nonexistence of a state of facts;
(m) Violating or attempting to violate, directly or indirectly, or assisting in or abetting in the violation of, or conspiring to violate any provision or term of the Act or the regulations adopted by the board thereunder;
(n) Making or giving any false statement or information in connection with the application for issuance of a license;
(o) Impersonating an applicant or acting as a proxy for an applicant in any examination required by the board for the issuance of a license or certificate; 
(p) The use of advertising relating to chiropractic which violates section 17500 of the Business and Professions Code;
(q) The participation in any act of fraud or misrepresentation;
(r) Except as may be required by law, the unauthorized disclosure of any information about a patient revealed or discovered during the course of examination or treatment;
(s) The employment or use of persons known as cappers or steerers to obtain business;
(t) The offering, delivering, receiving or accepting of any rebate, refund, commission, preference, patronage, dividend, discount or other consideration as compensation or inducement for referring patients to any person;
(u) Participation in information or referral bureaus which do not comply with section 317.1 of the regulations;
(v) Entering into an agreement to waive, abrogate, or rebate the deductible and/or co-payment amounts of any insurance policy by forgiving any or all of any patient's obligation for payment thereunder, when used as an advertising and/or marketing procedure, unless the insurer is notified in writing of the fact of such waiver, abrogation, rebate, or forgiveness in each such instance.
In all insurance billings where a waiver of a deductible or a co-payment is intended as an advertising and/or marketing procedure, the chiropractor's statement and insurance billing shall contain the following statement:
I/WE WAIVE CO-PAYMENT AND/OR DEDUCTIBLES. IT IS MY/OUR INTENTION TO DO THE FOLLOWING: (Indicate one choice below)

( ) BILL THE PATIENT $__________AFTER RECEIPT FROM YOU OF $___________ .

( ) WAIVE ANY FURTHER PAYMENT FROM THE PATIENT
( )AFTER RECEIPT FROM YOU OF $__________ .

( ) IN CASES WHERE PREDETERMINATION OF INSURANCE BENEFITS IS NOT POSSIBLE, I/WE PROVIDE THE FOLLOWING WRITTEN EXPLANATION OF MY/OUR BILLING INTENTIONS:

_____________________________________________________________________________________________________________________________________________________________	
_____________________________________________________________________________________________________________________________________________________________	
(w) Not referring a patient to a physician and surgeon or other licensed health care provider who can provide the appropriate management of a patient's physical or mental condition, disease or injury within his or her scope of practice, if in the course of a diagnostic evaluation a chiropractor detects an abnormality that indicates that the patient has a physical or mental condition, disease, or injury that is not subject to appropriate management by chiropractic methods and techniques. This subsection shall not apply where the patient states that he or she is already under the care of such other physician and surgeon or other licensed health care provider who is providing the appropriate management for that physical or mental condition, disease, or injury within his or her scope of practice.
(x) The offer, advertisement, or substitution of a spinal manipulation for vaccination.
(y) [Reserved]
NOTE

Authority cited: Sections 1000-4(b) and 1000-10,  Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923, p. lxxxviii). Reference: Sections 1000-4(b), and 1000-10, Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923, p. lxxxviii).
HISTORY

1. New subsection (t) filed 12-12-78; effective thirtieth day thereafter (Register 78, No. 50). For prior history, see Register 77, No. 49.
2. Amendment of subsections (p) and (t) filed 7-30-87; operative 8-29-87 (Register 87, No. 32).
3. New subsection (u) filed 6-5-90; operative 7-5-90 (Register 90, No. 30).
4. Change without regulatory effect amending subsection (u) filed 8-13-90 pursuant to section 100, title 1, California Code of Regulations (Register 90, No. 43).
5. Amendment of subsection (u) filed 3-27-92; operative 4-27-92 (Register 92, No. 14).
6. Change without regulatory effect amending subsection (h) and Note filed 8-17-92 pursuant to title 1, section 100, California Code of Regulations (Register 92, No. 34).
7. New subsection (v) filed 4-16-93; operative 5-17-93 (Register 93, No. 16).
8. New subsections (w) and (x) and amendment of Note filed 6-21-93 as an emergency; operative 6-21-93 (Register 93, No. 26). A Certificate of Compliance must be transmitted to OAL 10-19-93 or emergency language will be repealed by operation of law on the following day.
9. New subsection (y) filed 9-27-93 as an emergency; operative 9-27-93 (Register 93, No. 40).  A Certificate of Compliance must be transmitted to OAL by 1-25-94 or emergency language will be repealed by operation of  law on the following day.
10. Repealed new subsections (w) and (x) and amendment of Note operative 6-21-93 by operation of law on 10-20-93 (Register 93, No. 46).
11. Reinstatement of new subsections (w) and (x) and amendment of Note, repealed 10-20-93, refiled 11-3-93 as an emergency; operative 11-8-93 (Register 93, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-94 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 11-3-93 order, including repeal of subsection (x), transmitted to OAL 11-10-93 and filed 12-23-93 (Register 93, No. 52).
13. Editorial correction of History 11 (Register 93, No. 52).
14. Certificate of Compliance as to 9-27-93 order transmitted to OAL 1-25-94; disapproved by OAL 3-9-94 and reinstatement of section as it existed prior to 9-27-93 emergency amendment operative 3-9-94 (Register 2004, No. 14).
15. Amendment of subsection (h) filed 7-29-96; operative 8-28-96 (Register 96, No. 31).
16. Amendment of subsections (f) and (h), new subsection (i) and subsection relettering filed 4-5-2000; operative 5-5-2000 (Register 2000, No. 14).
17. Amendment of subsection (h) filed 7-3-2003; operative 8-2-2003 (Register 2003, No. 27).
18. Editorial correction repealing subsection (z), adding History 14 and renumbering Histories (Register 2004, No. 14).
§317.1. Chiropractic Referral Services.
Note     •     History

Chiropractic referral services shall conform to the following:
(1) A referral bureau shall be made up of at least five doctors, each of whom does not have fiduciary relationship one to the other, with one participating office representing no more than 20 percent of the bureau's available practitioners. The board will consider any extenuating circumstances which will prevent a service from complying with these requirements;
(2) An application shall be filed with the board office which has been approved by the board, and properly identifies the service, structure and members;
(a) A nonrefundable application fee of $25.00 shall be submitted with the referral service application.
(3) A telephone number shall be for a separate answering service;
(4) The answering service of the bureau shall refer the caller to the next doctor on the list on a rotating basis. The following are exceptions:
(a) A request for a specialist;
(b) Geographic considerations;
(c) Request for services in a language other than English.
(5) Records on each referral shall be kept and include the following:
(a) Date of referral;
(b) Name and address of patient;
(c) Name and address of doctor referred to.
(6) When a 24-hour emergency referral service is offered, a member of the group shall be available.
NOTE

Authority cited: Section 1000-4(b), Business and Professions Code. Reference: Section 651, Business and Professions Code.
HISTORY

1. New section filed 7-30-87; operative 8-29-87 (Register 87, No. 32).
§317.5. Investigation and Enforcement Costs; Payment by Licentiate.
Note     •     History

(a) In any order in resolution of a disciplinary proceeding before the Board of Chiropractic Examiners, the board may request the administrative law judge to direct a licentiate found to have committed a volition or violations of the Chiropractic Initiative Act to pay a sum not to exceed the reasonable costs of the investigation and enforcement of the case.
(b) A certified copy of the actual costs, or a good faith estimate of costs where actual costs are not available, signed by the board bringing the proceeding or its designated representative shall be prima facie evidence of reasonable costs of investigation and prosecution of the case. The costs shall include the amount of investigative and enforcement costs up to the date of the hearing, including, but not limited to, charges imposed by the Attorney General.
(c) The administrative law judge shall make a proposed finding of the amount of reasonable costs of investigation and prosecution of the case when requested pursuant to subdivision (a). The board may reduce or eliminate the cost award, or remand to the administrative law judge where the proposed decision fails to make a finding on costs requested pursuant to subdivision (a).
(d) Where an order for recovery of costs is made and timely payment is not made as directed in the board's decision, the board may enforce the order for repayment in any appropriate court. This right of enforcement shall be in addition to any other rights the board may have as to any licentiate to pay costs.
(e) In any action for recovery of costs, proof of the board's decision shall be conclusive proof of the validity of the order of payment and the terms for payment.
(f)(1) Except as provided in paragraph (2), the board shall not renew or reinstate any license of any licentiate who has failed to pay all of the costs ordered under this section.
(2) Notwithstanding paragraph (1), the board may, in its discretion, conditionally renew or reinstate for a maximum of one year the license of any licentiate who demonstrates financial hardship and who enters into a formal agreement with the board to reimburse the board within that one-year period for the unpaid costs.
(g) All costs recovered under this section shall be considered a reimbursement for costs incurred and shall be deposited in the fund of the board recovering the costs.
(h) Nothing in this section shall preclude the board from including the recovery of the costs of investigation and enforcement of a case in any stipulated settlement.
NOTE

Authority cited: Sections 1000-4(b) and 1000-10, Business and Professions Code. (Chiropractic Initiative Act of California, Stats. 1923, p. lxxxviii). Reference: Sections 1000-4(b) and 1000-10, Business and Professions Code. (Chiropractic Initiative Act of California, Stats. 1923, p. lxxxviii).
HISTORY

1. New section filed 7-29-96; operative 8-28-96 (Register 96, No. 31).
§318. Chiropractic Patient Records/Accountable Billings.
Note     •     History

(a) Chiropractic Patient Records. Each licensed chiropractor is required to maintain all active and inactive chiropractic patient records for five years from the date of the doctor's last treatment of the patient. Active chiropractic records are all chiropractic records of patients treated within the last 12 months. Chiropractic patient records shall be classified as inactive when there has elapsed a period of more than 12 months since the date of the last patient treatment.
All chiropractic patient records shall be available to any representative of the Board upon presentation of patient's written consent ora valid legal order. Active chiropractic patient records shall be immediately available to any representative of the Board at the chiropractic office where the patient has been or is being treated. Inactive chiropractic patient records shall be available upon ten days notice to any representative of the Board. The location of said inactive records shall be reported immediately upon request.
Active and inactive chiropractic patient records must include all of the following:
(1) Patient's full name, date of birth, and social security number (if available);
(2) Patient gender, height and weight. An estimated height and weight is acceptable where the physical condition of the patient prevents actual measurement;
(3) Patient history, complaint, diagnosis/analysis, and treatment must be signed by the primary treating doctor. Thereafter, any treatment rendered by any other doctor must be signed or initialed by said doctor;
(4) Signature of patient;
(5) Date of each and every patient visit;
(6) All chiropractic X-rays, or evidence of the transfer of said X-rays.
(b) Accountable Billings. Each licensed chiropractor is required to ensure accurate billing of his or her chiropractic services whether or not such chiropractor is an employee of any business entity, whether corporate or individual, and whether or not billing for such services is accomplished by an individual or business entity other than the licensee. In the event an error occurs which results in an overbilling, the licensee must promptly make reimbursement of the overbilling whether or not the licensee is in any way compensated for such reimbursement by his employer, agent or any other individual or business entity responsible for such error. Failure by the licensee, within 30 days after discovery or notification of an error which resulted in an overbilling, to make full reimbursement constitutes unprofessional conduct.
NOTE

Authority cited: Section 4(b), Chiropractic Initiative Act of California (Stats. 1923, p. lxxxviii). Reference: Section 4(b) of the Chiropractic Initiative Act of California (Stats. 1923, p. lxxxviii).
HISTORY

1. New section filed 7-15-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Renumbering of former Section 318 to Section 302(b) and new section filed 7-7-78; effective thirtieth day thereafter (Register 78, No. 27).
3. Amendment filed 2-5-80; effective thirtieth day thereafter (Register 80, No. 5).
§318.1. Standard of Care Regarding Manipulation Under Anesthesia (MUA).
Note     •     History

(a) Manipulation Under Anesthesia (MUA) may only be performed in either:
(1) A hospital that is licensed by the California Department of Public Health Licensing and Certification Program; or
(2) An ambulatory surgery center that is licensed by the California Department of Public Health Licensing and Certification Program and that is either: 
(A) Operating pursuant to section 1248.1 of the Health and Safety Code or
(B) Accredited by an agency approved by the Medical Board of California pursuant to Chapter 1.3 of Division 2 of the Health and Safety Code (commencing with section 1248). 
(b) Notwithstanding subsection (a), above, MUA shall not be performed in a mobile van as defined in subdivision (h) of section 1248.1 of the Health and Safety Code. 
(c) MUA may only be performed if the patient is administered anesthesia by a California licensed physician and surgeon or other health care provider authorized under California law to administer anesthesia. 
(d) MUA may only be performed following an appropriate prior examination of the patient by a California licensed physician and surgeon. 
(e) The chiropractor may not direct, instruct, interfere, or make any orders to the physician and surgeon or other health care provider who is administering and maintaining the anesthesia. 
(f) MUA shall be performed by two licensed and competent chiropractors. The “primary chiropractor” shall formulate the chiropractic portion of the MUA treatment plan and shall be responsible for performing the chiropractic manipulation for that procedure. The “second chiropractor” shall insure that all movements are accomplished with patient care and safety as his or her primary focus and shall assist the “primary chiropractor” when necessary. The chiropractic portion of MUA is limited to techniques within the scope of practice of a chiropractor.
(g) For the purpose of this section, the primary chiropractor and the second chiropractor may not be involved in nor interfere with the physician and surgeon or other health care provider in the discharge of the patient following the MUA procedure. 
(h) Failure by a chiropractor to follow the standard of care contained in this section when performing MUA shall constitute unprofessional conduct. 
(i) “Manipulation Under Anesthesia” or “MUA” means the manipulation by a licensed chiropractor of a patient who is sedated by the administration of anesthesia by a physician and surgeon or other health care provider who is legally authorized to administer anesthesia. 
NOTE

Authority cited: Sections 1000-4(b) and 1000-10, Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923 p. 1xxxviii). Reference: Sections 1000-4(b), 1000-7 and 1000-10, Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii). 
HISTORY

1. New section filed 2-16-2010; operative 3-18-2010 (Register 2010, No. 8).
§319. Free or Discount Services.
Note     •     History

Licensees may advertise that they will perform certain designated routine professional services free or at a discount if such advertising claims are truthful. However, no charge shall be made for any other professional services rendered or commodities provided to a patient during any office visit in which free or discounted services are offered or provided unless, prior to the accrual of any charges, the patient shall have been informed of the cost of such additional services and/or commodities and shall have agreed to pay for them.
For the purposes of this section, no separate charge shall be made for the professional evaluation of diagnostic tests or procedures which are provided free or without cost, or at a discount, whether such professional evaluation is made at the time of the initial office visit or at any later time.
NOTE

Authority cited: Section 4(b), Chiropractic Initiative Act of California.
HISTORY

1. New section filed 6-20-78; effective thirtieth day thereafter (Register 78, No. 25).
§319.1. Informed Consent.
Note     •     History

(a) A licensed doctor of chiropractic shall verbally and in writing inform each patient of the material risks of proposed care. “Material” shall be defined as a procedure inherently involving known risk of serious bodily harm. The chiropractor shall obtain the patient's written informed consent prior to initiating clinical care. The signed written consent shall become part of the patient's record.
(b) A violation of this section constitutes unprofessional conduct and may subject the licensee to disciplinary action.
NOTE

Authority cited: Sections 1000-4(b) and 1000-10, Business and Professions Code (Chiropractic Initiative Act of California Stats. 1923 p. 1xxxviii). Reference: Sections 1000-4(b) and 1000-10, Business and Professions Code (Chiropractic Initiative Act of California Stats. 1923 p. 1xxxviii).
HISTORY

1. New section filed 9-7-2011; operative 10-7-2011 (Register 2011, No. 36).
Article 3. Application for License to Practice Chiropractic
§320. Temporary Permits or Licenses.

The California law does not provide for the granting of temporary permits or licenses.
§321. Application for License.
Note     •     History

An Application for a License to Practice Chiropractic shall be submitted on an application form (No. 09A-1 (Rev. 9/92)) prescribed and provided by the board, and titled Application for License to Practice Chiropractic, accompanied by such evidence, statements, or documents as are therein required, and filed with the board at its office in Sacramento, with the required nonrefundable application fee of one hundred dollars ($100.00).
NOTE

Authority cited: Sections 1000-4(b) and 1000-4(c), Business and Professions Code. Reference: Section 1000-5, Business and Professions Code.
HISTORY

1. Amendment filed 5-26-88; operative 6-25-88 (Register 88, No. 23).
2. Change without regulatory effect amending section  filed 11-17-92 pursuant to title 1, section 100, California Code of Regulations (Register 92, No. 47).
§321.1. Fingerprint Submission.
Note     •     History

(a) Applicants for licensure and petitioners for reinstatement of a revoked or cancelled license shall successfully complete a state and federal level criminal offender record information search conducted through the Department of Justice as provided in subdivision (b). 
(b) Applicants and petitioners shall submit to the Department of Justice electronic fingerprint images and related information required by the Department of Justice for the purpose of obtaining information as to the existence and content of a state or federal criminal record. The Department of Justice shall forward the fingerprint images and related information received to the Federal Bureau of Investigation and request federal criminal history information. The Department of Justice shall compile and disseminate state and federal responses to the board pursuant to subdivision (p) of Section 11105 of the Penal Code. The board shall request from the Department of Justice subsequent arrest notification service, pursuant to Section 11105.2 of the Penal Code, for each person who submitted information pursuant to this subdivision. The applicant or petitioner shall bear the cost of the fingerprinting. 
(c) Licensees who have either not previously submitted fingerprints to the board, or who were initially licensed prior to January 1, 1997, or for whom a record of an electronic submission of fingerprints no longer exists, or who are directed by the board shall successfully complete a state and federal level criminal offender record information search conducted through the Department of Justice as provided in subdivision (b) by the licensee's renewal date that occurs on or after June 1, 2011. A licensee's failure to comply with this requirement by the date designated by the board is unprofessional conduct and may result in the board taking disciplinary action against his or her license. 
(d)(1) In order to renew a license, licensees subject to subdivision (c) shall, in addition to meeting any other requirements for renewal of a license, certify on the renewal application that the licensee has successfully completed a state and federal level criminal offender record information search pursuant to subdivision (c). 
(2) Licensees shall retain, for at least three years, either a receipt showing that he or she has electronically transmitted his or her fingerprint images to the Department of Justice or, for those licensees who did not use an electronic fingerprinting system, a receipt evidencing that the licensee's fingerprints were taken. 
(e) The board may waive the requirements of subdivision (c) and (d) for licensees who are actively serving in the United States Military. 
NOTE

Authority cited: Sections 1000-4(b) and 1000-10, Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii). Reference: Sections 1000-4(b) and 1000-10, Business and Professions Code; (Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii); and Sections 11105 and 11105.2, Penal Code. 
HISTORY

1. New section filed 12-15-2010; operative 1-14-2011 (Register 2010, No. 51).
§322. Age of Applicant.

No applicant under the age of twenty-one (21) years of age shall be admitted to examination before the board for licensure to practice chiropractic in California.
§323. Reciprocity. Interpretation of Section 9 of the Act.
Note     •     History

The board makes the following interpretation of Section 9 of the Act which states candidates for licensure are considered to have fulfilled the requirement of reciprocity if they provide the documentation required by the board showing the following:
(a) Graduation from a board approved chiropractic college, and completion of the minimum number of hours and subjects as were required by California law at the time the applicant's license was issued.
(b) Equivalent successful examination in each of the subjects examined in California in the same year as the applicant was issued a license in the state from which he is applying.
(c) They must hold a valid and up-to-date license from the state from which they are reciprocating.
(d) The state from which they are licensed will reciprocate with California.
(e) The board reserves the right to require any additional education or examination for reciprocity.
(f) A nonrefundable application fee of $25.00.
(g) A fee, as set forth in Section 5 of the Act, if licensure is granted.
(h) Five (5) years of chiropractic practice.
NOTE

Authority cited: Section 1000-4(b), Business and Professions Code. Reference: Section 1000-9, Business and Professions Code.
HISTORY

1. New section filed 1-4-77; effective thirtieth day thereafter (Register 77, No. 2). For prior history, see Register 76, No. 50.
2. Amendment filed 2-15-79; effective thirtieth day thereafter (Register 79, No. 7).
3. Amendment of subsections (a) and (b) filed 7-30-87; operative 8-29-87 (Register 87, No. 32).
4. New subsection (h) filed 7-25-96; operative 8-24-96 (Register 96, No. 30).
§325. Denial of License Application; Issuance of Probationary License.
Note     •     History

The board may refuse a license to any applicant for any of the grounds enumerated in Business and Professions Code Section 480. The board may, in its sole discretion, issue a probationary license to any such applicant who has met all other requirements for licensure. The board may issue the license subject to any terms or conditions not contrary to public policy, including, but not limited to, the following:
(a) Medical, psychiatric, or psychological evaluation.
(b) Continuing medical, psychiatric, or psychological treatment.
(c) Restriction of practice.
(d) Continuing participation in a board-approved rehabilitation program.
(e) Abstention from the use of alcohol or drugs.
(f) Random blood and or urine testing for alcohol or drugs.
(g) Compliance with all laws and regulations.
NOTE

Authority cited: Sections 1000-4(b) and 1000-10, Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923, p. lxxxviii). Reference: Sections 1000-4(b) and 1000-10, Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923, p. lxxxviii).
HISTORY

1. New section filed 11-2-99; operative 12-2-99 (Register 99, No. 45).
§325.1. License Reapplication.
Note     •     History

A person whose application for licensure was denied upon any of the grounds specified in Section 10(b) of the Act or Business and Professions Code section 480 may reapply after a period of not less than two years has elapsed from the date of the denial letter.
A person whose application for licensure was denied and proceeded in accordance with the provisions of Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code may reapply for licensure two years from the effective date of the decision.
NOTE

Authority cited: Section 1000-4(b), Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923).  Reference: Sections 1000-4(b) and 1000-10, Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923). 
HISTORY

1. New section filed 6-28-2004; operative 7-28-2004 (Register 2004, No. 27).
§326. Criteria for Rehabilitation.
Note     •     History

(a) When considering the denial of a license, the Board, in evaluating the rehabilitation of the applicant and his or her present eligibility for a license, will consider the following criteria:
(1) The nature and severity of the act(s) or offense(s) under consideration as grounds for denial.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).
(4) Whether the applicant has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against the applicant.
(5) Evidence, if any, of rehabilitation submitted by the applicant.
(b) When considering the suspension or revocation of a license on the grounds that a licensee has been convicted of a crime, the Board, in evaluating the rehabilitation of such person and his or her present eligibility for a license, will consider the following criteria:
(1) Nature and severity of the act(s) or offense(s).
(2) Total criminal record.
(3) The time that has elapsed since commission of the act(s) or offense(s). 
(4) Whether the licensee has complied with all terms of parole, probation, restitution or any other sanctions lawfully imposed against the licensee.
(5) Evidence, if any, of rehabilitation submitted by the licensee.
NOTE

Authority cited: Sections 1000-4(b) and 1000-10, Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923, p. lxxxviii). Reference: Sections 1000-4(b) and 1000-10, Business and Professions Code  (Chiropractic Initiative Act of California, Stats. 1923, p. lxxxviii).
HISTORY

1. New section filed 7-7-2003; operative 8-6-2003 (Register 2003, No. 28).
Article 4. Approved Schools and Qualifications of Applicants
§330. Application for Approval.
Note     •     History

An application for approval on a form provided by the Board, shall be filed with the Board at its principal office in Sacramento and addressed to the Secretary of the State Board of Chiropractic Examiners. Such application shall be on file at least six months prior to any inspection.
NOTE

Authority cited for Article 4 (Sections 330-331.16): Sections 4(b) and 4(f), Chiropractic Initiative Act (Stats. 1923, p. 1xxxviii). Reference: Sections 4(b) and 4(f), Chiropractic Initiative Act.
HISTORY

1. Repealer of Article 4 (Sections 330-331.17) and new Article 4 (Sections 330-331.16) filed 12-10-76; effective thirtieth day thereafter (Register 76, No. 50). For prior history of Article 4, see Register 55, No. 16, and Register 65, No. 24.
§331.1. Approval and Eligibility.

(a) A school which initially meets the requirements of these rules shall be first provisionally approved. No school will be finally approved until a provisional program has been in operation for at least two years.
(b) No school shall be provisionally approved until it shall present competent evidence of its organizational and financial ability to attain the minimum educational requirements set forth by these rules and institutional goals set forth in its application.
(c) No school shall be provisionally approved unless there is a reasonable need for such school in the geographical area in which it is proposed to locate.
(d) No school shall be provisionally approved until competent evidence of compliance with the requirements of Section 29023(a)(2) of the Education Code is filed with the Board.
§331.2. Inspection and Survey.

(a) No school shall be approved, provisionally or finally, until it has been inspected by the Board or its duly authorized representative, including but not limited to the Council on Chiropractic Education, and is found to be in compliance with the rules herein set forth.
(b) Each school shall permit to the Board or its authorized representatives unhampered opportunity to inspect the school's facilities, interview its entire faculty and management, examine student, teaching, grading, performance and graduation records, and inspect and audit, for cause, at the school's expense, the financial and corporate records.
§331.3. Supervision.

(a) Every approved school shall be under the supervision of a full-time president, dean, or other executive officer who shall carry out the objective and program of the school. Said officer shall have a minimum of two years experience in school administration prior to his appointment, or its equivalent in training.
(b) The president, dean, or other executive officer shall render a report annually, covering topics such as student enrollment, number and changes in faculty and administration, changes in the curriculum, courses given, and the projections for future policy. Said annual report shall be filed with the Board within one month following the end of the academic year.
(c) It shall be the duty of the president, dean, or other executive officer to obtain from each faculty member, prior to the beginning of the semester or school year, an outline and time schedule for each subject of the course. He shall approve such outlines and determine from time to time if they are being observed. A copy of this outline and a schedule of classes, showing the day and hour of presentation and the instructor shall be filed with the Board within three (3) weeks after the beginning of the term.
(d) The dean shall maintain a record of the teaching load of each member of the staff in terms of classes taught, supervision, student counselling, committee work, and other assigned activities.
(e) A permanent file of all class schedules, beginning with those as of the date of the school's approval shall be maintained by the dean. These shall be available for inspection and comparison with the courses described in the relative catalogs.
(f) Schedules must be kept up to date and posted on a bulletin board available for student inspection.
§331.4. Financial Management.

The college shall keep accurate financial records and shall file an annual financial report including a profit and loss statement as well as an asset and liability statement prepared and signed by a qualified accountant. Said financial report shall be filed with the Board within three (3) months following the end of the school's fiscal year.
§331.5. Records.

There shall be maintained a good system of records, showing conveniently and in detail, the attendance, discipline, grades and accounts of the students, by means of which an exact knowledge can be obtained regarding each students work. A personal file must be maintained for each student containing his admission credentials, photographs and other identifying personal items. Fireproof storage must be provided for the safekeeping of records.
§331.6. Catalog.

The school shall issue, at least biennially, a catalog setting forth the character of the work which it offers, and said catalog shall be filed with the Board. The content and format shall follow the usual pattern of professional school catalogs, and shall contain the following information:
(a) A list of its trustees, president, dean and other administrative officers and members of the faculty with their respective qualifications;
(b) Courses set forth by department, showing for each subject its content, value in term, semester hours, or credit hours;
(c) Entrance requirements, conditions for academic standing and discipline, such as attendance, examinations, grades, promotion and graduation;
(d) Matriculation, tuition, laboratory, graduation and special fees, and estimated costs of books, instruments, dormitory and board; and
(e) Descriptions of the library, audio-visual facilities, laboratories and clinic facilities setting forth at least the minimum requirement hereinafter set forth in rules.
(f) No school will be accepted or retained in good standing which publishes in its catalog or otherwise, any misrepresentation regarding its curriculum, faculty or facilities for instruction.
§331.7. Calendar.

Each school may elect to use the semester, trimester or four-quarter term system.
A school calendar shall designate the beginning and ending dates of terms or semesters, the vacation periods and legal holidays observed, and the dates for semester and final examinations. The recitation or lecture period shall be not less than 50 minutes in length. The school may operate on a five or six-day week or any combination thereof, but the total number of hours of instruction shall be not less than 30 hours nor more than 35 hours per week. The total number of hours provided for each complete student's course, leading to the degree of Doctor of Chiropractic, shall be not less than 4,400 hours distributed over four academic years of nine months each.
§331.8. Faculty.
History

All faculty members shall meet the standards of the Council on Chiropractic Education.
HISTORY

1. Repealer and new section filed 8-18-77; effective thirtieth day thereafter (Register 77, No. 34).
§331.9. Student Faculty Ratio.

(a) The full-time equivalent student-faculty ratio shall be at least one full-time professor to every fifteen (15) students enrolled in the school.
(b) A full-time professor is one who devotes a minimum of 38 hours per week to his academic duties.
(c) The maximum enrollment for any class in laboratory or clinical work shall be limited to the number which may, by Board standards, sufficiently be trained with the equipment and facilities available in such laboratory clinic.
(d) All classes and laboratory sessions, including clinics, shall be conducted under the presence and supervision of a full-time professor.
(e) There shall be one instructor for each twenty-five (25) students in the laboratory and/or clinic courses.
§331.10. Faculty Organization.

(a) A faculty shall be organized by departments. Regularly scheduled meetings of the full faculty shall be had to provide a free exchange of ideas concerning:
(1) The content and scope of the curriculum;
(2) The teaching methods and facilities;
(3) Student discipline, welfare and awards;
(4) Faculty discipline and welfare;
(5) Committee reports and recommendations;
(6) Recommendations for the promotion and graduation of students;
(7) Administration and educational policies; and
(8) Recommendations to the administrative officers and to the trustees.
(b) The dean shall appoint the following standing committees of which he shall be a member ex officio: admissions and credentials, curriculum, clinic, laboratories, library and examinations, grades and records.
§331.11. Scholastic Regulations.
Note     •     History

(a) Admission.
(1) Each school shall have a committee on admissions and credentials. The admission of students shall be in the hands of a responsible officer who is a member of the committee and his decision shall be subject to the approval of the committee.
(2) No applicant shall be admitted to any school until he has been personally interviewed for the purpose of determining his character, scholastic aptitude, mental and physical fitness to study and practice. When a great geographic distance precludes personal interview, the same information, supported by affidavits and photographs, may be substituted for the personal interview.
(3) Documentary evidence of preliminary education must be obtained and kept on file. All transcripts of other schools must be obtained directly from such schools.
(4) It is strongly recommended by the Board that an entrance examination compiled and administered by recognized testing agencies (e.g., A.C.T., S.A.T.) be required of all students prior to matriculation in order to prove their ability to do college level work.
(b) Date of Matriculation. No student shall be matriculated at a later date than one week immediately following the advertised date of the commencement of the school term.
(c) Qualifications of Students. No student shall be matriculated in an approved school unless he is of good moral character and is without major physical deficiencies, except as provided in Section 8.1 of the Act.
(d) Professional Education. Students shall not be matriculated in any school approved by the board unless they possess, and submit to the school upon their application for matriculation, either:
(1) A diploma from a standard high school or other institution of standard secondary school grade evidencing completion by the student of a four (4) year course, or
(2) A certificate from the board stating that the student has submitted proof, satisfactory to the board, of education equivalent in training power to a high school course. The certificate shall bear a date prior to the applicant's matriculation date in any school approved by the board.
(3) A student who seeks admission in any school approved by the Board after November 3, 1976, shall be subject to the following: The candidate must have completed, with a satisfactory scholastic record, at least 60 semester hours or an equivalent number of quarter hours in prechiropractic subjects at a college listed in the U.S. Office of Education “Education Directory--Higher Education.” The specific prechiropractic subjects and hor requirements shall be in accordance with the standards adopted by the Council on Chiropractic Education.
(e) Advanced Standing.
(1) Applicants for admission to advanced standing shall be required to furnish evidence to the school:
(A) That they can meet the same entrance requirements as candidates for the first year class;
(B) That courses equivalent in content and quality to those given in the admitting school in the year or years preceding that to which admission is desired have been satisfactorily completed;
(C) That the work was done in a chiropractic college acceptable to the committee on admissions of the college; and
(D) That the candidate has a letter of recommendation from the dean of the school from which transfer is made.
(2) Credits for work done in colleges of liberal arts and sciences will be allowed based on the regulations of the Council on Chiropractic Education.
(3) Credits for basic science subjects on the professional level shall be in accordance with the provisions of the regulations of the Council on Chiropractic Education.
(4) A student desiring to re-enter the college after a lapse in attendance of one or more years shall fulfill the entrance requirements applying to the class which he seeks to enter. Students whose education was interrupted by service in the armed forces are exempt from this requirement.
(5) For all such students admitted to advance standing there will be, therefore, on file with the registrar the same documents as required for admission to the first-year class and in addition a certified transcript of work completed, together with a letter of honorary dismissal from the college from which transfer was made.
(6) No candidate for a degree shall be accepted for less than one full academic year of resident study.
(f) Attendance. In order to obtain credit for a course, a student shall have been present in class at least 90 percent of the time and shall have received a passing letter grade. When the absence exceeds 10 percent, the student shall be automatically dropped from the class. If the absences have been due to illness or other excusable reasons and if evidence of these reasons can be submitted, the student may apply for readmission through the dean's office and may be given credit for attendance upon the recommendation of his instructor and completion of course requirements.
Students shall be required to spend the last academic year of the course in residence in the college which confers the degree.
(g) Promotion.
(1) Promotion from one school term to another should be by recommendation of the instructors and consent of the committee on credentials or other similar committee. The decision should be based upon careful evaluation of the student's attendance, application, conduct and grades in quizzes and examinations. In other words, the final standing of the student in each subject shall be based upon the composite judgment of the responsible instructors in that department, and not solely upon the result of written examinations.
(2) A student failing in any subject in a school term should be required to repeat the subject.
(h) Requirements for Graduation. The requirements for admission to the school shall have been fulfilled and the candidate, in addition to scholastic qualitative requirements, shall have completed a minimum quantitative requirement of 4,400 hours of instruction in four academic years of nine months each. The last year shall have been spent in the school granting the degree. The candidate shall have complied with all the regulations of the school and be recommended for the degree by the faculty.
(i) Special (Graduate of An Approved Chiropractic School) or Unclassified Subject. Persons so registered may not be a candidate for a degree. If they desire to become candidates, they shall satisfy the usual requirements for admission as well as the degree requirement. No work done under this classification will be accepted for credit beyond 90 days from the date of matriculation. Holders of a valid chiropractic degree are exempt from this requirement.
(j) Degree. The degree conferred for completion of professional undergraduate work shall be Doctor of Chiropractic (D.C.).
NOTE

Authority cited: Section 4(b), Chiropractic Initiative Act of California (Stats. 1923, p. 1xxxviii). Reference: Sections 4(b) and 5, Chiropractic Initiative Act of California (Stats. 1923, p. 1xxxviii).
HISTORY

1. New subsection (d)(3) filed 8-19-77; effective thirtieth day thereafter (Register 77, No. 34).
2. Amendment of subsection (e)(3) filed 6-20-78; effective thirtieth day thereafter (Register 78, No. 25).
3. Amendment of subsection (e)(2) filed 12-12-78; effective thirtieth day thereafter (Register 78, No. 50).
4. Amendment of subsection (d) filed 9-6-79; effective thirtieth day thereafter (Register 79, No. 36).
5. Amendment of subsection (d)(3) filed 2-5-80; effective thirtieth day thereafter (Register 80, No. 5).
§331.12.1. Curriculum.
History

All applicants for the Board Examination who matriculated into a chiropractic college prior to the passage of Proposition 15 (November 3, 1976) shall fulfill the requirements of this section.
(a) Course of Study. The school shall have established curriculum which indicates objectives, content and methods of instruction for each subject offered.
(b) Required Hours and Subjects. The school shall offer, and shall require for graduation, a course of not less than 4,000 academic hours extended over a period of four school terms of not less than nine months each. Such course shall include the minimum educational requirements set forth in Section 5 of the Act. The minimum number of hours required in the basic subjects shall be as follows:

Anatomy including embryology (minimum of 480 hours),
 histology (minimum of 160 hours), and dissection 
 (minimum of 160 hours)	 800 hours
Physiology	 320 hours
Biochemistry, inorganic and organic chemistry	 320 hours
Pathology (minimum of 280 hours), bacteriology 
 (minimum of 160 hours), and toxicology 
 (minimum of 40 hours)	 480 hours
Public health, hygiene and sanitation, and first aid	 120 hours
Diagnosis (minimum of 480 hours), pediatrics 
 (minimum of 40 hours),psychiatry (minimum of 40 hours),
 dermatology, syphilology and serology (minimum of 40 hours),
 and X-ray (minimum of 120 hours)	 720 hours
Obstetrics and gynecology	 120 hours
Principles and practice of chiropractic (minimum of 960 hours),
 physiotherapy (minimum of 120 hours), and dietetics
 (minimum of 40 hours)	 1,120 hours
(c) Subject Presentation. Laboratory teaching with actual student participation must be included in anatomy, dissection, histology, chemistry, physiology, bacteriology, pathology.
The classes shall be presented in a proper sequence so that the normal shall be presented first before the abnormal is to be considered (i.e., the student must learn anatomy, chemistry and physiology before he is taught pathology and diagnosis). The subject presentation should be of a nature and depth comparable to that found at State colleges in equivalent courses.
ANATOMY: Includes gross anatomy, dissection, embryology, and histology with particular emphasis on neurology.
PHYSIOLOGY: To include the physiology of blood and lymph, circulation, respiration, excretion, digestion, metabolism, endocrines, special senses and nervous system.
CHEMISTRY: To include inorganic and organic chemistry, physical chemistry, the chemistry of foods, digestion and metabolism.
PATHOLOGY AND BACTERIOLOGY: Pathology to include general and special pathology. Bacteriology to include parasitology and serology.
PUBLIC HEALTH AND HYGIENE AND SANITATION: To include sanitary and hygienic procedures, First Aid, prevention of disease and Public Health Department regulations.
DIAGNOSIS: To include physical, clinical, laboratory and differential diagnosis; pediatrics, geriatrics, dermatology, syphilology, psychology, psychiatry and roentgenology (technique and interpretation).
OBSTETRICS AND GYNECOLOGY: To include the standard routine diagnostic procedures, and clinical and laboratory examinations.
PRINCIPLES AND PRACTICE OF CHIROPRACTIC, DIETETICS, PHYSIOTHERAPY, AND OFFICE PROCEDURE: To include history and principles of chiropractic, spinal analysis, adjustive techniques and orthopedics.
NUTRITION: To include dietetics and clinical nutrition, including primary and secondary nutritional deficiencies.
PHYSIOTHERAPY: To include the theory, principles and use of the standard recognized physiotherapy equipment and procedures.
OFFICE PROCEDURE: To include private office and case management, the writing and completion of reports and forms for insurance claims, and the provisions, rules and regulations of the Chiropractic Act.
(d) Additional Hours and Subjects. The school, if it desires, may offer and may require for graduation, course of more than 4,000 hours. Such additional hours may be in elective subjects.
(e) Clinics. Each student shall be provided with actual clinical experience in the examining, diagnosing, and treatment of patients. Said clinical experience shall include spinal analysis, palpation, chiropractic philosophy, symptomatology, laboratory diagnosis, physical diagnosis, X-ray interpretation, postural analysis, diagnostic impressions, and adjusting of various articulations of the body, psychological counseling, dietetics and physical therapy. Individual case files on each patient together with a record of dates and treatments given and student treating shall be kept and available to the board for inspection.
HISTORY

1. Amendment filed 2-27-78; effective thirtieth day thereafter (Register 78, No. 9).
§331.12.2. Curriculum.
Note     •     History

All applicants for licensure shall be required to comply with this section in order to qualify for a California chiropractic license.
(a) Course of Study: Every school shall have a curriculum which indicates objectives, content and methods of instruction for each subject offered.
(b) Required Hours and Subjects: Each applicant shall offer proof of completion of a course of instruction in a Board-approved chiropractic college of not less than 4,400 hours which includes minimum educational requirements set forth in Section 5 of the Act. The course of instruction completed by the applicant shall consist of no less than the following minimum hours, except as otherwise provided:

Group I 	Anatomy, including embryology,
  	histology and human dissection	 616 hours
Group II 	Physiology (must include laboratory work)	 264 hours
Group III 	Biochemistry, clinical nutrition, and dietetics	 264 hours
Group IV 	Pathology, bacteriology, and toxicology	440 hours
Group V 	Public health, hygiene and sanitation, and
   	 emergency care	132 hours
Group VI 	Diagnosis, including E.E.N.T. and serology, 
	 dermatology and sexually transmitted diseases, 
	 geriatrics, X-ray interpretation, and neurology	792 hours
Group VII 	Obstetrics, gynecology, and pediatrics	 132 hours
Group VIII	Principles and practice of chiropractic to include
  	 chiropractic technique, chiropractic philosophy, 
	 orthopedics, X-ray technique, and radiation 
	 protection 	 430 hours
	Clinic, including office procedure	518 hours
	Physiotherapy	 120 hours
	Psychiatry	 32 hours
Electives		 660 hours
Total		 4,400 hours
(c) Subject Presentation: Laboratory teaching with actual student participation shall be included in human dissection, histology, chemistry, physiology, bacteriology, pathology, X-ray and physiotherapy. Each school shall have and use at least one phantom or equivalent equipment for X-ray class and other courses as may be necessary for adequate teaching.
Classes shall be presented in proper academic sequence. Each student shall be taught micro and gross anatomy, human dissection, and physiology before pathology; biochemistry before or concurrent with physiology; and diagnosis before or concurrent with the study of pathology. Clinic hours shall be taken only after a student completes all hours in or concurrently with diagnosis.
(1) ANATOMY: To include gross anatomy, human dissection, embryology and histology.
(2) PHYSIOLOGY: To include the physiology of blood and lymph, circulation, respiration, excretion, digestion, metabolism, endocrines, special senses and nervous system.
(3) BIOCHEMISTRY AND NUTRITION: Biochemistry to include the chemistry of foods, digestion, and metabolism. Nutrition to include dietetics and clinical nutrition in the prevention and treatment of illnesses.
(4) PATHOLOGY AND BACTERIOLOGY: Pathology to include general and special pathology. Bacteriology to include parasitology and serology.
(5) PUBLIC HEALTH, HYGIENE, SANITATION AND EMERGENCY CARE: To include sanitary and hygienic procedures, First Aid, minor surgery, prevention of disease, and Public Health Department regulations.
(6) DIAGNOSIS: To include physical, clinical, laboratory and differential diagnosis; E.E.N.T., geriatrics, serology, dermatology, syphilology, roentgenology (technique and interpretation) and the rules and regulations of the Radiologic Technology Certification Committee of the State Department of Health Services.
(7) OBSTETRICS, GYNECOLOGY AND PEDIATRICS: To include the standard routine diagnostic procedures and clinical and laboratory examinations.
(8) PRINCIPLES AND PRACTICE OF CHIROPRACTIC, DIETETICS, PHYSIOTHERAPY, AND OFFICE PROCEDURE: To include history and principles of chiropractic, spinal analysis, adjustive technique of all articulations of the body, orthopedics and patient counseling in curriculum subject matters.
(9) PHYSIOTHERAPY: To be eligible for licensure, each applicant must furnish proof satisfactory to the Board of successful completion of the required 120 hours of physiotherapy course work and additional clinical training in which the theory, principles and use of the standard recognized physiotherapy equipment and procedures were demonstrated to and used by the applicant. This shall include a minimum of thirty (30) patient office visits in which physiotherapy procedures are performed by the student on their own clinic patients. If physiotherapy course work is not offered by the chiropractic college where the student matriculated, the required instruction and clinical training in physiotherapy may be completed at another Board-approved chiropractic college, provided such course is a regular credit course offered primarily to matriculated students.
Physiotherapy course work not completed prior to graduation from chiropractic college may be fulfilled by course work taken subsequent to graduation at a Board-approved chiropractic college in conjunction with clinical training in physiotherapy offered by that college. Such course work and clinical training must be regular credit course work and clinical training offered primarily to matriculated students.
(10) OFFICE PROCEDURE: To include private office and case management, the writing and completion of reports and forms for insurance claims, and the provisions, rules and regulations of the Chiropractic Act, and the Radiologic Technology Certification Committee of the State Department of Health Services.
(d) Additional Hours and Subjects: It is recommended that a school offer elective subjects, including chiropractic meridian therapy, counseling, hypnotherapy and biofeedback. The school may offer and require for graduation courses of more than 4,400 hours.
(e) Clinics: Each student shall be provided with actual clinical experience in the examining, diagnosing, and treatment of patients. Such clinical experience shall include spinal analysis, palpation, chiropractic philosophy, symptomatology, laboratory diagnosis, physical diagnosis, X-ray interpretation, postural analysis, diagnostic impressions, and adjusting of various articulations of the body, psychological counseling and dietetics. Individual case files on each patient together with a record of dates and treatments given and student treating shall be kept and available to the board for inspection.
Clinical hours, as described in this section, including those relating to physiotherapy, must be completed in a clinic operated or supervised by a chiropractic college.
Each student shall be required to complete, as a minimum for graduation, the following:
(1) Twenty-five (25) physical examinations of which at least ten (10) are of outside (not student) patients.
A physical examination shall include an evaluation of all vital signs, case history, orthopedic and neurological testing.
Students shall also have practical clinical laboratory training, including twenty-five (25) urinalyses, twenty (20) complete blood counts (CBCs), ten (10) blood chemistries, and thirty (30) X-ray examinations. Students shall perform ten (10) proctological and ten (10) gynecological examinations. Proctological and gynecological examinations may be performed on a phantom approved by the Board. Gynecological and proctological examinations not completed prior to graduation may be completed after graduation at a Board-approved chiropractic college.
(2) Students shall perform a minimum of two hundred and fifty (250) patient treatments (visits), including diagnostic procedures, chiropractic adjustive technique and patient evaluation.
(3) Written interpretation of at least thirty (30) different X-ray views, either slide or film, while a senior in the clinic, in addition to other classroom requirements which shall include the spinal column, all other articulations of the body, and soft tissue.
(4) Minimum of five hundred eighteen (518) hours of practical clinical experience (treating patients in the clinic).
NOTE

Authority cited: Section 1000-4(b), Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxvii). Reference: Section 1000-4(g) and 5, Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxvii).
HISTORY

1. Repealer and new section filed 8-19-77; effective thirtieth day thereafter (Register 77, No. 34).
2. Renumbering of Section 331.12.3 to Section 331.12.2 and amendment filed 2-27-78; effective thirtieth day thereafter (Register 78, No. 9). For history of former Section 331.12.2, see Register 76, No. 50.
3. Amendment of subsection (e) filed 6-4-80; effective thirtieth day thereafter (Register 80, No. 23).
4. Amendment filed 4-17-2001; operative 5-17-2001 (Register 2001, No. 16).
5. Amendment of subsection (e)(1) and amendment of Note filed 9-10-2002; operative 10-10-2002 (Register 2002, No. 37).
§331.12.3. Eligibility to Take Board Examination.
Note     •     History

To be eligible to take the board examination, each applicant for licensure must furnish proof satisfactory to the Board of meeting all licensure requirements.
NOTE

Authority cited: Section 4(b) and 4(g) of the Chiropractic Initiative Act of California (Stats. 1923, p. lxxxviii). Reference: Section 5 of the Chiropractic Initiative Act of California (Stats. 1923, p. lxxxviii).
HISTORY

1. New section filed 10-7-77; effective thirtieth day thereafter (Register 77, No. 41).
2. Renumbering of Section 331.12.4 to Section 331.12.3 and amendment filed 2-27-78; effective thirtieth day thereafter (Register 78, No. 9).
3. Amendment of subsection (a) filed 6-20-78; effective thirtieth day thereafter (Register 78, No. 25).
4. Repealer filed 7-16-79; effective thirtieth day thereafter (Register 79, No. 29).
5. New section filed 4-17-2001; operative 5-17-2001 (Register 2001, No. 16).
§331.13. Physical Facilities.
History

(a) General: Each school shall own, or enjoy the assured use of a physical plant large enough to accommodate classrooms, lecture rooms, laboratories, a clinic, a library and administrative and faculty offices. Each school shall meet and maintain the standards and requirements established by or under the authority of the laws of the State of California governing educational institutions and all applicable city and county ordinances wherein the school is located and shall maintain competent evidence of such compliance, for examination by the Board.
(b) Administrative Offices: The administrative offices shall provide adequate office space for faculty members.
There shall be space available for faculty conferences.
All furnishings shall be serviceable and functional and there shall be sufficient office equipment, subject to Board approval, to efficiently manage the business of the school.
There shall be fireproof storage for all records and documents required by the Chiropractic Initiative Act, statute, or regulations.
All administrative offices shall meet the standards and requirements incorporated by subparagraph (a) above.
(c) Classrooms: There shall be sufficient number and size of classrooms to separately accommodate the graded classes in 1st, 2nd, 3rd and 4th year classes. No two or more subjects shall be taught in the same classroom simultaneously. No two or more student classes (1st, 2nd, 3rd and 4th year) shall be taught in the same classroom simultaneously. Classrooms shall be located where there is quiet and freedom from interruption and distraction.
All classrooms shall be furnished with audio-visual aids appropriate to the subject matter being taught, and desks and chairs or tablet armchairs. There shall be effective shades to darken rooms equipped with visual projection apparatus.
All classrooms shall meet the standards and requirements incorporated by subparagraph (a) above.
(d) Laboratories: Laboratories shall be well lighted and ventilated and shall be equipped for the practical work in human dissection, histology, chemistry, physiology, bacteriology, pathology, laboratory diagnosis, roentgenology, physiotherapy and chiropractic technique.
Anatomy and pathology laboratories shall contain standard equipment. No more than ten (10) students shall be assigned per table. Sinks should be equipped with wrist action or foot pedal valves, and supplied in a sufficient number. Human cadavers and specimens for individual and small group demonstrations shall be supplied. If human cadavers are not available, or state law prohibits their use, schools must obtain prior written approval from this Board.
Microscopic laboratories shall have one microscope and one desk light for each two (2) students in the class.
Chiropractic technique laboratories shall be equipped with one chiropractic adjusting table for every four (4) students in the class.
Actual student experience with X-ray phantom or equivalent for all areas of the body shall be necessary.
Additionally, all laboratories shall meet the standards and requirements incorporated in subparagraph (a) above. 
(f) Teaching Aids and Equipment: For the subject of physiotherapy there shall be sufficient generally recognized equipment for classroom and clinic purposes (to include sine galvanic, ultrasound, diathermy, ultraviolet, heat, cold, percussion, and transaction). For the practical work and physical diagnosis students shall be required to own the ordinary and usual diagnostic instruments, including, but not limited to, thermometers, stethoscopes, sphygmomanometers, oto-ophthalmoscope examination sets, and orthopedic-neurological examination instruments. Each school shall own and teach the use of the current standard diagnostic instruments and a list of same shall be made available to the Board upon request. For classroom demonstration and visual education aids, each school shall own charts, mannequins, skeletons, bone collections, anatomical and embryological models, stereopticons, balopticons, micro-projections, and video players or similar projection equipment. The film and slide library shall be constantly augmented by the addition of new material.
(g) Library: A library shall be provided for the use of the student body. The minimum requirements for a library are:
(1) Operation of the library shall be under the direct supervision of a full-time librarian holding a degree in library science.
(2) The library shall be open to students a minimum of eight (8) hours per day. It shall have room available for study purposes to accommodate at least ten (10) percent of the enrolled students at one time. Hours shall be posted.
(3) The library volumes shall be cataloged, using a generally accepted system.
(4) The library shall consist of a minimum of 5,000 volumes of which 2,000 shall be less than ten years of age. Only cataloged scientific volumes which are of interest to the published curriculum of the school can be counted as library volumes. Unbound journals and periodicals shall not be counted in determining compliance with this rule.
(5) Each school shall conduct a program of student orientation as to the use of the library and class assignments involving the use of the library.
(h) Clinic: Each school shall operate a general out-patient clinic where the senior students will obtain actual experience, practical knowledge and skill in:
(1) Diagnosis, including physical examination, palpation, spinal analysis, clinical pathological, laboratory findings, X-ray, and tentative and working diagnoses.
(2) Adjustive technique, dietetics, and psychotherapy for the care or prevention of disease in accordance with Section 7 of the Act.
Such a clinic shall at all times be under the supervision of a clinician who meets the standards of the Council on Chiropractic Education.
The minimum requirements of a clinic are:
(A) A reception room with a minimum seating capacity for ten (10) persons.
(B) A minimum of five (5) patient dressing rooms that are equipped with at least curtains to ensure privacy.
(C) An administration area wherein at least one full-time secretary shall be located and patient files shall be maintained.
(D) A minimum of one (1) office for each faculty member supervising the clinic with a minimum of two (2) such offices.
(E) Separate lavatories for men and women with a minimum of one (1) each.
(F) A minimum of one (1) physical examination room for every ten (10) students concurrently present and enrolled in the clinic.
(G) A minimum of one (1) chiropractic adjusting table for every five (5) students performing adjustments on clinic patients with a minimum of five (5) such tables.
(H) A minimum of one (1) X-ray examination room that is equipped with at least one (1) X-ray machine that has a capacity of no less than 125 KV plus 300 M.A. There shall also be an X-ray developing room that is equipped with the appropriate and necessary film processing equipment as required by the Board. This room may be an area within the X-ray procedure room or shall be located in the immediate area in the same building of such X-ray procedure room. A list of minimal X-ray equipment which shall be used must be obtained from the Board. 
(I) A lab room equipped with a sterilization facility, unless waived in writing by the Board.
(J) In addition to the requirements of section 331.12(e), each student's work, conduct, reliability and personality shall be evaluated in writing by his or her supervising teacher and such evaluation shall become a part of the student's record and shall be available for inspection by the Board. 
(i) Operation and Maintenance of the Physical Plant. In addition to the requirement of subparagraph (a) above, each school shall operate and maintain all physical equipment in good repair.
Lockers shall be available for student use.
HISTORY

1. Amendment of subsection (h)(2) filed 8-19-77; effective thirtieth day thereafter (Register 77, No. 34).
2. Amendment of subsection (h)(2) filed 8-29-77 as an emergency; designated effective 9-18-77. Certificate of Compliance included (Register 77, No. 34).
3. Amendment filed 4-17-2001; operative 5-17-2001 (Register 2001, No. 16).
§331.14. Quality of Instruction.

Nothing herein contained shall constitute any limitation or restriction upon the power of the Board to refuse to approve, or to disapprove, any school if in the opinion of the Board the quality of instruction is not sufficiently high to meet the objective of the State Chiropractic Act or these rules.
§331.15. Violations or Failure to Comply.

(a) Any violation of these rules, or failure to comply with them, shall be grounds to revoke approval of any school, and to refuse approval to any school, or to any applicant.  
(b) If any school provisionally approved or approved by the Board undergoes fundamental changes in its administration, organization or stated objectives, provisional approval or approval shall be suspended until such time as the Board again appraises the institution.
Such changes include but are not limited to change in ownership of the school or its assets or noncompliance with Section 29032(a)(2) of the Education Code.
(c) In the event an approved school or a school applying for provisional approval fails to maintain or meet the required standards, the institution will be given a bill of particulars and granted 60 days to comply; in the event such corrections are not made within said time, the institution will be removed from the approved list or denied provisional approval.
(d) Institutions rejected or removed from the approved list may apply for reconsideration or reinstatement in accordance with Rule 331.
§331.16. Definition of Board.

Whenever the Board is used in this article, it shall mean the Board of Chiropractic Examiners unless otherwise indicated.
Article 5. Examinations
§340. Examinations.
Note     •     History

The examination shall be administered a minimum of two (2) times each year. It shall be held in a location accessible to the applicants; and it shall be administered in a manner which maintains the validity and reliability of the examination, and provides on-site anonymity to the applicants. The examination shall be conducted in a manner to assure a reasonable expectation of the fair and impartial evaluation of the applicants' knowledge, and their ability to practice chiropractic in the best interests of the public health and welfare.
NOTE

Authority cited: Section 1000-4(b), Business and Professions Code. Reference: Section 1000-6(c), Business and Professions Code.
HISTORY

1. Renumbering of Article 6 (Sections 355 through 366) to Article 5 (Sections 340 through 351) filed 1-31-72; effective thirtieth day thereafter (Register 72, No. 6). For prior history see Registers 65, No. 24, and 68, No. 2. For history of former Article 5, see Register 55, No. 16.
2. Amendment filed 10-7-77; effective thirtieth day thereafter (Register 77, No. 41).
3. Repealer and new section filed 7-30-87; operative 8-29-87 (Register 87, No. 32).
§341. Other Articles Forbidden.
Note     •     History

During the examination, no applicant will be permitted to have in his possession any paper or object other than the examination questions, examination paper, pencil supplied by the board, and a watch. Further, an applicant is forbidden from wearing any jewelry which includes rings, tie clasps, belt buckles and bracelets which identifies an applicant with a particular chiropractic association, philosophy, or school.
NOTE

Authority cited: Section 1000-4(b), Business and Professions Code. Reference: Section 1000-6(c), Business and Professions Code.
HISTORY

1. Repealer of former Section 341, and renumbering and amendment of Section 344 to Section 341 filed 7-30-87; operative 8-29-87 (Register 87, No. 32). For prior history, see Register 79, No. 7.
§342. Conduct During Examination.
Note     •     History

No applicant will be permitted to communicate in any way with any other applicant, nor will he be permitted to question any examiner in reference to or interpretation of the questions under consideration. Applicants must rely solely upon their own judgment as to the meaning of each question, and on their own knowledge of the subject in answering. Any disturbance on the part of the applicant will disqualify said applicant and he will be required to leave the examination room.
NOTE

Authority cited: Sections 1000-4(b), 1000-4(e), Business and Professions Code. Reference: Sections 1000-4(c) and 1000-6(c), Business and Professions Code.
HISTORY

1. Amendment filed 10-7-77; effective thirtieth day thereafter (Register 77, No. 41).
2. Repealer of former Section 342, and renumbering and amendment of Section 345 to Section 342 filed 7-30-87; operative 8-29-87 (Register 87, No. 32). For prior history, see Register 79, No. 7.
§343. Basis of Questions.
Note     •     History

All examination questions shall be with respect to the subject listed in Groups 1 to 8, inclusive, set forth in Sections 331.12.1, 331.12.2, and 331.12.3 of these rules. They shall be based upon material contained in standard textbooks approved by the board.
NOTE

Authority cited: Section 1000-4(b), Business and Professions Code. Reference: Sections 1000-5 and 1000-6(c), Business and Professions Code.
HISTORY

1. Repealer of former Section 343, and renumbering and amendment of former Section 346 to Section 343 filed 7-30-87; operative 8-29-87 (Register 87, No. 32). For prior history, see Register 79, No. 7.
§344. Cheating.
Note     •     History

Any person, who upon good cause shown, is suspected of cheating shall be ousted from the examination and, upon a finding that said person did, in fact, cheat on that exam, said person will be denied further examination for a period of at least one year thereafter. Notice of such action against an individual caught cheating shall be submitted to all state chiropractic boards.
NOTE

Authority cited: Sections 1000-4(b) and 1000-4(e), Business and Professions Code. Reference: Sections 1000-4(c) and 1000-6(c), Business and Professions Code.
HISTORY

1. Amendment filed 10-7-77; effective thirtieth day thereafter (Register 77, No. 41).
2. Renumbering and amendment of former Section 344 to Section 341, and renumbering and amendment of Section 347 to Section 344 filed 7-30-87; operative 8-29-87 (Register 87, No. 32). For prior history, see Register 79, No. 7.
§345. Retention of Papers.
Note     •     History

Examination papers will be retained by the board for one year and destroyed at the end of that time.
NOTE

Authority cited: Sections 1000-4(b) and 1000-4(e), Business and Professions Code. Reference: Sections 1000-4(c) and 1000-6(c), Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 345 to Section 342, and renumbering and amendment of former Section 348 to Section 345 filed 7-30-87; operative 8-29-87 (Register 87, No. 32). For prior history, see Register 79, No. 7.
§346. Interpretation of Part of Section 6(c) of the Act.
Note     •     History

The board makes the following interpretation of that part of Section 6(c) of the Act which states that:
“Any applicant failing to make the required grade shall be given credit for the branches passed, and may, without further costs, take the examination at the next regular examination on the subjects in which he failed.”
Candidates are considered to have failed a subject if they receive a grade in that subject of less than seventy-five percent (75%).
If first-time applicants, or retake applicants considered as first-time applicants by this section, having taken the examination and failed to receive the grade as required in Section 6(c),
(a) do not take the examination in the failed branches as required by the board, at the next regular examination, or
(b) fail to obtain grades sufficient to bring the general average to at least seventy-five percent (75%), or receives less than sixty percent (60%) in more than two subjects in which examined (grades in the subjects credited the previous examination are to be included in determining such general average), or
(c) fail to receive a 75 percent (75%), or better, on each part of the practical examination, then the credit allowed in the branches passed in the first examination shall lapse.
If, thereafter, candidates desire to reapply, they shall renew their application together with an additional application license fee, and shall be examined in the same manner and to the same extent as though they had not previously taken any examination.
NOTE

Authority cited: Sections 1000-4, 1000-6 and 1000-10, Business and Professions Code. Reference: Section 1000-6(c), Business and Professions Code.
HISTORY

1. Amendment filed 10-7-77; effective thirtieth day thereafter (Register 77, No. 41).
2. Renumbering and amendment of former Section 346 to Section 343, and renumbering and amendment of Section 350 to Section 346 filed 7-30-87; operative 8-29-87 (Register 87, No. 32). For prior history, see Register 79, No. 7.
§347. Cheating. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 4(b), Chiropractic Initiative Act of California. Reference: Section 4(b), Chiropractic Initiative Act of California.
HISTORY

1. Amendment filed 12-12-78; effective thirtieth day thereafter (Register 78, No. 50).
2. Renumbering and amendment of Section 347 to Section 344 filed 7-30-87; operative 8-29-87 (Register 87, No. 32). For prior history, see Register 79, No. 7.
§348. Failure to Appear for Examination.
Note     •     History

An applicant for a license to practice chiropractic who fails to appear for examination within one year after being first qualifying therefor shall be considered to have abandoned his application and shall forfeit the license fee paid in connection therewith. If such person thereafter applies for a license, he shall be required to establish his eligibility for such license in the same manner as an original applicant in accordance with the provisions of the act and the regulations of the board in effect at the time the new application is filed.
NOTE

Authority cited: Section 1000-4(b), Business and Professions Code. Reference: Section 1000-5, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 348 to Section 345, and renumbering and amendment of former Section 351 to Section 348 filed 7-30-87; operative 8-29-87 (Register 87, No. 32). For prior history, see Register 79, No. 7.
§349. Interpretation of Section 6(d) of the Act.
Note     •     History

(a) For applicants applying for licensure through June 30, 1996, the  board makes the following interpretation of Section 6(d) of the Act which states:
“An applicant having fulfilled the requirements of Section 5 and paid the fee thereunder, and having obtained a diplomate certificate from the National Board of Chiropractic Examiners, may offer such certificate together with a transcript of grades secured in said national board examination, and the California Board of Chiropractic Examiners may accept same in lieu of all or a portion of the California board examination as determined by the board.”
(1) To be considered by the board, proof of status with the National Board of Chiropractic Examiners must be submitted to the board's office in compliance with application instructions and postmarked on or before the final filing date designated by the board.
(2) Applicants with National Board status who fail the board examination, under the provisions of Section 346 must retake the entire written and practical examinations of the board.
(3) Effective January 1, 1996: Prior to being scheduled for the practical portion of the California board examination, the applicant must show proof of either National Board status or successful completion of the entire written portion of the California licensure examination.
(4) National Board status means attainment of passing scores on the National Board Parts I, II, III, and Physiotherapy examinations.
(b) For applicants applying for licensure on or after July 1, 1996, the Board makes the following interpretation of Section 6(d) of the Act which states:
“An applicant having fulfilled the requirements of Section 5 and paid the fee thereunder, and having obtained a diplomate certification from the National Board of Chiropractic Examiners, may offer such certificate together with a transcript of grades secured in said national board examination, and the California Board of Chiropractic Examiners may accept same in lieu of all or a portion of the California board examination as determined by the board.”
(1) To be eligible for the California Chiropractic Board examination, proof of status with the National Board of Chiropractic Examiners must be submitted to the board's office in compliance with application instructions and postmarked on or before the final filing date designated by the board.
(2) All applicants for licensure must show proof of National Board status, and successful scores for the California Chiropractic Board examination, which may cover California laws and regulations governing the practice of chiropractic, and/or other subjects as taught in chiropractic schools or colleges.
(3) Applicants who fail components of the California Chiropractic Board examination after two attempts must, under the provisions of Section 346, retake all of the California Chiropractic Board examination.
(4) The National Board of Chiropractic Examiners examination Parts I, II, III, IV, and Physiotherapy, and the California Chiropractic Board examination shall constitute the California board licensure requirement.
(5) National Board status means attainment of passing scores on the National Board Parts I, II, III, IV, and Physiotherapy examinations.
(6) The California Chiropractic Board examination means the examination developed by the Board of Chiropractic Examiners or an agency designated by the board. This California Chiropractic Board examination shall cover California laws and regulations governing the practice of chiropractic, and/or other subjects as taught in chiropractic schools or colleges, and must be taken after the candidate has graduated from chiropractic college.
NOTE

Authority cited: Sections 1000-4(b) and 1000-10(a), Business and Professions Code. Reference: Section 1000-6(d), Business and Professions Code.
HISTORY

1. Repealer filed 10-7-77; effective thirtieth day thereafter (Register 77, No. 41).
2. Renumbering and amendment of former Section 352 to Section 349 filed 7-30-87; operative 8-29-87 (Register 87, No. 32).
3. Amendment of second paragraph and subsection (a), new subsections (c)-(d) and amendment of Note filed 8-14-95; operative 1-1-96 (Register 95, No. 33).
4. Redesignation and amendment of first paragraph to subsection (a), subsection renumbering, amendment of newly designated subsection (a)(4) and new subsections (b)-(b)(6) filed 6-18-96; operative 6-18-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 25).
§350. Interpretation of Part of Section 6(c) of the Act. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 4(b) of the Chiropractic Initiative Act of California (Stats. 1923, p. lxxxviii). Reference: Section 6 of the Chiropractic Initiative Act of California (Stats. 1923, p. lxxxviii).
HISTORY

1. Amendment filed 1-4-77; effective thirtieth day thereafter (Register 77, No. 2). For prior history, see Register 76, No. 12.
2. Amendment filed 8-18-77; effective thirtieth day thereafter (Register 77, No. 34).
3. Amendment filed 10-7-77; effective thirtieth day thereafter (Register 77, No. 41).
4. Amendment filed 2-15-79; effective thirtieth day thereafter (Register 79, No. 7).
5. Renumbering and amendment of Section 350 to Section 346 filed 7-30-87; operative 8-29-87 (Register 87, No. 32).
§351. Failure to Appear for Examination. [Renumbered]
History

HISTORY

1. Renumbering and amendment of Section 351 to Section 348 filed 7-30-87; operative 8-29-87 (Register 87, No. 32). For prior history, see Register 80, No. 5.
§352. Interpretation of Section 6(d) of the Act. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 4(b) of the Chiropractic Initiative Act of California (Stats. 1923, p. lxxxviii). Reference: Section 6(d) of the Chiropractic Initiative Act of California (Stats. 1923, p. lxxxviii).
HISTORY

1. New section filed 10-7-77; effective thirtieth day thereafter (Register 77, No. 41).
2. Amendment of subsection (a) filed 2-5-80; effective thirtieth day thereafter (Register 80, No. 5).
3. Renumbering and amendment of Section 352 to Section 349 filed 7-30-87; operative 8-29-87 (Register 87, No. 32).
§353. Failure of the Examination. [Repealed]
History

HISTORY

1. New section filed 10-7-77; effective thirtieth day thereafter (Register 77, No. 41).
2. Repealer filed 2-27-78; effective thirtieth day thereafter (Register 78, No. 9).
§354. Successful Examination.
Note     •     History

Notwithstanding Section 312, applicants who are notified in writing by the Board of the successful completion of the Board examination, may immediately commence the practice of chiropractic in California pending the receipt of their certificate.
NOTE

Authority cited: Section 4(b) of the Chiropractic Initiative Act of California (Stats. 1923, p. 1xxxviii). Reference: Section 4(b) of the Chiropractic Initiative Act of California (Stats. 1923, p. 1xxxviii).
HISTORY

1. New section filed 10-18-79; effective thirtieth day thereafter (Register 79, No. 42).
§355. Renewal and Restoration. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1000-4(b) and 1000-10(a), Business and Professions Code. Reference: Section 1000-12, Business and Professions Code.
HISTORY

1. New article 6 (sections 355 through 358) filed 1-31-72; effective thirtieth day thereafter (Register 72, No. 6).
2. Amendment of subsection (a) filed 5-26-88; operative 6-25-88 (Register 88, No. 23).
3. Amendment of subsection (a) and new subsection (c) filed 4-23-91; operative 5-23-91 (Register 91, No. 21).
4. Amendment of subsection (b), new subsection (c) and subsection relettering filed 3-19-2001; operative 4-18-2001 (Register 2001, No. 12).
5. Relocation of article 6 heading to precede section 360 and renumbering of former section 355 to section 371 filed 5-9-2011; operative 6-8-2011 (Register 2011, No. 19).
§355.1. Continued Jurisdiction of a License. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1000-4(b) and 1000-10, B usiness and Professions Code (Chiropractic Initiative Act of California, Stats. 1923, p. lxxxviii). Reference: Sections 1000-4(b) and 1000-10, Business and Professions Code  (Chiropractic Initiative Act of California, Stats. 1923, p. lxxxviii).
HISTORY

1. New section filed 12-6-2000; operative 1-5-2001 (Register 2000, No. 49).
2. Editorial correction restoring inadvertently omitted word (Register 2001, No. 3).
3. Amendment filed 7-7-2003; operative 8-6-2003 (Register 2003, No. 28).
4. Renumbering of former section 355.1 to section 372 filed 5-9-2011; operative 6-8-2011 (Register 2011, No. 19).
§355.2. Inactive License. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 1000-4(b) and 1000-10, Business and Professions Code. (Chiropractic Initiative Act of California, Stats. 1923, p. lxxxviii). Reference: Sections 1000-4(b) and 1000-10, Business and Professions Code. (Chiropractic Initiative Act of California, Stats. 1923, p. lxxxviii).
HISTORY

1. New section filed 7-2-2001; operative 8-1-2001 (Register 2001, No. 27).
2. Repealer filed 5-9-2011; operative 6-8-2011 (Register 2011, No. 19).
§356. Course Content. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1000-4(b) and 1000-4(e), Business and Professions Code. Reference: Sections 1000-4(b) and 1000-10(a), Business and Professions Code.
HISTORY

1. Amendment filed 5-5-78; effective thirtieth day thereafter (Register 78, No. 18).
2. Amendment of subsection (d) filed 7-30-87; operative 8-29-87 (Register 87, No. 32).
3. Amendment of subsection (d) filed 6-3-92; operative 7-3-92 (Register 92, No. 23).
4. Amendment filed 3-22-99; operative 3-22-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 13).
5. Renumbering of former section 356 to section 361 filed 5-9-2011; operative 6-8-2011 (Register 2011, No. 19).
§356.1. Cardiopulmonary Resuscitation/Basic Life Support Training. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1000-4(b), Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923, p. lxxxvii). Reference: Section 1000-4(e), Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923, p. lxxxvii).
HISTORY

1. New section filed 10-22-2003; operative 11-21-2003 (Register 2003, No. 43).
2. Repealer filed 4-9-2007; operative 5-9-2007 (Register 2007, No. 15).
§356.5. Continuing Education Provider Approval, Duties and Responsibilities. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1000-4(b) and 1000-4(e), Business and Professions Code. Reference: Sections 1000-4(b) and 1000-10(a), Business and Professions Code.
HISTORY

1. New section filed 3-22-99; operative 3-22-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 13).
2. Renumbering of former section 356.5 to section 362 filed 5-9-2011; operative 6-8-2011 (Register 2011, No. 19).
§357. Approval of Continuing Education Courses. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1000-4(b), 1000-(e), Business and Professions Code. Reference: Sections 1000-4(b), 1000-10(a), Business and Professions Code.
HISTORY

1. Amendment filed 1-4-77; effective thirtieth day thereafter (Register 77, No. 2).
2. Amendment filed 5-5-78; effective thirtieth day thereafter (Register 78, No. 18).
3. Amendment of subsection (a) filed 2-15-79; effective thirtieth day thereafter (Register 79, No. 7).
4. Amendment of subsection (a) filed 7-30-87; operative 8-29-87 (Register 87, No. 32).
5. Editorial correction of subsection (a) printing error (Register 87, No. 38).
6. Amendment filed 3-22-99; operative 3-22-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 13).
7. Renumbering of former section 357 to section 363 filed 5-9-2011; operative 6-8-2011 (Register 2011, No. 19).
§358. Exemptions and Reduction of Requirement. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1000-4(b), Business and Professions Code. Reference: Sections 1000-4(b) and 1000-4(e), Business and Professions Code.
HISTORY

1. Amendment filed 1-4-77; effective thirtieth day thereafter (Register 77, No. 2).
2. Repealer and new section filed 5-5-78; effective thirtieth day thereafter (Register 78, No. 18).
3. New subsection (6) filed 9-27-79; effective thirtieth day thereafter (Register 79, No. 39).
4. Amendment filed 7-30-87; operative 8-29-87 (Register 87, No. 32).
5. Amendment filed 3-22-99; operative 3-22-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 13).
6. Renumbering of former section 358 to section 364 filed 5-9-2011; operative 6-8-2011 (Register 2011, No. 19).
§359. Revoked or Suspended Licenses. [Renumbered]
History

HISTORY

1. New section filed 5-5-78; effective thirtieth day thereafter (Register 78, No. 18).
2. Renumbering of former section 359 to section 365 filed 5-9-2011; operative 6-8-2011 (Register 2011, No. 19).
Article 6. Continuing Education
§360. Continuing Education Fees.
Note     •     History

The following represents fees for continuing education:
(a) Continuing Education Provider Application Fee: $75
(b) Biennial Continuing Education Provider Renewal Fee: $50
(c) Continuing Education Course Application Fee: $50 per course. A course is defined in Section 363.
NOTE

Authority cited: Sections 1000-4(b) and 1000-4(e), Business and Professions Code (Chiropractic Initiative Act of California Stats. 1923 p. 1xxxviii). Reference: Sections 1000-4(b) and 1000-10(a), Business and Professions Code (Chiropractic Initiative Act of California Stats. 1923 p. 1xxxviii).
HISTORY

1. New section filed 10-16-2003; operative 11-15-2003 (Register 2003, No. 42).
2. Relocation of article 6 heading from preceding section 355 to preceding section 360, renumbering of former section 360 to section 366 and new section 360 filed 5-9-2011; operative 6-8-2011 (Register 2011, No. 19).
§361. Continuing Education Requirements.
Note     •     History

(a) For purposes of this section, “implementation date” means two years following June 8, 2011.
(b) For license renewals that expire on or after the implementation date, the number of required hours of continuing education courses shall be twenty-four (24). For license renewals that expire prior to the implementation date, the number of required hours of continuing education courses shall be twelve (12).
(c) For license renewals that expire on or after the implementation date, a maximum of twelve (12) continuing education hours may be completed through distance learning as defined in Section 363.1. For license renewals that expire prior to the implementation date, a maximum of six (6) continuing education hours may be completed through distance learning as defined in Section 363.1.
(d) Any continuing education hours accumulated before June 8, 2011 that meet the requirements in effect on the date the hours were accumulated, will be accepted by the board for license renewals.
(e) On or after the implementation date, licensees shall complete a minimum of two (2) hours in subdivision (g)(11) -- Ethics and Law, a minimum of four (4) hours in any one of, or a combination of, the subject areas specified in subdivision (g)(3) -- History Taking and Physical Examination Procedures, subdivision (g)(5) -- Chiropractic Adjustive Techniques or Chiropractic Manipulation Techniques, or subdivision (g)(10) -- Proper and Ethical Billing and Coding. 
(f) With the exception of the mandatory hours referenced in subdivision (e), the remaining eighteen (18) hours of additional continuing education requirements may be met by taking courses in any of the subject areas listed in subdivision (g) or courses taken pursuant to subdivision (h). The eighteen (18) hours may include any combination of continuing education courses in subject areas specified in either subdivision (g) or approved by agencies specified in subdivision (h). By way of example, a licensee may take eight (8) hours of continuing education courses in subject areas listed in subdivision (g), that are approved by the board, and ten (10) hours of continuing education courses that are approved by the California Department of Industrial Relations, Division of Workers Compensation pursuant to subparagraph (1) of subdivision (h). 
(g) Courses approved by the board shall be limited to the following subject areas:
1. Philosophy of chiropractic, including the historical development of chiropractic as an art and science and health care approach; the vertebral subluxation complex and somato-visceral reflexes including their relationships between disease and health; and other chiropractic theory and philosophy. 
2. Instruction in basic sciences of anatomy, histology, neurology, physiology, nutrition, pathology, biochemistry or toxicology. 
3. Instruction in various basic to comprehensive history taking and physical examination procedures, including but not limited to orthopedic, neurological and general diagnosis related to evaluation of the neuro-musculoskeletal systems, and includes general diagnosis and differential diagnosis of all conditions that affect the human body. 
4. Diagnostic testing procedures, interpretation and technologies that aid in differential diagnosis of all conditions that affect the human body.
5. Chiropractic adjustive techniques or chiropractic manipulation techniques. 
6. Pain management theory, including, but not limited to, current trends in treatment and instruction in the physiology and anatomy of acute, sub-acute and chronic pain.
7. Physiotherapy.
8. Instruction in Manipulation Under Anesthesia including the safe handling of patients under anesthesia.
9. Instruction in the aspects of special population care, including, but not limited to, geriatric, pediatric, and athletic care as related to the practice of chiropractic.
10. Instruction in proper and ethical billing and coding, including accurate and effective record keeping and documentation of evaluation, treatment and progress of a patient. This is not to include practice building or patient recruitment/retention or business techniques or principles that teach concepts to increase patient visits or patient fees per case.
11. Ethics and law: including but not limited to: truth in advertising; professional boundaries; mandatory reporting requirements for child abuse/neglect, elder abuse/neglect; spousal or cohabitant abuse/neglect; sexual boundaries between patient and doctors; review of the specific laws, rules and regulations related to the practice of chiropractic in the State of California.
12. Adverse event avoidance, including reduction of potential malpractice issues.
13. Pharmacology, including side effects, drug interactions and the pharmodynamics of various commonly prescribed and over-the-counter drugs; drug reactions and interactions with herbs, vitamins and nutritional supplements; blood and urinalysis testing used in the diagnosis and detection of disease, including use of and interpretation of drug testing strips or kits utilizing urinalysis, saliva, hair and nail clippings. 
14. A licensee may earn up to a maximum of two (2) hours of continuing education credit in cardiopulmonary resuscitation, basic life support or use of an automated external defibrillator. 
15. Board Meeting: A licensee may earn a maximum of four (4) hours of continuing education credit per renewal period for attending a full board meeting that includes the hearing of cases related to petitioners seeking the reinstatement of revoked licenses or early termination of probationary licenses. A petitioner may not earn any continuing education hours for attending a board meeting on the same day in which said petitioner's hearing is conducted. The attendance of a licensee at a board meeting under this subparagraph shall be monitored and confirmed by board staff designated by the Executive Officer.
16. Any of the following as related to the practice of chiropractic:
(A) Principles of practice.
(B) Wellness. (prevention, health maintenance)
(C) Rehabilitation.
(D) Public health.
(h) With the exception of the mandatory courses specified in subdivision (e), the remaining continuing education requirements may be met by taking continuing education courses, including distance learning, that are approved by either of the following:
(1) The California Department of Industrial Relations, Division of Workers Compensation.
(2) Any Healing Arts Board or Bureau within Division 2 of the Business and Professions Code or approved by any organization authorized to approve continuing education by any Healing Arts Board or Bureau in Division 2 of the Business and Professions Code. 
(i) The continuing education providers and courses referenced in subdivision (h) do not need to be approved by the Board for credit to be granted nor do they need to meet the requirements contained in Sections 362, 363, and 363.1.
NOTE

Authority cited: Sections 1000-4(b) and 1000-4(e), Business and Professions Code (Chiropractic Initiative Act of California Stats. 1923 p. 1xxxviii). Reference: Sections 1000-4(b) and 1000-10(a), Business and Professions Code (Chiropractic Initiative Act of California Stats. 1923 p. 1xxxviii).
HISTORY

1. Renumbering of former section 356 to section 361, including amendment of section heading, repealer and new section and amendment of Note, filed 5-9-2011; operative 6-8-2011 (Register 2011, No. 19).
§362. Continuing Education Provider Approval, Duties, and Responsibilities.
Note     •     History

(a) CONTINUING EDUCATION PROVIDER DENIAL AND APPEAL PROCESS: If an application is denied under this section, the applicant shall be notified in writing of the reason(s) for the denial. The applicant may request an informal hearing with the Executive Officer regarding the reasons stated in the denial notification. The appeal must be filed within 30 days of the date of the denial notification.
The Executive Officer shall schedule the informal hearing within 30 days of receipt of the appeal request. Within 10 days following the informal hearing, the Executive Officer shall provide written notification of his or her decision to the denied applicant. If the Executive Officer upholds a denial under this section, the applicant may, within 30 days of the date of the Executive Officer's denial notification, request a hearing before the board to appeal the denial. The Executive Officer shall schedule the requested hearing at a future board meeting but not later than 180 days following receipt of the request. Within 10 days of the hearing before the board, the Executive Officer shall provide written notification of the board's decision to the applicant. The board's decision shall be the final order in the matter.
(b) As used in this section, a provider is an individual, partnership, corporation, professional association, college or any other entity approved by the board to offer board approved continuing education courses to licensees to meet the annual continuing education requirements set forth in Section 361 of these regulations. 
(c)(1) To apply to become an approved provider, an applicant shall complete and submit a “Continuing Education Provider Application” form (Revision date 02/10) which is hereby incorporated by reference, and pay the fee specified in Section 360(a). Applications for approval shall be submitted to the board office at least 30 days prior to a scheduled board meeting. Providers with applications that are incomplete will be notified of the deficiencies in writing within three (3) weeks from the date of receipt. Complete applications will be reviewed at the scheduled board meeting and notification of the board's decision will be provided in writing within two (2) weeks following the board meeting.
(2) The approval of the provider shall expire two (2) years after it is issued by the board and may be renewed upon the filing of the “Continuing Education Provider Application” form (Revision date 02/10) and fee specified in Section 360(b).
(3) Providers who were approved by the board prior to the effective date of this regulation shall renew their provider status two years from June 8, 2011 by filing of the “Continuing Education Provider Application” form (Revision date 02/10) and fee specified in Section 360(b).
(4) The board will not process incomplete applications nor applications that do not include the correct application fee.
(d) Providers shall:
(1) Identify an individual responsible for overseeing all continuing education activities of the provider.
(2) Provide a course roster to the board, within 30 days, upon written request. Course rosters shall include the names of all licensees, license numbers, and e-mail addresses if available. Failure to submit the roster upon written request within thirty (30) days may result in the withdrawal or denial of previous course approval and withdrawal of provider status. Providers shall maintain the course roster for four (4) years from the date of completion of the course.
(3) Maintain course instructor curriculum vitae or resumes for four (4) years.
(4) Disclose to prospective participants the names of the individuals or organizations, if any, who have underwritten or subsidized the course. Providers may not advertise, market, or display materials or items for sale inside the room while the actual instruction is taking place. Nothing in this section shall be interpreted to prohibit a provider from mentioning a specific product or service solely for educational purposes.
(5) Inform the board in writing immediately of any change to the date, time or location of the course.
(6) Provide a certificate of completion to licensees within 30 days following completion of the continuing education course. Providers shall retain records of course completion for four (4) years from the date of completion and provide records of completion to the Board within thirty (30) days, upon written request. The certificate shall include the following information:
(A) Name and address of provider.
(B) Course title.
(C) Course approval number.
(D) Date(s) and location of course.
(E) Licensee name.
(F) License number.
(G) Printed name and signature of the provider's designated representative.
(H) Number of hours the licensee earned in continuing education, including the type of mandatory hours, and whether the hours were obtained in classroom instruction or distance learning.
(e) The Executive Officer, after notification, may withdraw approval of any continuing education provider for good cause, including, but not limited to, violations of any provision of the regulation or falsification of information, and shall provide written notification of such action to the provider. The provider may request an informal hearing with the Executive Officer regarding the reasons for withdrawal of approval stated in the Executive Officer's notification. The appeal must be filed within 30 days of the date of the notification. The Executive Officer shall schedule the informal hearing within 30 days of receipt of the appeal request. Within 10 days following the informal hearing, the Executive Officer shall provide written notification of his or her decision to the provider. If the Executive Officer upholds his or her decision under this subsection, the provider may, within 30 days of the date of the Executive Officer's notification, request a hearing before the board to appeal the Executive Officer's decision. The Executive Officer shall schedule the requested hearing at a future board meeting but not later than 180 days following receipt of the request. Within 10 days of the hearing before the board, the Executive Officer shall provide written notification of the board's decision to the provider. The board's decision shall be the final order in the matter.
NOTE

Authority cited: Sections 1000-4(b) and 1000-4(e), Business and Professions Code (Chiropractic Initiative Act of California Stats. 1923 p. 1xxxviii). Reference: Sections 1000-4(b) and 1000-10(a), Business and Professions Code (Chiropractic Initiative Act of California Stats. 1923 p. 1xxxviii).
HISTORY

1. Renumbering of former section 356.5 to section 362, including amendment of section and Note, filed 5-9-2011; operative 6-8-2011 (Register 2011, No. 19).
§363. Approval of Continuing Education Courses.
Note     •     History

(a) Providers must complete and submit a “Continuing Education Course Application” form (Revision date 02/10) which is hereby incorporated by reference, and pay the non-refundable application fee as provided by Section 360(c) at least 45 days prior to the date of the course. Providers shall submit and complete one application for each continuing education course being offered. 
(b) A “course” is defined as an approved program of coordinated instruction in any one of the subject areas as defined in Section 361(g) and given by an approved Provider. Once approved, a course may be given any number of times for one year following approval, with the single continuing education course fee paid one time annually by the provider. A course may not consist of more than one subject area as defined in Section 361(g).
(c) The following documentation shall be submitted with each Continuing Education Course Application:
(1) An hourly breakdown of the continuing education course;
(2) A final copy of the syllabus/course schedule including seminar name, date and location of seminar, instructor(s) name, course description, educational objectives, teaching methods, course schedule/outline, recommended reading, disclosure of expenses underwritten or subsidized by vendors of any goods, and supplies or services;
(3) A copy of the course brochure and all other promotional material to be used;
(4) A curriculum vitae for each instructor including the instructor's name and address; the type of educational degree including the name of the college and year the degree was received; license information including status and name of licensing agency; certification including status and name of certifying agency; the type, location and years of practical experience; the type, location and years of teaching experience; the type, location and years of research experience; the type, location and years of other relevant experience; and the title, journal, and date of publications.
(d) DENIAL AND APPEAL PROCESS: If a course application is denied under this section, the applicant shall be notified in writing of the reason(s) for the denial. The applicant may request an informal hearing regarding the reasons stated in their denial notification, with the Executive Officer. The appeal must be filed within 30 days of the date of the denial notification.
The Executive Officer shall schedule the informal hearing within 30 days of receipt of the appeal request. Within 10 days following the informal hearing, the Executive Officer shall provide written notification of his or her decision to the denied applicant. If the Executive Officer upholds a denial under this section, the applicant may, within 30 days of the date of the Executive Officer's denial notification, request a hearing before the board to appeal the denial. The Executive Officer shall schedule the requested hearing at a future board meeting but not later than 180 days following receipt of the request. 
Within 10 days of the hearing before the board, the Executive Officer shall provide written notification of the board's decision to the applicant. The board's decision shall be the final order in the matter.
(e) Only those courses that meet the following shall be approved:
(1) No more than twelve (12) hours of continuing education credit shall be awarded to an individual licensee for coursework completed on a specific date.
(2) Each hour of continuing education credit shall be based on at least fifty (50) minutes of participation in an organized learning experience. Class breaks shall be at the discretion of the instructor and shall not count towards a course hour. Providers shall furnish a sign-in sheet that contains the course date(s), each licensee's name, license number, and designated space for each licensee to sign in at the beginning and conclusion of the course each day. Furthermore, the form shall state that a licensee by signing their name on that sheet, is declaring under penalty of perjury, that they personally attended the stated course, on the listed date(s) and they personally attended the listed hours of course work. Each licensee shall be responsible for signing the “sign-in sheet” at the start and conclusion of each day's coursework, and failure to do so may invalidate credit for that day's coursework. Providers shall retain sign-in sheets for four (4) years from the date of course completion and shall provide copies to the Board within thirty (30) days upon written request.
(f) The board shall not approve the following subjects for continuing education courses: financial management, income generation, practice building, collections, self-motivation, and patient recruitment.
(g) If a provider makes a substantive change in content of an approved course, he or she shall notify the board as soon as possible of the changes prior to giving the course. A new application may be required as determined by the Executive Officer.
(h) The Executive Officer, after notification, may withdraw approval of any continuing education course for good cause, including, but not limited to, violations of any provision of this regulation or falsification of information and shall provide written notification of such action to the provider. The provider may request an informal hearing with the Executive Officer regarding the reasons for withdrawal of approval stated in the Executive Officer's notification. The appeal must be filed within 30 days of the date of the notification. The Executive Officer shall schedule the informal hearing within 30 days of receipt of the appeal request. Within 10 days following the informal hearing, the Executive Officer shall provide written notification of his or her decision to the provider. If the Executive Officer upholds his or her decision under this subsection, the provider may, within 30 days of the date of the Executive Officer's notification, request a hearing before the board to appeal the Executive Officer's decision. The Executive Officer shall schedule the requested hearing at a future board meeting but not later than 180 days following receipt of the request. Within 10 days of the hearing before the board, the Executive Officer shall provide written notification of the board's decision to the provider. The board's decision shall be the final order in the matter.
NOTE

Authority cited: Sections 1000-4(b) and 1000-(4)(e), Business and Professions Code (Chiropractic Initiative Act of California Stats. 1923 p. 1xxxviii). Reference: Sections 1000-4(b) and 1000-10(a), Business and Professions Code (Chiropractic Initiative Act of California Stats. 1923 p. 1xxxviii).
HISTORY

1. Renumbering of former section 357 to section 363, including amendment of section and Note, filed 5-9-2011; operative 6-8-2011 (Register 2011, No. 19).
§363.1. Distance Learning Courses.
Note     •     History

In addition to the applicable requirements of Sections 362 and 363, providers of continuing education courses offered through distance learning formats, including, but not limited to, computer, Internet, manuals, compact disks, digital video, versatile discs, and audio and video tapes, shall meet all of the following:
(a) Disclose course instructors' curriculum vitae or resumes.
(b) Explain the appropriate level of technology required for a student licensee to successfully participate in the course.
(c) Make available technical assistance as appropriate to the format.
(d) Contain security measures to protect the learner's identity, course and related content from unauthorized access.
(e) Establish a deadline for completion.
(f) Review instructional materials annually to ensure the content is current and relevant.
(g) The continuing education provider shall notify the licensee when he or she is leaving a continuing education site and directed to a promotional or sponsored site. Course material may not endorse manufacturers, distributors, or other sellers of chiropractic products or services. Nothing in this section shall be interpreted to prohibit a provider from mentioning a specific product or service solely for educational purposes.
NOTE

Authority cited: Sections 1000-4(b) and 1000-4(e), Business and Professions Code (Chiropractic Initiative Act of California Stats. 1923 p. 1xxxviii). Reference: Section 1000-4(b) and 1000-10(a), Business and Professions Code (Chiropractic Initiative Act of California Stats. 1923 p. 1xxxviii).
HISTORY

1. New section filed 5-9-2011; operative 6-8-2011 (Register 2011, No. 19).
§364. Exemptions and Reduction of Requirement.
Note     •     History

A licensee may qualify for a full or partial exemption, from the continuing education requirements of Section 361 if a licensee meets any of the criterion listed below:
(a) A licensee who holds a license on inactive status is not required to complete continuing education on an annual basis; however, they must provide proof of completion of the required continuing education hours prior to activating their license as specified in Section 371(f);
(b) A new licensee is exempt from continuing education requirements in the year of initial licensure; 
(c) An instructor who has taught for one (1) year and currently teaches core curriculum courses for more than eight (8) credit hours per week at any Council on Chiropractic Education accredited college for at least six (6) months during any license renewal period year shall be exempt from continuing education. 
(d) A licensee who teaches a board-approved continuing education course may earn one (1) hour of continuing education credit for each hour of lecture up to 24 hours per year. 
(e) Notwithstanding Section 361(c), a licensee who is unable to attend continuing education courses due to a physical disability and provides written certification from a primary health care provider may earn all 24 hours of continuing education credits for the period of the license renewal through Board-approved distance learning courses as defined in Section 363.1. 
(f) A licensee who participates as an examiner for the entire part four portion of the National Board of Chiropractic Examiners (NBCE) examinations shall receive a maximum of six (6) hours of continuing education credit for each examination period conducted by the NBCE during the license renewal period. The licensee must provide written certification from the NBCE confirming the licensee has met the requirements of this subsection.
(g) An active Board Member. A professional board member who has served one full year on the Board of Chiropractic Examiners shall be exempt from the continuing education requirement in each year of board member service.
(h) Notwithstanding Section 361(c), a licensee on active duty with a branch of the armed forces of the United States shall be permitted to take all twenty-four (24) hours of required continuing education through board-approved distance learning courses as defined in Section 363.1.
NOTE

Authority cited: Section 1000-4(b), Business and Professions Code (Chiropractic Initiative Act of California Stats. 1923 p. 1xxxviii). Reference: Sections 1000-4(b) and 1000-4(e), Business and Professions Code (Chiropractic Initiative Act of California Stats. 1923 p. 1xxxviii).
HISTORY

1. Renumbering of former section 358 to section 364, including amendment of section and Note, filed 5-9-2011; operative 6-8-2011 (Register 2011, No. 19).
§365. Revoked Licenses.
Note     •     History

Any person making application for reinstatement or restoration of a license which has been revoked shall be required to fulfill the continuing education requirements for each year the license was revoked and may be required to complete an approved course of continuing education, or to complete such study or training as the board deems appropriate.
NOTE

Authority cited: Section 1000-4(b), Business and Professions Code  (Chiropractic Initiative Act of California Stats. 1923 p. 1xxxviii). Reference: Sections 1000-4(b), 1000-4(e) and 1000-10, Business and Professions Code (Chiropractic Initiative Act of California Stats. 1923 p. 1xxxviii).
HISTORY

1. Renumbering of former section 359 to section 365, including amendment of section heading and section and new Note, filed 5-9-2011; operative 6-8-2011 (Register 2011, No. 19).
§366. Continuing Education Audits.
Note     •     History

The Board shall conduct random audits to verify compliance with Continuing Education requirements of active licensees. Licensees shall secure and retain certificates of completion issued to them at the time of attendance of approved Continuing Education courses for a period of four (4) years from their last renewal and shall forward these documents  to the Board upon request.
Licensees who fail to retain certificates of completion shall obtain duplicate certificates, from approved Continuing Education providers, who shall issue duplicates only to licensees whose names appear on the providers' rosters of course attendees. The certificates of completion shall be clearly marked “duplicate” and shall contain the information specified in Section 362(d)(6). 
Licensees who furnish false or misleading information to the Board regarding their Continuing Education hours shall be subject to disciplinary action. Providers who provide false or inaccurate verification of a licensee's participation may lose their provider status for up to ten (10) years, at the discretion of the Executive Officer. The full board's ruling, as described in Section 362(e), shall be the final order on the matter.
The board or its designee shall not be restricted from inspecting, observing, or auditing any approved chiropractic course in progress, at no charge.
The board, at its discretion, may contact attendees after a continuing education course as part of the board's auditing process to obtain information regarding the quality and content of the course.
NOTE

Authority cited: Section 1000-4(b), Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii). Reference: Sections 1000-4(b), 1000-4(e) and 1000-10, Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii).
HISTORY

1. Renumbering of former section 360 to section 366, including amendment of section and Note, filed 5-9-2011; operative 6-8-2011 (Register 2011, No. 19).
2. Editorial correction of second paragraph (Register 2011, No. 23).
Article 7. Chiropractic Corporations
§367.1. Citation of Rules.
Note     •     History

These rules may be cited and referred to as “Chiropractic Corporation Rules.” They are subject to amendment, modification, revision, supplement, repeal, or other change by appropriate action in the future.
NOTE

Authority cited: Secs. 4(b) and 10(a), Chiropractic Initiative Act and Sec. 1057, Business and Professions Code. Reference: Secs. 1050-1058, Bus. & Prof. Code and Secs. 13400 through 13410, Corporations Code.
HISTORY

1. New Article 7 (§§367.1 through 367.10) filed 7-13-71; effective thirtieth day thereafter (Register 71, No. 29).
§367.2. Definitions.

As used in this Article:
(a) “Board” means the State Board of Chiropractic Examiners.
(b) “Licensed person” means a natural person who is duly licensed under the provisions of the Chiropractic Act to render the same professional services as are or will be rendered by the professional corporation of which he is, or intends to become, an officer, director, shareholder or employee.
(c) “Certificate of Registration” means a certificate of registration as a chiropractic corporation.
(d) “Professional services” means rendering professional services as a chiropractor.
§367.3. Professional Relationships, Responsibilities, and Conduct Not Affected.

Nothing in the laws or rules relating to chiropractic corporations alters the duties and responsibilities of a licensed person to and professional relationships with his clients and others; nor do such laws or rules in any way impair the disciplinary powers of the State Board of Chiropractic Examiners over licensed persons; nor do such laws or rules impair any other law or rule pertaining to the standards of professional conduct of licensed persons.
§367.4. Office for Filing.

All applications for a Certificate of Registration and any of the documents or reports required by these rules or by law to be filed with the board shall be filed with the principal office of the board in Sacramento.
§367.5. Application, Review of Refusal to Approve.
Note     •     History

(a) An applicant corporation shall file with the board an application for Certificate of Registration on a form furnished by the board, which shall be signed and verified by an officer of the corporation who is a licensed person and be accompanied by a nonrefundable application fee in the amount of one hundred dollars ($100).
(b) The board, within a reasonable time after an application for registration is submitted to it, shall either approve the application and issue a Certificate of Registration or refuse to approve the application and notify the applicant corporation of the reasons therefor.
(c) The board may delegate to its executive secretary, or other official or employee of the board, its authority under Section 1051, Business and Professions Code, to review and approve applications for registration and to issue Certificates of Registration.
(d) Any applicant corporation whose application has been disapproved by the board may request a hearing pursuant to Government Code Section 11504. The hearing shall be conducted pursuant to the Administrative Procedure Act (Government Code Sections 11502-11528). 
(e) No applicant corporation shall hold itself out or engage in nor shall it render any professional services unless and until a Certificate of Registration has been issued.
NOTE

Authority cited: Section 4(b) of the Chiropractic Initiative Act of California (Stats. 1923, p. lxxxviii). Reference: Section 4(b) of the Chiropractic Initiative Act of California (Stats. 1923, p. lxxxviii).
HISTORY

1. Amendment filed 1-4-77; effective thirtieth day thereafter (Register 77, No. 2).
2. Amendment of subsection (a) filed 2-15-79; effective thirtieth day thereafter (Register 79, No. 7).
§367.6. Requirements for Issuance of Certificate of Registration.

A Certificate of Registration shall be issued if the board or the person delegated by it finds that the affairs of the applicant will be conducted in compliance with law and the rules and regulations of the board.
§367.7. Name of Corporation.

(a) The name of the corporation and any name or names under which it may be rendering professional services shall contain and be restricted to the name or the last name of one or more of its present, prospective, or former shareholders, and include the word “Chiropractic,” and the word “Corporation” or wording or abbreviations denoting corporate existence, limited to one of the following: “Corp”; “Incorporated”; “Inc.”; “Professional Corporation”; “Prof. Corp.”
§367.8. Security for Claims Against a Chiropractic Corporation.

(a) When a chiropractic corporation provides security by means of insurance for claims against it by its patients, the security shall consist of a policy or policies of insurance insuring the corporation against liability imposed upon it by law for damages arising out of claims against it by its patients arising out of the rendering of, or failure to render, chiropractic services by the corporation an amount for each claim of at least $50,000 multiplied by the number of employed licensed persons rendering such chiropractic services and an aggregate maximum limit of liability per policy year of at least $150,000 multiplied by the number of such employees, provided that the maximum coverage shall not be required to exceed $150,000 for each claim and $450,000 for all claims during the policy year, and provided further that the deductible portion of such insurance shall not exceed $5,000 multiplied by the number of such employees.
(b) All shareholders of the corporation shall be jointly and severally liable for all claims established against the corporation by its patients arising out of the rendering of, or failure to render, chiropractic services up to the minimum amounts specified for insurance under subsection (a) hereof except during periods of time when the corporation shall provide and maintain insurance for claims against it by its patients arising out of the rendering of, or failure to render chiropractic services. Said insurance, when provided, shall meet the minimum standards established in subsection (a) above.
§367.9. Shares: Ownership and Transfer.
Note     •     History

(a) The shares of a chiropractic corporation may be issued only to a licensed person and may be transferred only to a licensed person or to the issuing corporation.
(b) Where there are two or more shareholders in a chiropractic corporation and one of the shareholders:
(1) Dies, or
(2) Becomes a disqualified person as defined in Section 13401(d) of the Corporations Code, for a period exceeding ninety (90) days, his or her shares shall be transferred to a licensed person or to the issuing chiropractic corporation, on such terms as are agreed upon. Such transfer shall occur not later than six (6) months after any such death and not later than ninety (90) days after the date he or she becomes a disqualified person. A person disqualified by license suspension or revocation shall notify the Board when his or her shares are transferred. In the event that a person becomes disqualified by death, the representative of the deceased shareholder shall notify the Board of the transfer of the deceased shareholder's shares.
(c) A corporation and its shareholders may, but need not, agree that shares sold to it by a person who becomes a disqualified person may be resold to such person if and when he again ceases to become a disqualified person.
(d) The restrictions of subsection (a) and, if appropriate, subsection (b) of this section shall be set forth in the corporation's bylaws or articles of incorporation.
(e) The share certificates of a chiropractic corporation shall contain either:
(1) An appropriate legend setting forth the restriction of subsection (a), and where applicable, the restriction of subsection (b), or
(2) An appropriate legend stating that ownership and transfer of the shares are restricted and specifically referring to an identified section of the bylaws or articles of incorporation of the corporation wherein the restrictions are set forth.
NOTE

Authority cited: Section 1000-4(b), Business and Professions Code. Reference: Section 1000(b), Business and Professions Code; and Section 13407, Corporations Code.
HISTORY

1. Amendment of subsection (b)(2) and new Note filed 7-19-2001; operative 8-18-2001 (Register 2001, No. 29).
§367.10. Certificate of Registration; Continuing Validity; Reports.

(a) A Certificate of Registration shall continue in effect until it is suspended or revoked. Such certificate may be suspended or revoked for any of the grounds permitted by law.
(b) Each chiropractic corporation shall file a special report, on a form provided by the Board, within 30 days of any change of the officers, directors, shareholders, employees rendering professional services, and articles of incorporation.
(c) Each special report filed hereunder shall be accompanied by a filing fee of five dollars ($5).
Article 7.5. Citation and Fines
§370. License Renewal Fees.
Note     •     History

The following represents fees for license renewals:
(a) Annual license renewal for active and inactive licenses: $250
(b) License restoration for forfeited and cancelled licenses: double the annual renewal fee
(c) Inactive to active status license renewal: same as the annual license renewal fee 
NOTE

Authority cited: Sections 1000-4(b) and 1000-10, Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii). Reference: Sections 1000-4(b), 1000-10 and 1000-12, Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii). 
HISTORY

1. New article 7.5 (sections 370-372) and section filed 5-9-2011; operative 6-8-2011 (Register 2011, No. 19).
§371. Annual License Renewals and Restoration.
Note     •     History

(a) This section shall apply to non-disciplinary license renewal and restoration. Disciplinary license restoration conditions are defined in Section 1000-10 of the Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923 p.1xxxviii). 
(b) A license shall expire annually on the last day of the licensee's birth month. For purposes of this section, the following terms have the following meanings:
(1) “License in forfeiture” is a license that has not been renewed within 60 days following its expiration date. 
(2) “Inactive license” has the meaning specified in Business and Professions Code 700. 
(3) “Cancelled license” is a license that has been expired for a period of three (3) consecutive years.
(c) To renew an active license, a licensee shall complete and submit a “Renewal” form (R1HDC, Rev. 06/11), which is incorporated by reference, pay the appropriate fee specified in Section 370(a) prior to the expiration date of the license, and complete the board's continuing education requirements that were in effect during the license renewal period.
(d) To renew an inactive license, a licensee shall complete and submit a “Renewal” form (R1HDC, Rev. 06/11) and pay the appropriate fee specified in Section 370(a) prior to the expiration date of the license.
(e) To renew and restore a license in forfeiture, a licensee shall complete and submit a “Forfeiture Notice” form (D1HDC, Rev. 06/11) and an “Application for Restoration of License” form (Revision date 04/11), which are incorporated by reference, pay the appropriate fees specified in Section 370(b) and have met one of the following continuing education requirements:
(1) Completed the board's continuing education requirements that were in effect at the time of each license renewal period;
(2) Practiced in another state under an active valid license and completed all continuing education requirements for that state for each license renewal period the license was expired; 
(3) Passed the National Board of Chiropractic Examiners (NBCE) Special Purposes Examination for Chiropractic examination within six (6) months prior to submitting the Application for Restoration of License. 
(f) To restore an inactive license to active status, a licensee shall complete and submit an “Inactive to Active Status Application” form (Revision date 02/10), which is incorporated by reference, pay the appropriate fee specified in Section 370(c) prior to the expiration date of the license, and complete continuing education equivalent to that required for a single license renewal period.
(g) To restore a cancelled license, a licensee shall complete and submit an “Application for Restoration of License” form (Revision date 04/11), pay the appropriate fee specified in Section 370(b), and have met one of the following continuing education requirements:
(1) Completed the board's continuing education requirements that were in effect at the time of each license renewal period;
(2) Practiced in another state under an active valid license and completed all continuing education requirements for that state for each license renewal period the license was expired; 
(3) Passed the National Board of Chiropractic Examiners (NBCE) Special Purposes Examination for Chiropractic examination within six (6) months prior to submitting the Application for Restoration of License.
(h) The board will not process incomplete applications nor complete applications that do not include the correct fee as specified in Section 370.
(i) In addition to any other requirement for renewal or restoration of a license, a licensee shall disclose whether, since the last renewal of his or her license, he or she has been convicted of any violation of the law in this or any other state, the United States, or other country. However, licensees are not required to disclose traffic infractions that resulted in fines of less than five hundred dollars ($500) that did not involve alcohol, dangerous drugs, or controlled substances.
NOTE

Authority cited: Sections 1000-4(b) and 1000-10(a), Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii). Reference: Sections 1000-4(b), 1000-10 and 1000-12, Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii) and Penal Code Sections 11105 and 11105.2.
HISTORY

1. Renumbering of former section 355 to section 371, including amendment of section heading, section and Note, filed 5-9-2011; operative 6-8-2011 (Register 2011, No. 19).
§372. Continued Jurisdiction of a License.
Note     •     History

The suspension, expiration, or forfeiture by operation of law of a license issued by the board, or its suspension, or forfeiture by order of the board or by order of a court of law, or its surrender without the written consent of the board shall not, during any period in which it may be renewed, restored, reissued, or reinstated, deprive the board of its authority to institute or continue a disciplinary proceeding against the licensee upon any ground provided by law or to enter an order suspending or revoking the license or otherwise taking disciplinary action against the licensee on any such ground.
NOTE

Authority cited: Sections 1000-4(b) and 1000-10, Business and Professions Code (Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii). Reference: Sections 1000-4(b) and 1000-10, Business and Professions Code  (Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii).
HISTORY

1. Renumbering of former section 355.1 to section 372, including amendment of Note, filed 5-9-2011; operative 6-8-2011 (Register 2011, No. 19).
Article 8. Conflict of Interest Code
Note: It having been found, pursuant to Government Code Section 11409(a), that the printing of the regulations constituting the Conflict of Interest Code is impractical and these regulations being of limited and particular application, these regulations are not published in full in the California Code of Regulations. The regulations are available to the public for review or purchase at cost at the following locations:

BOARD OF CHIROPRACTIC EXAMINERS
3401 FOLSOM BOULEVARD, SUITE B
SACRAMENTO, CA 95816-5354

FAIR POLITICAL PRACTICES COMMISSION
428 J STREET, SUITE 800
SACRAMENTO, CA 95814

ARCHIVES
SECRETARY OF STATE
1020 “O” STREET
SACRAMENTO, CA 95814
The Conflict of Interest Code is designated as Article 8 of Division 4 of Title 16 of the California Code of Regulations, and consists of sections numbered and titled as follows:

Article 8. Conflict of Interest Code

	Section
	375.	General Provisions
		Appendix A
		Appendix B
NOTE

Authority cited: Sections 87300 and 87304, Government Code. Reference: Section 87300, et seq., Government Code.
HISTORY

1. New article 8 (sections 375-383 and Exhibits A and B) filed 10-12-78; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 8-2-78 (Register 78, No. 41).
2. Repealer of article 8 (sections 375-383 and Exhibits A and B) and new article 8 (section 375 and Appendix) filed 2-26-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-80 (Register 81, No. 9).
3. Amendment filed 4-6-92; operative 5-6-92. Submitted to OAL for printing only. Approved by Fair Political Practices Commission 2-14-92 (Register 92, No. 14).
4. Amendment of section and redesignation and amendment of portions of Appendix as Appendix A and Appendix B filed 3-3-2011; operative 4-2-2011. Approved by Fair Political Practices Commission 12-24-2010  (Register 2011, No. 9).
Article 9. Enforcement and Discipline
§384. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400, et seq.), the board shall consider the disciplinary guidelines entitled “Disciplinary Guidelines and Model Disciplinary Orders” [revised October 21, 2004] which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the board in its sole discretion determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Sections 1000-4(b) and 1000-10, Business and Professions Code. (Chiropractic Initiative Act of California, Stats. 1923, p. lxxxviii). Reference: Sections 1000-4(b) and 1000-10, Business and Professions Code. (Chiropractic Initiative Act of California, Stats. 1923, p. lxxxviii).
HISTORY

1. New article 9 (section 384) and section filed 7-15-99; operative 7-15-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 29).
2. Change without regulatory effect amending the document entitled ``Disciplinary Guidelines and Model Disciplinary Orders” (incorporated by reference) and amending section filed 11-4-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 45).
3. Amendment of document “Disciplinary Guidelines and Model Disciplinary Orders” (incorporated by reference) and amendment of section filed 9-12-2006; operative 10-12-2006 (Register 2006, No. 37).
§386. Fraud.
Note     •     History

Any proposed decision or decision issued in accordance with the procedures set forth in Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code that contains any finding of fact that the licensee has a second separate conviction for fraud, shall contain an order of revocation, which shall not be stayed.
NOTE

Authority cited: Sections 1000-4(b) and 1000-10, Business and Professions Code. (Chiropractic Initiative Act of California, Stats. 1923, p. lxxxviii). Reference: Sections 1000-4(b) and 1000-10, Business and Professions Code. (Chiropractic Initiative Act of California, Stats. 1923, p. lxxxviii).
HISTORY

1. New section filed 12-7-2001; operative 1-6-2002 (Register 2001, No. 49).
§389. Letter of Admonishment.
Note     •     History

(a) The Executive Officer, or his or her designee, may issue a letter of admonishment to a licensee for failure to comply with any provision of the Act, statute or regulations governing the practice of chiropractic.
(b) The letter of admonishment shall be in writing and shall describe in detail the nature and facts of the violation, including a reference to the Act, statute or regulation violated and may contain an order of abatement.
(c) The letter of admonishment shall be served upon the licensee personally or by certified United States mail at the licensee's address of record with the board. If the licensee is served by certified United States mail, service shall be effective upon deposit in the United States mail.
(d) The letter of admonishment shall inform the licensee that within 30 days of the date of the letter the licensee may do either of the following:
(1) Submit a written request for an office conference to the Executive Officer of the board to contest the letter of admonishment.
(A) Upon a timely request, the Executive Officer, or his or her designee, shall hold an office conference with the licensee or the licensee's legal counsel or authorized representative. Unless so authorized by the Executive Officer, or his or her designee, no individual other than the legal counsel or authorized representative of the licensee may accompany the licensee to the office conference. Upon request and approval by the Executive Officer or his or her designee, the licensee may participate in the office conference by telephone.
(B) Prior to or at the office conference, the licensee may submit to the Executive Officer declarations and documents pertinent to the subject matter of the letter of admonishment.
(C) The Executive Officer, or his or her designee, may affirm, modify, or withdraw the letter of admonishment. Within 14 calendar days from the date of the office conference, the Executive Officer, or his or her designee, shall personally serve or send by certified United States mail to the licensee's address of record with the board a written decision. This decision shall be deemed the final administrative decision concerning the letter of admonishment.
(D) Within thirty days of service or mailing of the written decision, the licensee shall comply with the letter of admonishment and, if the letter of admonishment contains an order of abatement, the licensee shall submit documentation to the Executive Officer documenting compliance with the order.
(2) Comply with the letter of admonishment and, if the letter of admonishment contains an order of abatement, the licensee shall submit documentation to the Executive Officer documenting compliance with the order.
NOTE

Authority cited: Sections 125.9, 1000-4(b) and 1000-10, Business and Professions Code; and Chiropractic Initiative Act of California, Stat. 1923, p. lxxxviii. Reference: Sections 1000-4(b) and 1000-10, Business and Professions Code; and Chiropractic Initiative Act of California, Stat. 1923, p. lxxxviii.
HISTORY

1. New section filed 3-4-2009; operative 4-3-2009 (Register 2009, No. 10).
§390. Issuance of Citations and Fines.
Note     •     History

(a) The Executive Officer of the board or his or her designee may issue a citation containing an order to pay a fine between $100 and $5,000 and an order of abatement against a licensee for any violation of the Act or the California Code of Regulations or any laws governing the practice of chiropractors. A citation may be issued without the assessment of a fine, when determined by the Executive Officer or his or her designee.
(b) Each citation shall be in writing and shall describe with particularity the nature and facts of each violation specified in the citation, including a reference to the law or regulation alleged to have been violated. 
(c) The citation shall be served upon the cited person either personally or by certified United States mail. 
NOTE

Authority cited: Sections 125.9, 1000-4(b) and 1000-10, Business and Professions Code; and Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii. Reference: Sections 1000-4(b) and 1000-10, Business and Professions Code; and Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii. 
HISTORY

1. New section filed 9-25-2000; operative 10-25-2000 (Register 2000, No. 39).
2. Change without regulatory effect amending subsection (a) filed 10-5-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 40).
3. Amendment of section heading, subsections (a) and (c) and Note filed 7-2-2008; operative 8-1-2008 (Register 2008, No. 27).
§390.1. Criteria to Be Considered.
Note     •     History

In the issuance of any citation, the following factors shall be considered: 
(a) Nature and severity of the violation. 
(b) Length of time that has passed since the date of the violation. 
(c) Consequences of the violation, including potential or actual patient harm. 
(d) History of previous violations of the same or similar nature. 
(e) Evidence that the violation was willful. 
(f) Gravity of the violation. 
(g) The extent to which the cited person has remediated any knowledge and/or skill deficiencies which could have injured a patient. 
NOTE

Authority cited: Sections 125.9, 1000-4(b) and 1000-10, Business and Professions Code; and Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii. Reference: Sections 1000-4(b) and 1000-10, Business and Professions Code; and Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii. 
HISTORY

1. New section filed 9-25-2000; operative 10-25-2000 (Register 2000, No. 39).
2. Amendment of Note filed 7-2-2008; operative 8-1-2008 (Register 2008, No. 27).
§390.2. Violation Codes and Penalty. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 1000-4(b) and 1000-10, Business and Professions Code; and Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii. Reference: Sections 1000-4(b) and 1000-10, Business and Professions Code; and Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii. 
HISTORY

1. New section filed 9-25-2000; operative 10-25-2000 (Register 2000, No. 39).
2. Amendment of subsection (a) filed 10-16-2003; operative 11-15-2003 (Register 2003, No. 42).
3. Change without regulatory effect amending subsection (b) filed 10-5-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 40).
4. Repealer filed 7-2-2008; operative 8-1-2008 (Register 2008, No. 27).
§390.3. Citations for Unlicensed Practice.
Note     •     History

The Executive Officer or his/her designee may issue a citation against any unlicensed person who is acting in the capacity of a licensee under the jurisdiction of the board and who is not otherwise exempt from licensure. Each citation may contain an order of abatement fixing a reasonable period of time for an abatement and an order to pay a fine not to exceed $5,000 for each violation. Any sanction authorized for activity under this section shall be separate from and in addition to any other civil or criminal remedies. 
NOTE

Authority cited: Sections 125.9, 1000-4(b) and 1000-10, Business and Professions Code; and Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii. Reference: Sections 1000-4(b) and 1000-10, Business and Professions Code; and Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii. 
HISTORY

1. New section filed 9-25-2000; operative 10-25-2000 (Register 2000, No. 39).
2. Change without regulatory effect amending section filed 10-5-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 40).
3. Amendment of section and Note filed 7-2-2008; operative 8-1-2008 (Register 2008, No. 27).
§390.4. Contested Citations.
Note     •     History

(a) The citation shall inform the licensee that if he/she desires a hearing to contest the finding of a violation, that hearing shall be requested by written notice to the board within 30 calendar days of the date of issuance of the citation. Hearings shall be held pursuant to the provisions of Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code. 
(b) In addition to requesting a hearing provided for in subdivision (a) of this section, the cited person may, within 14 calendar days after service of the citation, submit a written request for an informal conference with the Executive Officer. 
(c) The Executive Officer or his/her designee shall, within 30 calendar days from receipt of the written request, hold an informal conference with the person cited and/or his/her legal counsel or authorized representative. 
(d) The Executive Officer or his/her designee may affirm, modify or dismiss the citation, at the conclusion of the informal conference. A written decision stating the reasons for the decision shall be mailed to the cited person and his/her legal counsel, if any, within 14 calendar days from the date of the informal conference. This decision shall be deemed to be a final order with regard to the citation issued. 
(e) If the citation is dismissed, the request for a hearing shall be deemed withdrawn. If the citation is affirmed or modified, the cited person may, in his/her discretion, withdraw the request for a hearing or proceed with the administrative hearing process. 
NOTE

Authority cited: Sections 125.9, 1000-4(b) and 1000-10, Business and Professions Code; and Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii. Reference: Sections 1000-4(b) and 1000-10, Business and Professions Code; and Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii. 
HISTORY

1. New section filed 9-25-2000; operative 10-25-2000 (Register 2000, No. 39).
2. Change without regulatory effect amending subsections (b)-(d) filed 10-5-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 40).
3. Amendment of Note filed 7-2-2008; operative 8-1-2008 (Register 2008, No. 27).
§390.5. Compliance with Citation/Order of Abatement.
Note     •     History

(a) Orders of abatement may be extended for good cause. If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his/her control after the exercise of reasonable diligence, the person cited may request an extension of time from the Executive Officer or his/her designee in which to complete the correction. Such a request shall be in writing and shall be made within the time set forth for abatement. 
(b) When a citation or order of abatement is not contested or if the order is appealed and the person cited does not prevail, failure to abate the violation within the time allowed or pay the fine that is imposed, if one was, shall constitute a violation and a failure to comply with the citation or order of abatement. 
(c) Failure to timely comply with an order of abatement or pay a fine that is imposed is unprofessional conduct and may result in disciplinary action being taken by the board. 
NOTE

Authority cited: Sections 125.9, 1000-4(b) and 1000-10, Business and Professions Code; and Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii. Reference: Sections 1000-4(b) and 1000-10, Business and Professions Code; and Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii. 
HISTORY

1. New section filed 9-25-2000; operative 10-25-2000 (Register 2000, No. 39).
2. Change without regulatory effect amending subsection (a) filed 10-5-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 40).
3. Amendment of subsections (b) and (c) and Note filed 7-2-2008; operative 8-1-2008 (Register 2008, No. 27).
§390.6. Notification to Other Boards and Agencies.
Note     •     History

The issuance and disposition of a citation shall be reported to other chiropractic boards and other regulatory agencies. A licensee's compliance with an order of abatement or payment of a fine based on the finding of a violation may only be disclosed to the public as satisfactory resolution of the matter.
NOTE

Authority cited: Sections 125.9, 1000-4(b) and 1000-10, Business and Professions Code; and Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii. Reference: Sections 1000-4(b) and 1000-10, Business and Professions Code; and Chiropractic Initiative Act of California, Stats. 1923, p. 1xxxviii.
HISTORY

1. New section filed 9-25-2000; operative 10-25-2000 (Register 2000, No. 39).
2. Amendment of section and Note filed 7-2-2008; operative 8-1-2008 (Register 2008, No. 27).
Division 5. Board for Professional Engineers and Land Surveyors

(Originally Printed 12-5-46)
Article 1. General Provisions
§400. Introduction.
Note     •     History

These regulations are adopted by the Board in order to implement and make specific the Professional Engineers Act and the Professional Land Surveyors' Act, Business and Professions Code Sections 6700, et seq., and 8700, et seq., respectively.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code. Reference: Sections 6700 et seq. and 8706 et seq., Business and Professions Code.
HISTORY

1. Repealer of Chapter 5 (Sections 400 through 440) and new Chapter 5 (Sections 400 through 464) filed 4-18-62; effective thirtieth day thereafter (Register 62, No. 8). For prior history of Chapter 5, see Registers 7, 9, 13 Nos. 3 and 6, 18 No. 3, 19 No. 1, 26 No. 1, 28 No. 7, 55 No. 18, and 56 No. 22.
2. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Amendment of Chapter heading only filed 6-26-86; designated effective 7-1-86 (Register 86, No. 26).
4. Amendment filed 6-13-89; operative 7-13-89 (Register 89, No. 25).
5. Change without regulatory effect amending division heading filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
6. Change without regulatory effect amending section filed 2-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 8).
§401. Declaratory Decisions.
Note     •     History

No decision or opinion issued by or on behalf of the Board for Professional Engineers, Land Surveyors, and Geologists shall be considered a declaratory decision pursuant to Government Code sections 11465.10 through 11465.70 unless the decision or opinion specifically states that it is a declaratory decision issued pursuant to Government Code sections 11465.10 through 11465.70.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code; and Sections 11400.20 and 11465.70, Government Code. Reference: Section 6710, Business and Professions Code; and Sections 11400.20 and 11465.10-11465.70, Government Code.
HISTORY

1. Repealer and new section heading and new section filed 3-9-98; operative 4-8-98 (Register 98, No. 11). For prior history, see Register 83, No. 33.
2. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
3. Change without regulatory effect amending section filed 2-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 8).
§402. Tenses, Gender and Number. [Repealed]
History

HISTORY

1. Repealer filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
§403. Location of Offices.
Note     •     History

The principal office of the Board is 2535 Capitol Oaks Drive, Suite 300, Sacramento 95833-2944. All correspondence relating to the activities of the Board, including applications, renewals, and remittances, shall be directed to the Board's office.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code. Reference: Section 6710, Business and Professions Code.
HISTORY

1. Amendment filed 1-16-69; effective thirtieth day thereafter (Register 69, No. 3). For prior history, see Register 66, No. 3.
2. Amendment filed 1-19-72; effective thirtieth day thereafter (Register 72, No. 4).
3. Amendment filed 5-18-76; effective thirtieth day thereafter (Register 76, No. 21).
4. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
5. Amendment filed 6-13-89; operative 7-13-89 (Register 89, No. 25).
6. Change without regulatory effect amending section filed 9-21-92; operative 10-21-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 39).
7. Editorial correction implementing change without regulatory effect amending section filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 21).
§404. Definitions.
Note     •     History

For the purpose of the rules and regulations contained in this chapter, the following terms are defined. No definition contained herein authorizes the practice of professional engineering as defined in the Professional Engineers Act.
(a) “ABET” means ABET, Inc., formerly known as the Accreditation Board for Engineering and Technology. 
(b) “Agricultural engineering” is that branch of professional engineering which requires such education and experience as is necessary to understand and apply engineering principles to the design, construction, and use of specialized equipment, machines structures and materials relating to the agricultural industry and economy. It requires knowledge of the engineering sciences relating to physical properties and biological variables of foods and fibers; atmospheric phenomena as they are related to agricultural operations; soil dynamics as related to traction, tillage and plant-soil-water relationships; and human factors relative to safe design and use of agricultural machines. The safe and proper application and use of agricultural chemicals and their effect on the environment are also concerns of the agricultural engineers. The above definition of agricultural engineering shall not be construed to permit the practice of civil, electrical or mechanical engineering, nor professional forestry.
(c) “Approved Cooperative Work-Study Engineering Curriculum” refers to any curriculum under an ABET accredited cooperative work-study engineering program. 
(d) “Approved Cooperative Work-Study Land Surveying Curriculum” refers to any curriculum under an ABET accredited cooperative work-study surveying program. 
(e) “Approved Engineering Curriculum” refers to any curriculum under an ABET accredited engineering program leading to a baccalaureate degree in engineering. 
(f) “Approved Engineering Technology Curriculum” refers to any curriculum under an ABET accredited engineering program leading to a four-year degree or a baccalaureate degree in technology. 
(g) “Approved Land Surveying Curriculum” refers to any curriculum under an ABET accredited program leading to a baccalaureate degree. 
(h) “Approved Post-Graduate Engineering Curriculum” refers to any curriculum under an ABET accredited engineering program leading to a master's degree in engineering or to a post-graduate degree earned from an engineering program where the baccalaureate degree program is accredited by ABET.
(i) “Board” means the Board for Professional Engineers, Land Surveyors, and Geologists.
(j) “Chemical engineering” is that branch of professional engineering which embraces studies or activities relating to the development and application of processes in which chemical or physical changes of materials are involved. These processes are usually resolved into a coordinated series of unit physical operations and unit chemical processes. It is concerned with the research, design, production, operational, organizational, and economic aspects of the above. The above definition of chemical engineering shall not be construed to permit the practice of civil, electrical or mechanical engineering.
(k) “Civil engineer” refers to a person who holds a valid license in the branch of civil engineering, as defined in Section 6702 of the Code.
(l) “Civil engineering” is that branch of professional engineering as defined in Section 6731 of the Code.
(m) “Code” means the Business and Professions Code.
(n) “Consulting engineer” refers to any professional engineer who holds a valid license under the provisions of the code, or a person who possesses a valid authorization issued pursuant to Section 6732.2 of the Code, or a person who holds a valid exemption from provisions of the chapter as provided for in Sections 6704 and 6732.1 of the Code.
(o) “Control system engineering” is that branch of professional engineering which requires such education and experience as is necessary to understand the science of instrumentation and automatic control of dynamic processes; and requires the ability to apply this knowledge to the planning, development, operation, and evaluation of systems of control so as to insure the safety and practical operability of such processes. The above definition of control system engineering shall not be construed to permit the practice of civil, electrical, or mechanical engineering.
(p) “Corrosion engineering” is that branch of professional engineering which requires such education and experience as is necessary to understand the environmental corrosion behavior of materials; and requires the ability to apply this knowledge by recommending procedures for control, protection and cost effectiveness, resulting from the investigation of corrosion causes or theoretical reactions. The above definition of corrosion engineering shall not be construed to permit the practice of civil, electrical, or mechanical engineering.
(q) “Electrical engineer” refers to a person who holds a valid license in the branch of electrical engineering, as defined in Section 6702.1 of the Code.
(r) “Electrical engineering” is that branch of professional engineering as defined in Section 6731.5 of the Code.
(s) “Engineer-in-training” refers to a person who has been granted a certificate as an “engineer-in-training” in accordance with Section 6756 of the Code.
(t) “Fire protection engineering” is that branch of professional engineering which requires such education and experience as is necessary to understand the engineering problems relating to the safeguarding of life and property from fire and fire-related hazards; and requires the ability to apply this knowledge to the identification, evaluation, correction, or prevention of present or potential fire and fire related panic hazards in buildings, groups of buildings, or communities, and to recommend the arrangement and use of fire resistant building materials and fire detection and extinguishing systems, devices, and apparatus in order to protect life and property. The above definition of fire protection engineering shall not be construed to permit the practice of civil, electrical, or mechanical engineering.
(u) For the sole purpose of investigating complaints and making findings thereon under Sections 6775 and 8780 of the Code, “incompetence” as used in Sections 6775 and 8780 of the Code is defined as the lack of knowledge or ability in discharging professional obligations as a professional engineer or land surveyor.
(v) “Industrial engineering” is that branch of professional engineering which requires such education and experience as is necessary to investigate, to design, and to evaluate systems of persons, materials and facilities for the purpose of economical and efficient production, use, and distribution. It requires the application of specialized engineering knowledge of the mathematical and physical sciences, together with the principles and methods of engineering analysis and design to specify, predict, and to evaluate the results to be obtained from such systems. The above definition of industrial engineering shall not be construed to permit the practice of civil, electrical, or mechanical engineering.
(w) “Land surveying” is that practice defined in Section 8726 of the Code.
(x) “Land surveyor” refers to a person who holds a valid license as a land surveyor, as defined in Section 8701 of the Code.
(y) “Land surveyor-in-training” refers to a person who has been granted a certificate as a “land surveyor-in-training” in accordance with Section 8747(a) of the Code.
(z) “Manufacturing engineering” is that branch of professional engineering which requires such education and experience as is necessary to understand and apply engineering procedures in manufacturing processes and methods of production of industrial commodities and products; and requires the ability to plan the practices of manufacturing, to research and develop the tools, processes, machines, and equipment, and to integrate the facilities and systems for producing quality products with optimal expenditure. The above definition of manufacturing engineering shall not be construed to permit the practice of civil, electrical, or mechanical engineering.
(aa) “Mechanical engineer” refers to a person who holds a valid license in the branch of mechanical engineering, as defined in Section 6702.2 of the Code.
(bb) “Mechanical engineering” is that branch of professional engineering as defined in Section 6731.6 of the Code.
(cc) “Metallurgical engineering” is that branch of professional engineering, which requires such education and experience as is necessary to seek, understand and apply the principles of the properties and behavior of metals in solving engineering problems dealing with the research, development and application of metals and alloys; and the manufacturing practices of extracting, refining and processing of metals. The above definition of metallurgical engineering shall not be construed to permit the practice of civil, electrical, or mechanical engineering.
(dd) For the sole purpose of investigating complaints and making findings thereon under Sections 6775 and 8780 of the Code, “negligence” as used in Sections 6775 and 8780 of the Code is defined as the failure of a licensee, in the practice of professional engineering or land surveying, to use the care ordinarily exercised in like cases by duly licensed professional engineers and land surveyors in good standing.
(ee) “Non-Approved Engineering Curriculum” refres to any engineering program that has not been accredited by ABET.
(ff) “Non-Approved Land Surveying Curriculum” refers to any land surveying program that has not been accredited by ABET.
(gg) “Nuclear engineering” is that branch of professional engineering which requires such education and experience as is necessary to apply the principles of nuclear physics to the engineering utilization of nuclear phenomena for the benefit of mankind; it is also concerned with the protection of the public from the potential hazards of radiation and radioactive materials. Nuclear engineering is primarily concerned with interaction of radiation and nuclear particles with matter. Nuclear engineering requires the application of specialized knowledge of the mathematical and physical sciences, together with the principles and methods of engineering design and nuclear analysis to specify, predict and evaluate the behavior of systems involving nuclear reactions, and to ensure the safe, efficient operation of these systems, their nuclear products and by-products. Nuclear engineering encompasses, but is not limited to, the planning and deign of the specialized equipment and process systems of nuclear reactor facilities; and the protection of the public from any hazardous radiation produced in the entire nuclear reaction process. These activities include all aspects of the manufacture, transportation and use of radioactive materials. The above definition of nuclear engineering shall not be construed to permit the practice of civil, electrical, or mechanical engineering.
(hh) “Petroleum engineering” is that branch of professional engineering which embraces studies or activities relating to the exploration, exploitation, location, and recovery of natural fluid hydrocarbons. It is concerned with research, design, production, and operation of devices, and the economic aspects of the above. The above definition of petroleum engineering shall not be construed to permit the practice of civil, electrical, or mechanical engineering.
(ii) “Professional engineer” refers to a person engaged in the practice of professional engineering as defined in Section 6701 of the Code.
(jj) “Professional engineering” within the meaning of this chapter comprises the following branches: agricultural engineering, chemical engineering, civil engineering, control systems engineering, corrosion engineering, electrical engineering, fire protection engineering, industrial engineering, manufacturing engineering, mechanical engineering, metallurgical engineering, nuclear engineering, petroleum engineering, quality engineering, safety engineering, and traffic engineering.
(kk) “Quality engineering” is that branch of professional engineering which requires such education and experience as is necessary to understand and apply the principles of product and service quality evaluation and control in the planning, development and operation of quality control systems, and the application and analysis of testing and inspection procedures; and requires the ability to apply metrology and statistical methods to diagnose and correct improper quality control practices to assure product and service reliability and conformity to prescribed standards. The above definition of quality engineering shall not be construed to permit the practice of civil, electrical, or mechanical engineering.
(ll) “Safety engineering” is that branch of professional engineering which requires such education and experience as is necessary to understand the engineering principles essential to the identification, elimination and control of hazards to people and property; and requires the ability to apply this knowledge to the development, analysis, production, construction, testing, and utilization of systems, products, procedures and standards in order to eliminate or optimally control hazards. The above definition of safety engineering shall not be construed to permit the practice of civil, electrical, or mechanical engineering.
(mm) “Soil engineer” refers to a civil engineer who holds a valid authorization to use the title “soil engineer,” as provided in Section 6736.1 of the Code.
(nn) “Soil engineering,” as it relates to the authorization to use the title “soil engineer,” is the investigation and engineering evaluation of earth materials including soil, rock, groundwater and man-made materials and their interaction with earth retention systems, structural foundations and other civil engineering works. The practice involves application of the principles of soil mechanics and the earth sciences, and requires a knowledge of engineering laws, formulas, construction techniques and performance evaluation of civil engineering works influenced by earth materials.
The terms “geotechnical engineer” and “soils engineer” are deemed to be synonymous with the term “soil engineer.”
(oo) “Structural engineer” refers to a civil engineer who holds a valid authorization to use the title “structural engineer,” as provided in Section 6736 of the Code.
(pp) “Structural engineering” for the purposes of structural authority is the application of specialized civil engineering knowledge and experience to the design and analysis of buildings (or other structures) which are constructed or rehabilitated to resist forces induced by vertical and horizontal loads of a static and dynamic nature. This specialized knowledge includes familiarity with scientific and mathematical principles, experimental research data and practical construction methods and processes. The design and analysis shall include consideration of stability, deflection, stiffness and other structural phenomena that affect the behavior of the building (or other structure).
(qq) “Traffic engineering” is that branch of professional engineering which requires such education and experience as is necessary to understand the science of measuring traffic and travel and the human factors relating to traffic generation and flow; and requires the ability to apply this knowledge to planning, operating, and evaluating streets and highways and their networks, abutting lands and interrelationships with other modes of travel, to provide safe and efficient movement of people and goods. The above definition of traffic engineering shall not be construed to permit the practice of civil, electrical, or mechanical engineering.
NOTE

Authority cited: Sections 6716, 6717, 6751.5 and 8710, Business and Professions Code. Reference: Sections 6701, 6702, 6702.1, 6702.2, 6704, 6706.3, 6710, 6730, 6731, 6731.5, 6731.6, 6732, 6732.1, 6732.2, 6732.3, 6734, 6734.1, 6734.2, 6736, 6736.1, 6751, 6751.2, 6751.5, 6753, 6756, 6763, 6775, 8701, 8726, 8741, 8742, 8747 and 8780, Business and Professions Code.
HISTORY

1. Editorial correction of subsection (z) (Register 75, No. 50). For prior history, see Register 75, No. 10.
2. New subsection (g-g) filed 2-10-76; effective thirtieth day thereafter (Register 76, No. 7).
3. Amendment of subsection (o) filed 1-12-77; effective thirtieth day thereafter (Register 77, No. 3).
4. Amendment of subsection (e) and repealer of subsection (g-g) filed 7-3-80; effective thirtieth day thereafter (Register 80, No. 27).
5. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
6. Amendment filed 6-26-86; designated effective 7-1-86 (Register 86, No. 26).
7. Amendment of subsection (ff) filed 9-25-89; operative 10-25-89 (Register 89, No. 40).
8. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
9. Amendment of subsection (k), new subsections (n) and (w), subsection relettering, amendment of newly designated subsection (u) and amendment of Note filed 3-13-2003; operative 4-12-2003 (Register 2003, No. 11).
10. Change without regulatory effect amending subsection (b) filed 2-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 8).
11. New subsections (a), (c)-(h) and (ee)-(ff), subsection relettering and amendment of Note filed 4-11-2011; operative 5-11-2011 (Register 2011, No. 15).
§404.1. Responsible Charge -- Professional Engineering.
Note     •     History

(a) As used in the Professional Engineers Act, the term “responsible charge” directly relates to the extent of control a professional engineer is required to maintain while exercising independent control and direction of professional engineering services or creative work and to the engineering decisions which can be made only by a professional engineer.
(1) Extent of Control. The extent of control necessary to be in responsible charge shall be such that the engineer:
(A) Makes or reviews and approves the engineering decisions defined and described in subdivision (a)(2) below.
(B) In making or reviewing and approving the engineering decisions, determines the applicability of design criteria and technical recommendations provided by others before incorporating such criteria or recommendations.
(2) Engineering Decisions. The term “responsible charge” relates to engineering decisions within the purview of the Professional Engineers Act.
Engineering decisions which must be made by and are the responsibility of the engineer in responsible charge are those decisions concerning permanent or temporary projects which could create a hazard to life, health, property, or public welfare, and may include, but are not limited to:
(A) The selection of engineering alternatives to be investigated and the comparison of alternatives for the project.
(B) The selection or development of design standards or methods, and materials to be used.
(C) The decisions related to the preparation of engineering plans, specifications, calculations, reports, and other documents for the engineered works.
(D) The selection or development of techniques or methods of testing to be used in evaluating materials or completed projects, either new or existing.
(E) The review and evaluation of manufacturing, fabrication, or construction methods or controls to be used and the evaluation of test results, materials, and workmanship insofar as they affect the character and integrity of the completed project.
(F) The development and control of operating and maintenance procedures.
(3) Reviewing and Approving Engineering Decisions. In making or reviewing and approving engineering decisions, the engineer shall be physically present or shall review and approve through the use of communication devices the engineering decisions prior to their implementation.
(b) Responsible Charge Criteria. In order to evaluate whether an engineer is in responsible charge, the following must be considered: The professional engineer who signs engineering documents must be capable of answering questions asked by individuals who are licensed by the Board in the appropriate branch of professional engineering relevant to the project and who are fully competent and proficient by education and experience in the field or fields of professional engineering relevant to the project. These questions would be relevant to the engineering decisions made during the individual's participation in the project, and in sufficient detail to leave little question as to the engineer's technical knowledge of the engineering performed. It is not necessary to defend decisions as in an adversarial situation, but only to demonstrate that the individual in responsible charge made, or reviewed and approved, them and possessed sufficient knowledge of the project to make, or review and approve, them.
Examples of questions to be answered by the engineer could relate to criteria for design, methods of analysis, methods of manufacture and construction, selection of materials and systems, economics of alternate solutions, and environmental considerations. The individual should be able to clearly express the extent of control and how it is exercised and to demonstrate that the engineer is answerable within said extent of control.
(c) Successor Licensee. In situations when the professional engineer in responsible charge of an engineering project is unavailable to complete the project or when the project is a site specific adaptation of a previous design, a professional engineer (hereinafter referred to as the “successor licensee”) may assume responsible charge of the project as long as the successor licensee exercises the requisite extent of control and assumes responsibility for the engineering decisions as required by subdivision (a) and meets the criteria described in subdivision (b), as well as meeting the requirements of the Professional Engineers Act and Sections 411 and 415. Except as provided in Section 6735, 6735.3, and 6735.4 of the Code, the original licensee is not relieved of any responsibility arising from the engineering services of which he or she was in responsible charge.
(d) Portions of Projects. Nothing in this section prohibits a professional engineer from providing services for portions of or to add to or to modify an engineering project engineered under the responsible charge of another licensee as long as the professional engineer exercises the requisite extent of control and assumes responsibility for the engineering decisions as required by subdivision (a) and meets the criteria described in subdivision (b), as well as meeting the requirements of the Professional Engineers Act and Sections 411 and 415. The professional engineer need only be in responsible charge of the portions, additions, or modifications or the portion of the project affected by the addition or modification and not of the entire project. Except as provided in Sections 6735(b), 6735.3(b), and 6735.4(b) of the Code, the original licensee is not relieved of any responsibility arising from the engineering services of which he or she was in responsible charge.
(e) The term “responsible charge” does not refer to any of the following:
(1) the concept of financial liability;
(2) management control in a hierarchy of professional engineers except as each of the individuals in the hierarchy exercises independent engineering judgment and thus responsible charge;
(3) such administrative and management functions as accounting, labor relations, personnel performance standards, marketing of services, or goal setting. While an engineer may also have such duties in this position, it should not enhance or decrease one's status of being in responsible charge of the engineering.
NOTE

Authority cited: Section 6716, Business and Professions Code. Reference: Sections 6701, 6703, 6704.1, 6705, 6730.2, 6734, 6734.1, 6734.2, 6735, 6735.3, 6735.4, 6736.1, 6737.1, 6738, 6749, 6755, 6775 and 6788, Business and Professions Code.
HISTORY

1. New section filed 2-4-77; effective thirtieth day thereafter (Register 77, No. 6).
2. Amendment filed 4-12-78; effective thirtieth day thereafter (Register 78, No. 15).
3. Amendment of section heading filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
4. Amendment of section heading, section and Note filed 8-29-2005; operative 9-28-2005 (Register 2005, No. 35).
§404.2. Responsible Charge -- Professional Land Surveying.
Note     •     History

(a) The term “responsible charge” directly relates to the extent of control a licensed land surveyor or civil engineer legally authorized to practice land surveying (hereinafter referred to as “legally authorized civil engineer”) is required to maintain while exercising independent control and direction of land surveying work or services and the land surveying decisions which can be made only by a licensed land surveyor or legally authorized civil engineer.
(1) Extent of Control. The extent of control necessary to be in responsible charge shall be such that the land surveyor or legally authorized civil engineer:
(A) Makes or review and approves the land surveying decisions defined and described in subdivision (a)(2) below.
(B) In making or reviewing and approving the land surveying decisions, determines the applicability of survey criteria and technical recommendations provided by others before incorporating such criteria or recommendations.
(2) Land Surveying Decisions. The term “responsible charge” relates to land surveying decisions within the purview of the Professional Land Surveyors' Act.
Land surveying decisions which must be made by and are the responsibility of the land surveyor or legally authorized civil engineer in responsible charge are those decisions concerning permanent or temporary work which could create a hazard to life, health, property, or public welfare, and may include, but are not limited to:
(A) Selecting the methods, procedures, and tolerances of field work. 
(B) Determining calculation and adjustment methods.
(C) Determining and specifying the information to be shown on maps or documents furnished in connection with land surveying services, including the format of the information and the format of the maps or documents.
(D) The decisions related to the preparation of maps, plats, land surveying reports, descriptions, and other land surveying documents furnished in connection with the land surveying services.
(E) Reviewing the sufficiency and accuracy of the work product. 
(3) Reviewing and Approving Land Surveying Decisions. In making or reviewing and approving land surveying decisions, the land surveyor or legally authorized civil engineer shall be physically present or shall review and approve through the use of communication devices the land surveying decisions prior to their implementation.
(b) Responsible Charge Criteria. In order to evaluate whether a person authorized to practice land surveying is in responsible charge, the following must be considered: The land surveyor or legally authorized civil engineer who signs surveying documents must be capable of answering questions asked by licensees of the Board who are fully competent and proficient by education and experience in the field or fields of professional land surveying relevant to the project. These questions would be relevant to the decisions made during the individual's participation in the project, and in sufficient detail to leave little question as to the land surveyor's or legally authorized civil engineer's technical knowledge of the work performed. It is not necessary to defend decisions as in an adversarial situation, but only to demonstrate that the individual in responsible charge made, or reviewed and approved, them and possessed sufficient knowledge of the project to make, or review and approve, them.
Examples of questions to be answered by the land surveyor or legally authorized civil engineer could relate to criteria for measurement, surveying methods, analysis, and conclusions made including, but not limited to, the retracement of government surveys, interpretation and construction of deed descriptions, conflicts between construction drawings and actual conditions, determination of the proper control datum and epoch, application of proportion methods, and analysis of evidence related to written and unwritten property rights. The individual shall be able to clearly express the extent of control and how it is exercised and to demonstrate that the land surveyor or legally authorized civil engineer is answerable within said extent of control.
(c) Successor Licensee. In situations when the professional land surveyor or legally authorized civil engineer in responsible charge of a land surveying project is unavailable to complete the project, a professional land surveyor or legally authorized civil engineer (hereinafter referred to as the “successor licensee”) may assume responsible charge of the project as long as the successor licensee exercises the extent of control and assumes responsibility for the surveying decisions as required by subdivision (a) and meets the criteria described in subdivision (b), as well as meeting the requirements of the Professional Land Surveyors' Act and Sections 411 and 415. Except as provided in Section 8761.2 of the Code, the original licensee is not relieved of any responsibility arising from the land surveying services of which he or she was in responsible charge.
(d) Portions of Projects. Nothing in this section prohibits a professional land surveyor or legally authorized civil engineer from providing services for portions of or to add to or to modify a land surveying project performed under the responsible charge of another licensee as long as the professional land surveyor or legally authorized civil engineer exercises the requisite extent of control and assumes responsibility for the land surveying decisions as required by subdivision (a) and meets the criteria described in subdivision (b), as well as meeting the requirements of the Professional Land Surveyors' Act and Sections 411 and 415. The professional land surveyor or legally authorized civil engineer need only be in responsible charge of the portions, additions, or modifications or the portion of the project affected by the addition or modification and not of the entire project. Except as provided in Section 8761.2 of the Code, the original licensee is not relieved of any responsibility arising from the land surveying services of which he or she was in responsible charge.
(e) The term “responsible charge” does not refer to any of the following:
(1) the concept of financial liability;
(2) management control in a hierarchy of land surveyors or legally authorized civil engineers except as each of the individuals in the hierarchy exercises independent land surveying judgment and thus responsible charge;
(3) such administrative and management functions as accounting, labor relations, personnel performance standards, marketing of services, or goal setting. While a land surveyor or legally authorized civil engineer may also have such duties in this position, it should not enhance or decrease one's status of being in responsible charge of the work.
NOTE

Authority cited: Section 8710, Business and Professions Code. Reference: Sections 8703, 8704, 8705, 8726, 8729, 8741, 8759, 8761, 8761.2, 8775.1 and 8780, Business and Professions Code.
HISTORY

1. New section filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
2. Change without regulatory effect amending subsection (b) filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
3. Amendment of section heading, section and Note filed 8-29-2005; operative 9-28-2005 (Register 2005, No. 35).
§405. Delegation of Certain Functions.
Note     •     History

(a) Whenever it is stated in these rules that the “Board” may or shall exercise or discharge any power, duty, purpose, function, or jurisdiction, the Board specifically has reserved the same for its own, exclusive action.
(b) Whenever it is stated the “executive officer” may or shall exercise or discharge any power, duty, purpose, function, or jurisdiction, the executive officer of the Board has the authority to act thereon.
(c) Any party in interest may appeal to the Board for review of the actions and decisions of the executive officer.
(d) Nothing herein prohibits the executive officer from redelegating to his/her subordinates as provided in Section 18572 of the Government Code.
(e) The power and discretion conferred by law upon the Board to receive and file accusations; issue notices of hearing, statements to respondent, and statements of issues; receive and file notices of defense; determine the time and place of hearings under Section 11508 of the Government Code; issue subpoenas and subpoenas duces tecum, set and calendar cases for hearing and perform other functions necessary to the businesslike dispatch of the business of the Board in connection with proceedings under the provisions of Sections 11400 through 11529 of the Government Code, prior to the hearing of such proceedings; and the certification and delivery or mailing of copies of decisions under Section 11518 of said Code are hereby delegated to and conferred upon the executive officer, or to his/her designee.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code. Reference: Sections 6714 and 8707, Business and Professions Code; and Sections 11400-11529 and 18572, Government Code.
HISTORY

1. Amendment filed 3-27-64; effective thirtieth day thereafter (Register 64, No. 7).
2. Amendment of subsections (a), (b) and (c) filed 1-19-72; effective thirtieth day thereafter (Register 72, No. 4).
3. Amendment of subsections (c) and (e) filed 7-27-73; effective thirtieth day thereafter (Register 73, No. 30).
4. Amendment of subsection (c) filed 8-29-80; effective thirtieth day thereafter (Register 80, No. 35).
5. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
6. Amendment filed 12-14-87; operative 12-14-87 (Register 87, No. 52).
7. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§406. Correspondence. [Repealed]
History

HISTORY

1. Repealer filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
§407. Fees.
Note     •     History

(a) All fees required by provisions of the code as implemented by the Board shall be transmitted by money order, bank draft, cash or check, payable to the Department of Consumer Affairs, at Sacramento.
(b) The following is the prescribed application fee for:

(1) Authority to use the title “structural engineer” 	 $275

(2) Authority to use the title “geotechnical
engineer” 	 $275

(3) Licensure as a professional engineer 	 $275

(4) Licensure as a professional land surveyor 	 $275

(5) Certification as an engineer-in-training or as a 
land surveyor-in-training 	  $100
(c) The two-year biennial renewal fee for a license that expires on or after July 1, 2003, shall be $150. The fee for renewal of a license that expires on or after October 1, 2005 shall be $125.
(d) The fee for an examination appeal filed pursuant to rule 444 shall be $134.00.
(e) The fee for each retired license shall be $87.50; no renewal fee or other fee shall be charged for the retired license. (As used in this subdivision, “license” includes certificate of registration or license as a professional engineer, licensure as a professional land surveyor, and certificates of authority to use the titles “structural engineer,” “geotechnical engineer,” “soil engineer,” “soils engineer,” or “consulting engineer.”)
(f) Fees required under provisions of this rule transmitted through the United States mail shall be deemed filed on the date shown by the post office cancellation mark stamped on the envelope containing it, or on the date mailed if satisfactory proof is made that mailing occurred on an earlier date.
(g) Renewal applications filed with the Board more than thirty (30) days after 12 midnight on the expiration date pursuant to the Professional Land Surveyors' Act and more than sixty (60) days after 12 midnight on the expiration date pursuant to the Professional Engineers Act and not accompanied by the prescribed delinquent penalty fee equal to 50 percent of the renewal fee shall be returned by the executive officer with a statement of the reason therefor.
(h) Refund of fees submitted to the Board shall be made only as follows:
(1) Any application fees or penalties imposed and collected illegally, by mistake, inadvertence, or error shall be refunded in full.
(2) An applicant for licensure as a professional engineer, for licensure as a professional land surveyor, for permission to use the title “structural engineer” or “geotechnical engineer”, for certification as an engineer-in-training or for certification as a land surveyor-in-training found not eligible for admission to the examination requested is entitled to a refund of one-half of the application fee. Upon request, one-half of the application fee shall be refunded to the estate of an applicant who dies prior to taking an examination.
NOTE

Authority cited: Sections 6716, 6799, 8710 and 8805, Business and Professions Code. Reference: Sections 158, 6706.3, 6710, 6732, 6795, 6799, 8801 and 8805, Business and Professions Code.
HISTORY

1. Amendment of subsection (f) filed 5-18-76; effective thirtieth day thereafter (Register 76, No. 21). For prior history, see Register 76, No. 7.
2. Amendment filed 2-9-79; designated effective 4-1-79 (Register 79, No. 6).
3. Amendment of subsection (b) filed 3-12-81; effective thirtieth day thereafter (Register 81, No. 11).
4. Amendment filed 1-6-83; effective thirtieth day thereafter (Register 83, No. 2).
5. Amendment of subsections (b) and (c) filed 7-11-84; designated effective 8-1-84 pursuant to Government Code section 11346.2(d) (Register 84, No. 28).
6. Amendment filed 5-21-86; effective upon filing (Register 86, No. 21).
7. New subsection (b)(2); fee amount increase subsections (b)(1), (b)(3), (b)(4), (c); $25 limit on late penalty deleted at subsection (e); authority and reference changes filed 6-12-90; operative 7-1-90 (Register 90, No. 32).
8. New subsection (d), subsection renumbering and amendment of current subsection (f)(2) filed 9-10-91; operative 9-10-91 (Register 92, No. 2).
9. Editorial correction of printing error in subsection (c) (Register 92, No. 2).
10. Amendment of subsection (d) and repealer of subsections (d)(1)-(5) filed 11-16-95; operative 12-16-95 (Register 95, No. 46).
11. Amendment of subsection (d) filed 8-25-98; operative 9-24-98 (Register 98, No. 35).
12. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
13. New subsection (e) and subsection relettering filed 3-15-2001; operative 4-14-2001 (Register 2001, No. 11).
14. Amendment of subsections (a)-(c) and amendment of Note filed 6-2-2003; operative 7-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 23).
15. Amendment of subsection (c) filed 9-20-2005; operative 9-20-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 38).
§408. Meetings.
Note     •     History

(a) The board will meet at times and places within California designated by the board and shall hold at least two regular meetings each year.
(b) Special meetings of the board shall be called from time to time by the Board president when necessary. Special meetings shall also be called by the executive officer upon a written request signed by two board members.
(c) All meetings will be noticed in accordance with the requirements of the Bagley-Keene Open Meeting Act (Government Code Sections 11120 et seq).
NOTE

Authority cited: Section 6716, Business and Professions Code. Reference: Section 6716, Business and Professions Code.
HISTORY

1. Amendment filed 8-15-63; effective thirtieth day thereafter (Register 63, No. 13).
2. Amendment filed 1-16-69; effective thirtieth day thereafter (Register 69, No. 3).
3. Amendment filed 5-11-78; effective thirtieth day thereafter (Register 78, No. 19).
4. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
5. Amendment filed 6-13-89; operative 7-13-89 (Register 89, No. 25). 
§409. Committees. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 6716, 6754 and 8710, Business and Professions Code.
HISTORY

1. Amendment filed 1-16-69; effective thirtieth day thereafter (Register 69, No. 3, 1-18-69). For prior history, see Register 67, No. 29.
2. Amendment of subsection (a) filed 1-19-72; effective thirtieth day thereafter (Register 72, No. 4).
3. Amendment of subsection (a) filed 8-13-75; effective thirtieth day thereafter (Register 75, No. 33).
4. Repealer filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
§410. Certificates.
Note     •     History

(a) Certificates and licenses will be issued in the order in which the applicants qualify.
(b) A duplicate of a certificate issued in accordance with Section 6765 of the Professional Engineers Act or Section 8749 of the Professional Land Surveyors' Act shall be issued only to replace one lost, destroyed, or mutilated, upon a written request accompanied by a fee of $10 and an affidavit verifying the loss, destruction, or mutilation of the previous certificate. The affidavit of lost license must be submitted on a form provided by the Board.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code. Reference: Sections 119, 122, 6732.2, 6756, 6762, 6763, 6765, 6766, 6787, 6799, 8747, 8749, 8752, 8792 and 8805, Business and Professions Code; and Section 2015.5, Code of Civil Procedure.
HISTORY

1. Amendment filed 1-25-66; effective thirtieth day thereafter (Register 66, No. 3).
2. Amendment filed 7-19-67; effective thirtieth day thereafter (Register 67, No. 29).
3. Amendment of subsection (a) filed 1-19-72; effective thirtieth day thereafter (Register 72, No. 4).
4. Amendment filed 7-27-73; effective thirtieth day thereafter (Register 73, No. 30).
5. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
6. Amendment filed 6-13-89; operative 7-13-89 (Register 89, No. 25).
7. Change without regulatory effect amending subsection (b) and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§411. Seal and Signature.
Note     •     History

(a) The seal required by Section 6764 of the Code shall be not less than one and one-half (1 1/2) inches in diameter and shall contain the following information:
(1) Within the top border of seal: Either “Professional Engineer,” “Registered Professional Engineer,” or “Licensed Professional Engineer.”
(2) Within the bottom border of seal: “State of California.”
(3) In the center of seal:
(A) Licensee's name as it appears on the certificate issued by the Board or as abbreviated pursuant to subdivision (d);
(B) Number of certificate or authority;
(C) Branch or authority of engineering in which licensed.
The seal shall be of a design similar to those shown below and shall bear at minimum those elements specified above.

View Graphic
(b) The seal authorized by Section 8750 of the Code shall be not less than one and one-half (1 1/2) inches in diameter and shall contain the following information:
(1) Within the top border of the seal: Either “Professional Land Surveyor” or “Licensed Land Surveyor.”
(2) Within the bottom border of the seal: “State of California.”
(3) In the center of the seal:
(A) Licensee's name as it appears on the certificate issued by the Board or as abbreviated pursuant to subdivision (d); and,
(B) Number of certificate.
The seal shall be of a design similar to those shown below and shall bear at minimum those elements specified above.

View Graphic
(c) The seal may be obtained by the licensee from any source.
(d) The seal may contain an abbreviated form of the licensee's given name or a combination of initials representing the licensee's given name provided the surname listed with the Board appears on the seal and in the signature.
(e) The seal shall be capable of leaving a permanent ink representation, an opaque and permanent impression, or an electronically-generated representation on the documents. The signature may be applied to the documents electronically.
(f) Preprinting of blank forms with the seal or signature, the use of decals of the seal or signature, or the use of a rubber stamp of the signature is prohibited.
(g)(1) All professional engineering plans, specifications, reports, or documents (hereinafter referred to as “documents”) shall be signed and sealed in accordance with the requirements of the Professional Engineers Act and any other laws related to the practice of professional engineering and shall be signed and sealed in a manner such that all work can be clearly attributed to the licensee(s) in responsible charge of the work.
(2) All maps, plats, reports, descriptions, or other professional land surveying documents (hereinafter referred to as “documents”) shall be signed and sealed in accordance with the requirements of the Professional Land Surveyors' Act and any other laws related to the practice of professional land surveying and shall be signed and sealed in a manner such that all work can be clearly attributed to the licensee(s) in responsible charge of the work.
(3) When signing and sealing documents containing work done by or under the responsible charge of two or more licensees, the signature and seal of each licensee in responsible charge shall be placed on the documents with a notation describing the work done under each licensee's responsible charge.
(h) Each licensee shall include the date of signing and sealing immediately below or next to the signature and seal.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code. Reference: Sections 6732, 6735, 6735.3, 6735.4, 6764, 8750 and 8761, Business and Professions Code.
HISTORY

1. Amendment filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Amendment of section and Note filed 6-13-89; operative 3-9-89 pursuant to Government Code section 11346.2(d) (Register 89, No. 24).
3. Editorial correction restoring version of section as filed 6-13-89 and adding History Note 2 (Register 95, No. 8).
4. Change without regulatory effect amending section and Note filed 2-21-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 8).
5. Amendment of section heading, repealer and new section, and amendment of Note filed 10-30-2000; operative 11-29-2000 (Register 2000, No. 44).
6. Amendment of subsection (e) filed 1-31-2002; operative 1-31-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 5).
7. Change without regulatory effect amending subsection (a)(3), repealing subsection (a)(3)(C), relettering subsections, amending subsections (b)(3)-(b)(3)(B) and repealing subsection (b)(3)(C) filed 7-9-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 28).
§412. Address Change.
Note     •     History

Each person who is an applicant for, or a holder of, a certificate or license issued by the Board under provisions of the Professional Engineers Act or the Professional Land Surveyors' Act shall file his/her address with the Board office. Within thirty (30) days after changing addresses, he/she shall notify the Board office of such change.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code. Reference: Sections 136, 6715 and 8712, Business and Professions Code; and Section 11505, Government Code.
HISTORY

1. Refiled 1-25-66 (Register 66, No. 3).
2. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§413. Approval of Engineering Disciplines. [Repealed]
Note     •     History

NOTE

Authority cited: Section 6716, Business and Professions Code. Reference: Sections 6700, 6700.1 and 6716, Business and Professions Code.
HISTORY

1. New section filed 1-19-72; designated effective 3-4-72 (Register 72, No. 4).
2. Amendment of subsection (b) filed 10-1-75; effective thirtieth day thereafter (Register 75, No. 40).
. 3 Amendment of subsections (a) and (b) filed 11-7-77; effective thirtieth day thereafter (Register 77, No. 46).
4. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
5. Repealer filed 6-13-89; operative 7-13-89 (Register 89, No. 25). 
§414. Practice and Title Protection. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 6700, 6701, 6716, 6700.1, 6716 and 6717, Business and Professions Code. Reference: Sections 6700, 6700.1, 6701, 6716 and 6717, Business and Professions Code.
HISTORY

1. New section filed 3-6-75; effective thirtieth day thereafter (Register 75, No. 10).
2. Amendment filed 2-10-76; effective thirtieth day thereafter (Register 76, No. 7).
3. Amendment of subsection (b) filed 7-3-80; effective thirtieth day thereafter (Register 80, No. 27).
4. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
5. Repealer filed 6-13-89; operative 7-13-89 (Register 89, No. 25). 
§415. Practice Within Area of Competence.
Note     •     History

A professional engineer or land surveyor licensed under the Code shall practice and perform engineering or land surveying work only in the field or fields in which he/she is by education and/or experience fully competent and proficient.
Nothing in this regulation shall be construed: (1) to prohibit a professional engineer from signing plans which include engineering work in areas other than that in which he/she is fully competent and proficient, if such work was performed by other engineers who were fully competent and proficient in such work; (2) to prohibit a professional engineer from performing engineering work or a land surveyor from performing land surveying work in areas which involve the application of new principles, techniques, ideas or technology; (3) to prohibit a professional engineer from supervising other engineers or a land surveyor from supervising other land surveyors who may respectively be performing engineering work or land surveying work in areas other than those in which the supervising professional engineer or supervising land surveyor is fully competent and proficient; and (4) to prohibit a professional engineer from signing plans which include engineering work, portions of which were designed or required by any governmental agency.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code. Reference: Sections 6706.3, 6710, 6732, 6775 and 8780, Business and Professions Code.
HISTORY

1. New section filed 3-6-75; effective thirtieth day thereafter (Register 74, No. 13).
2. Amendment filed 8-23-76; effective thirtieth day thereafter (Register 76, No. 35).
3. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
4. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§416. Substantial Relationship Criteria.
Note     •     History

For the purpose of denial, suspension, or revocation of the license of a professional engineer or a land surveyor pursuant to Division 1.5 (commencing with Section 475) of the Business and Professions Code, a crime or act shall be considered substantially related to the qualifications, functions, and duties of a professional engineer or land surveyor if, to a substantial degree, it evidences present or potential unfitness of a professional engineer or land surveyor to perform the functions authorized by his or her license in a manner consistent with the public health, safety, or welfare. Such crimes or acts shall include, but not be limited to, those involving the following:
(a) For professional engineers, any violations of the provisions of the Professional Engineers Act or aiding and abetting any person in such a violation;
(b) For land surveyors, any violations of the provisions of the Professional Land Surveyors' Act  or aiding and abetting any person in such a violation;
(c) A conviction of a crime arising from or in connection with the practice of professional engineering or land surveying.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code. Reference: Sections 480, 481, 490, 6706.3, 6710, 6732, 6775, 6779, 8780 and 8783, Business and Professions Code.
HISTORY

1. New section filed 5-29-75; effective thirtieth day thereafter (Register 75, No. 22).
2. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§417. Substantial Relationship Criteria: Land Surveyors. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 6714 and 8710, Business and Professions Code. Reference: Sections 480-482 and 490, Business and Professions Code.
HISTORY

1. New section filed 5-29-75; effective thirtieth day thereafter (Register 75, No. 22).
2. Repealer filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
§418. Criteria for Rehabilitation.
Note     •     History

(a) When considering the denial of an application for certification as an engineer-in-training or a land surveyor-in-training, or for licensure as a professional engineer, or for licensure as a professional land surveyor, or for authority to use the title “structural engineer,” or for authority to use the title “geotechnical engineer” under Section 480 of the Code, the Board will consider the following criteria in evaluating the rehabilitation of the applicant and his or her present eligibility for such licensure or authority:
(1) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(2) Evidence of any act(s) committed prior to or subsequent to the act(s) or crime(s) under consideration as grounds for denial which could also be considered as grounds for denial under Section 480 of the Code.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(5) Any evidence of rehabilitation submitted by the applicant.
(6) Total criminal record.
(7) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(b) When considering the suspension or revocation of the certification of an engineer-in-training or a land surveyor-in-training, or the license of a professional engineer or a professional land surveyor, or the authority to use the title “structural engineer,” or the authority to use the title “geotechnical engineer” under Section 490 of the Code, the Board will consider the following criteria in evaluating the rehabilitation of such person and his or her present eligibility to retain his or her license:
(1) The nature and severity of the act(s) or crime(s) under consideration as grounds for suspension or revocation.
(2) Evidence of any act(s) committed prior to or subsequent to the act(s) or crime(s) under consideration as grounds for suspension or revocation which could also be considered as grounds for suspension or revocation under Section 490 of the Code.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).
(4) The extent to which the licensee has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the license.
(5) Any evidence of rehabilitation submitted by the licensee.
(6) Total criminal record.
(7) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(c) When considering a petition for reinstatement of the certification of an engineer-in-training or a land surveyor-in-training, or the license of a professional engineer or a professional land surveyor, or the authority to use the title “structural engineer,” or the authority to use the title “geotechnical engineer,” the Board shall evaluate evidence of rehabilitation submitted by the petitioner, including but not limited to the following:
(1) Educational courses, including college-level courses, seminars, and continuing professional development courses, completed after the effective date of the Board's decision ordering revocation.
(2) Professional engineering or land surveying work done under the responsible charge of a licensee in good standing or under the direction of a person legally authorized to practice.
(3) Payment of restitution to the consumer(s) by the petitioner.
(4) Actual or potential harm to the public, client(s), employer(s), and/or employee(s) caused by the action(s) that led to the revocation or that could be caused by the reinstatement of the certificate, license, or authority.
(5) The criteria specified in subsection (b)(1) through (7), as applicable.
(6) Disciplinary history, other than criminal actions, after the revocation.
(7) Recognition by the petitioner of his or her own actions and/or behavior that led to the revocation.
(8) Correction of the petitioner's action and/or behavior that led to the revocation.
NOTE

Authority cited: Sections 482, 6716 and 8710, Business and Professions Code. Reference: Sections 480, 481, 482, 490, 6706.3, 6710, 6732, 6775, 6775.1, 6777, 6779, 8780, 8780.1, 8783 and 8784, Business and Professions Code; and Section 1203.4, Penal Code.
HISTORY

1. New section filed 5-29-75; effective thirtieth day thereafter (Register 75, No. 22).
2. New subsection (b)(7) filed 2-10-76; effective thirtieth day thereafter (Register 76, No. 7).
3. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
4. Change without regulatory effect amending subsection (a) filed 1-20-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 3).
5. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
6. Amendment of section and Note filed 7-26-2005; operative 8-25-2005 (Register 2005, No. 30).
§419. Disciplinary Orders.
Note     •     History

For violations of Business and Professions Code sections 6775 and/or 8780 which result in an order issued in accordance with Chapters 4.5 and 5 of Part 1 of Division 3 of Title 2 of the Government Code against a professional engineering and/or a professional land surveying license, the following provisions shall apply to disciplinary orders contained in decisions of the Board:
(a) The minimum disciplinary order shall be reproval. The maximum disciplinary order shall be revocation of the license.
(b) If warranted by extenuating and/or mitigating factors in the matter, the disciplinary order may be stayed by an express condition that the respondent comply with probationary conditions. The minimum time period in which the respondent shall have to comply with the conditions shall be two years. For purposes of this section, this time period shall be known as the “period of probation.”
(c) All decisions containing stayed disciplinary orders as described in subdivision (b) shall include the following probationary conditions:
(1) The respondent shall obey all laws and regulations related to the practices of professional engineering and professional land surveying.
(2) The respondent shall submit such special reports as the Board may require.
(3) The period of probation shall be tolled during the time the respondent is practicing exclusively outside the state of California. If, during the period of probation, the respondent practices exclusively outside the state of California, the respondent shall immediately notify the Board in writing.
(4) If the respondent violates the probationary conditions in any respect, the Board, after giving the respondent notice and the opportunity to be heard, may vacate the stay and reinstate the disciplinary order which was stayed. If, during the period of probation, an accusation or petition to vacate stay is filed against the respondent, or if the matter has been submitted to the Office of the Attorney General for the filing of such, the Board shall have continuing jurisdiction until all matters are final, and the period of probation shall be extended until all matters are final.
(5) Upon successful completion of all of the probationary conditions and the expiration of the period of probation, the respondent's license shall be unconditionally restored.
(d) All decisions containing stayed disciplinary orders as described in subdivision (b) may include one or more of the following probationary conditions:
(1) The respondent's license shall be suspended for a period not to exceed two years. If a suspension of the license is ordered, it shall begin on the effective date of the decision.
(2) Within 60 days of the effective date of the decision, the respondent shall successfully complete and pass the California Laws and Board Rules examination, as administered by the Board.
(3) The respondent shall successfully complete and pass a course in professional ethics, approved in advance by the Board or its designee. The probationary condition shall include a time period in which this course shall be successfully completed which time period shall be at least 60 days less than the time period ordered for the period of probation.
(4) Within 30 days of the effective date of the decision, the respondent shall provide the Board with evidence that he or she has provided all persons or entities with whom he or she has a contractual or employment relationship such that the relationship is in the area of practice of professional engineering and/or professional land surveying in which the violation occurred with a copy of the decision and order of the Board and shall provide the Board with the name and business address of each person or entity required to be so notified. During the period of probation, the respondent may be required to provide the same notification of each new person or entity with whom he or she has a contractual or employment relationship such that the relationship is in the area of practice of professional engineering and/or land surveying in which the violation occurred and shall report to the Board the name and address of each person or entity so notified.
(5) The respondent shall provide verifiable proof to the Board that restitution has been paid as ordered. The probationary condition shall include a time period in which the verifiable proof shall be provided to the Board which time period shall be at least 60 days less than the time period ordered for the period of probation.
(e) In addition to the conditions as may be ordered pursuant to subdivisions (c) and/or (d), the following conditions shall be included for the following specific violations:
(1) Incompetency in the practice of professional engineering and/or professional land surveying:
(A) The respondent shall successfully complete and pass, with a grade of “C” or better, a minimum of one and a maximum of three college-level courses, approved in advance by the Board or its designee. Such courses shall be specifically related to the area of violation. For purposes of this subdivision, “college-level course” shall mean a course offered by a community college or a four-year university of three semester units or the equivalent; “college-level course” does not include seminars. The probationary condition shall include a time period in which the course(s) shall be successfully completed which time period shall be at least 60 days less than the time period ordered for the period of probation.
(B) The respondent shall take and achieve the passing score as set by the Board for the second division examination (including the seismic principles and engineering surveying examinations for civil engineers), provided that in the event the respondent holds multiple licenses, the Board shall select the examination in the area of practice of professional engineering and/or professional land surveying in which the violation occurred and in the area of professional engineering and/or professional land surveying in which the respondent is licensed. The Board or its designee may select the specific examination questions such that the questions relate to the specific area of violation and comprise an examination of the same duration as that required of an applicant for licensure. The respondent shall be required to pay the application fee as described in Section 407 and shall be afforded all examination appeal rights as described in Sections 407, 443, and 444. The probationary condition shall include a time period in which the examination(s) shall be successfully completed which time period shall be at least 60 days less than the time period ordered for the period of probation.
(C) During the period of probation, the respondent may practice professional engineering and/or professional land surveying only under the supervision of a professional engineer and/or professional land surveyor licensed in the same branch as the respondent. This person or persons shall be approved in advance by the Board or its designee. Such supervising professional engineer and/or professional land surveyor shall initial every stamped or sealed document in close proximity to the respondent's stamp or seal.
(2) Negligence in the practice of professional engineering and/or professional land surveying:
(A) The respondent shall successfully complete and pass, with a grade of “C” or better, a minimum of one and a maximum of three college-level courses, approved in advance by the Board or its designee. Such courses shall be specifically related to the area of violation. For purposes of this subdivision, “college-level course” shall mean a course offered by a community college or a four-year university of three semester units or the equivalent; “college-level course” does not include seminars. The probationary condition shall include a time period in which the course(s) shall be successfully completed which time period shall be at least 60 days less than the time period ordered for the period of probation.
(3) Violation and/or breach of contract in the practice of professional engineering and/or professional land surveying:
(A) The respondent shall successfully complete and pass, with a grade of “C” or better, a minimum of one and a maximum of three college-level courses, approved in advance by the Board or its designee. Such courses shall be specifically related to the area of violation. For purposes of this subdivision, “college-level course” shall mean a course offered by a community college or a four-year university of three semester units or the equivalent; “college-level course” does not include seminars. The probationary condition shall include a time period in which the course(s) shall be successfully completed which time period shall be at least 60 days less than the time period ordered for the period of probation.
(4) Failure to file a record of survey and/or corner record in the practice of professional land surveying:
(A) For any records of survey and/or corner records found not to have been filed and recorded, the respondent shall file or record, as appropriate, the required record(s) with the appropriate governmental agency within 90 days of the effective date of the decision. The respondent shall provide the Board with verifiable proof that the required record(s) have been filed or recorded, as appropriate, by the governmental agency within 30 days of such filing or recordation. If an actual suspension of the respondent's license is ordered as a probationary condition, the record(s) required by this subdivision shall be the only professional land surveying work the respondent is allowed to perform during the suspension.
(f) If the respondent is a civil engineer who is legally authorized to practice professional land surveying and the violation involves negligence and/or incompetency in the practice of professional land surveying and if warranted by aggravating factors in the matter, the disciplinary order shall include the following condition:
(1) The existing civil engineer license shall be revoked; a new civil engineer license shall be issued which does not authorize the respondent to practice professional land surveying. Before being permitted to practice professional land surveying, the respondent shall complete and comply with all of the legal requirements for licensure as a professional land surveyor, including, but not limited to, supplying the appropriate application documents and fees and taking and passing the entire second-division examination in professional land surveying.
In addition to the disciplinary orders described in this section, all decisions shall address recovery of the Board's investigation and enforcement costs, as described in and authorized by Business and Professions Code section 125.3.
Notwithstanding this section, non-conforming terms and conditions may be included as part of the disciplinary order, including such other further or lesser action as the Board deems appropriate, in the interest of protecting the public health, safety, and welfare.
As used in this section, “license” includes certificate of registration or license as a professional engineer, licensure as a professional land surveyor, and certificates of authority to use the titles “structural engineer,” “geotechnical engineer,” “soil engineer,” “soils engineer,” or “consulting engineer.”
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code, and Sections 11400.20 and 11400.21, Government Code. Reference: Sections 125.3, 6706.3, 6710, 6732, 6775, 6776, 8780 and 8781, Business and Professions Code; and Sections 11400.20, 11400.21, 11415.60, 11425.50 and 11519, Government Code.
HISTORY

1. New section filed 1-28-76; effective thirtieth day thereafter (Register 76, No. 5).
2. Repealer filed 5-11-78; effective thirtieth day thereafter (Register 78, No. 19).
3. New section filed 10-18-79; effective thirtieth day thereafter (Register 79, No. 42).
4. Amendment of section heading, section and Note filed 7-3-97; operative 7-3-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 27).
5. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
Article 2. Applications
§420. Applications.
Note     •     History

(a) Applications for certification, for licensure, or for a certificate of authority shall be:
(1) Filed on a form prescribed by the executive officer and shall be typewritten.
(2) Filed at the office of the Board and accompanied by the required application fee.
(3) Made out properly in every respect and must contain full information.
(4) Subscribed and certified to “under penalty of perjury” as provided by Section 2015.5 of the Code of Civil Procedure.
(b) An application made otherwise will not be accepted by the Board and it may be returned by the executive officer with a statement of the reason therefor.
(c) Upon evaluation of the applicant's qualifications, his/her examination results and any other supporting data, his/her application will be either:
(1) Denied without prejudice, and the application fee retained by the Board for the Professional Engineers' Fund.
(2) Approved, and he/she will be granted the certification for which application was made.
(d) The Board may request each applicant to provide the Board with a current photograph after an applicant has become licensed.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code. Reference: Sections 6706.3, 6710, 6732, 6750, 6758, 6759, 8740, 8746 and 8748, Business and Professions Code; and Section 2015.5, Code of Civil Procedure.
HISTORY

1. Amendment filed 1-19-72; effective thirtieth day thereafter (Register 72, No. 4).
2. Amendment filed 7-27-73; effective thirtieth day thereafter (Register 73, No. 30).
3. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
4. Change without regulatory effect amending subsections (a)(1) and (b) filed 1-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 3).
5. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§421. Refile Application.
Note     •     History

(a) The executive officer may prescribe a short application form for use of those applicants who, failing an examination, apply within a reasonable period of time after the date of the examination previously failed, for re-examination. This application form may be known as a refile application form. The applicant and his application for re-examination shall be subject to the same provisions of the code and rules of the board, whenever applicable, as govern the filing of an original application.
(b) The applicant for re-examination shall be assigned by the executive officer to the next scheduled examination for which his/her application qualifies him/her.
NOTE

Authority cited: Sections 6716, 6758, 8710 and 8746, Business and Professions Code. Reference: Sections 6758 and 8746, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 1-19-72; effective thirtieth day thereafter (Register 72, No. 4).
2. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Change without regulatory effect amending section filed 1-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 3).
§422. Final Filing Date.
Note     •     History

(a) An application filed with the board after the final filing date announced for an examination shall not be considered for such examination.
(b) Whenever the final filing date announced for an examination falls upon a Saturday, Sunday or holiday, it shall be extended to the next business day following.
(c) If an application is filed with the board through the United States mail, it shall be deemed filed on the date shown by the post office cancellation mark stamped on the envelope containing it, or on the date mailed if satisfactory proof is made that the mailing occurred on an earlier date.
NOTE

Authority cited: Sections 6707, 6716, 8710 and 11003, Government Code. Reference: Section 11003, Government Code.
HISTORY

1. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
§423. Citizenship. [Repealed]
Note     •     History

NOTE

Additional authority cited for Section 423: Sections 6752, 8740.5, and 8744, Business and Professions Code.
HISTORY

1. Amendment filed 1-19-72; effective thirtieth day thereafter (Register 72, No. 4).
2. Repealer filed 7-27-73; effective thirtieth day thereafter (Register 73, No. 30).
§424. Experience Requirements--Professional Engineers.
Note     •     History

(a) The engineering branches and title authorities described in Section 404, herein, overlap and some activities are common to two or more engineering branches and title authorities. The minimum number of years of qualifying experience in such overlapping engineering branches and title authorities may be used in securing licensure in any applicable engineering branch or title authority but cannot be used more than once. The only exception to this is experience credit for education. Qualifying education entitles a candidate to experience credit, and this experience credit may be used again even though it has already been used to qualify for another examination.
(b) An applicant for licensure as a professional engineer shall be granted credit towards the experience requirement, as stated in subdivision (a), for the following education curriculum:
(1) Four (4) years experience credit for graduation from an approved engineering curriculum. 
(2) Two (2) years experience credit for graduation from a non-approved engineering curriculum or from an approved engineering technology curriculum. 
(3) Five (5) years of experience credit for graduation from an approved cooperative work-study engineering curriculum. 
(4) Five (5) years of experience credit for graduation from an approved post-graduate engineering curriculum. 
(5) One-half (1/2) year of education credit for each year of study completed in an approved engineering curriculum that did not result in the awarding of a baccalaureate degree, except that the maximum of such experience shall be two (2) years. 
“Life Experience Degrees” are not acceptable and will not be counted towards the education credit. 
The additional actual work experience required to meet the six (6) years of experience requirement shall have been gained after graduation, except for cooperative work study experience and post-graduate education. 
The sum of qualifying experience credit for education and engineering teaching experience shall not exceed five years.
(c) Qualifying experience is that experience satisfactory to the Board which has been gained while performing engineering tasks under the responsible charge of a person legally qualified to practice in an applicant's branch of engineering.
(1) For the purposes of this section, “legally qualified” means having an appropriate license as a professional engineer; or by being an employee of the Federal Government; or, except for civil engineers, by virtue of being an employee of a manufacturing, mining, public utility, research and development, or other industrial corporation; or, except for civil engineers, by holding an appropriate license as a contractor.
(2) Qualifying experience shall be computed on an actual time worked basis, but not to exceed forty hours per week.
(3) Applied engineering research is an engineering task for the purposes of determining qualifying experience.
(d) Computation of qualifying experience for licensure as a professional engineer or for authority to use the title “structural engineer” or “geotechnical engineer” shall be to the date of filing of the application; or it shall be to the final filing date announced for the examination if the application is filed within a period of thirty (30) days preceding the final filing date announced for such examination.
NOTE

Authority cited: Section 6716, Business and Professions Code. Reference: Sections 6751, 6751.2, 6751.5, 6752, 6753 and 6753.5, Business and Professions Code.
HISTORY

1. Amendment filed 8-15-63; effective thirtieth day thereafter (Register 63, No. 13).
2. New subsection (c) filed 1-19-72; effective thirtieth day thereafter (Register 72, No. 4).
3. Amendment filed 7-27-73: effective thirtieth day thereafter (Register 73, No. 30).
4. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
5. Amendment of subsections (a)-(e) and Note filed 12-17-90; operative 12-17-90 pursuant to Government Code section 11346.2(d) (Register 91, No. 6).
6. Amendment of subsection (b) filed 5-8-92; operative 6-8-92 (Register 92, No. 19).
7. Amendment of subsections (b) and (c) filed 12-5-94; operative 1-4-95 (Register 94, No. 49).
8. Amendment of subsection (d) filed 8-25-98; operative 9-24-98 (Register 98, No. 35).
9. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
10. Amendment of section heading and subsection (a), repealer of subsection (d), subsection relettering, amendment of newly designated subsection (d) and amendment of Note filed 1-25-2001; operative 2-24-2001 (Register 2001, No. 4).
11. Amendment of subsections (a) and (b), new subsections (b)(1)-(5) and amendment of subsections (c)-(c)(1) and Note filed 4-11-2011; operative 5-11-2011 (Register 2011, No. 15).
§424.5. Reinstatement Requirements for Delinquent Applicants.
Note     •     History

(a) A license which has not been renewed within the time required under Business and Professions Code Section 6796.3 or 8803 is considered delinquent and, except as provided in subdivision (c), shall be reinstated if the applicant complies with the following:
(1) Submits evidence satisfactory to the Board that the applicant is qualified in the branch for which he or she is applying. This evidence shall consist of:
(A) A completed, typewritten application on a form as specified in Section 420 accompanied by the required application fee as specified in Section 407(b)(1)-(4).
(B) Completed appropriate reference forms as specified in Sections 427.10, 427.20, or 427.30. The submission of a reference which states that the applicant is not technically qualified to be licensed shall be grounds for denial.
(2) Takes and passes the examination on the applicable state laws and board regulations as specified in Business and Professions Code section 6755.2 or 8741.1.
(3) Takes and passes examinations on seismic principles and engineering surveying, if he or she is a civil engineering applicant whose initial registration was issued prior to January 1, 1988.
(4) Pays all accrued and unpaid renewal fees.
(5) Has not committed any acts or crimes constituting grounds for denial of licensure under Business and Professions Code section 480.
(b) An applicant who is unable to submit evidence satisfactory to the Board that he or she is qualified as provided in subdivision (a)(1) shall take and pass the appropriate second division examination or the appropriate title authority examination in addition to the requirements specified in subdivision (a)(2)-(5) prior to reinstatement of the delinquent license.
(c) Notwithstanding subdivisions (a) and (b), the Board may pursue action, including but not limited to revocation or suspension of the license pursuant to Business and Professions Code sections 6775, 6776, 8780, and 8781, issuance of a citation containing an order to pay an administrative fine pursuant to Sections 473 through 473.4, filing of criminal charges pursuant to Business and Professions Code sections 6787 and 8792, and denial of the application pursuant to Section 420, against the applicant if evidence obtained during an investigation reveals that the applicant has violated any provision of the Business and Professions Code, the California Code of Regulations, or other applicable laws and regulations related to the practices of professional engineering or professional land surveying during the period of delinquency, including, but not limited to, practicing or offering to practice with an expired or delinquent license.
(d) The application response timeframe is as specified in Section 470(a).
(e) The Board's time period for processing an application from receipt of the initial application to the final decision regarding issuance or denial of licensure is as specified in Section 471.
As used in this section, “license” includes certificate of registration as a professional engineer, licensure as a professional land surveyor, and certificates of authority to use the title “structural engineer,” “soil engineer” or “consulting engineer”.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code. Reference: Sections 480, 6755.1, 6755.2, 6796.3, 8741, 8741.1 and 8803, Business and Professions Code.
HISTORY

1. New section filed 5-23-95; operative 5-23-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 21).
2. Amendment filed 12-14-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 51).  
§425. Experience Requirements--Professional Land Surveyors.
Note     •     History

(a) An applicant for licensure as a professional land surveyor shall be granted credit towards the experience requirements contained in Sections 8741 and 8742 of the Code, for the following education curriculum:
(1) Four (4) years experience credit for graduation from an approved land surveying curriculum. 
(2) Two (2) years experience credit for graduation from a non-approved land surveying curriculum. 
(3) Five (5) years of experience credit for graduation from an approved cooperative work-study land surveying curriculum. 
(4) One-half (1/2) year of education credit for each year of study completed in an approved land surveying curriculum that did not result in the awarding of a baccalaureate degree, except that the maximum of such experience shall be two (2) years. A year of study shall be at least 32 semester units or 48 quarter units, no less than 10 semester units or 15 quarter units of which shall be from classes clearly identified as being land surveying subjects. 
“Life Experience Degrees” are not acceptable and will not be counted towards the education credit. 
(b) All qualifying work experience in land surveying shall be performed under the responsible charge of a person legally authorized to practice land surveying. An applicant shall possess at least two years of actual responsible training experience in land surveying which shall involve at least four of the land surveying activities specified in subdivisions (a)-(g) and (k)-(n) of Section 8726 of the Code. Qualifying experience in activities specified in subdivision (a), (b), (m), and (n) of Section 8726 shall not exceed one year. Qualifying experience shall be computed on an actual time worked basis, but not to exceed forty hours per week.
(c) For purposes of Section 8742 of the Code, the term “responsible field training” experience may include, but is not limited to, the land surveying activities listed below. Under the responsible charge, direction, and review of a person legally authorized to practice land surveying, the applicant:
(1) Determines field survey methods and procedures, including selection of accuracy standards.
(2) Selects or verifies that the correct control monumentation is used to establish the designated survey datum(s) (horizontal and vertical) and selects on-the-ground locations for control monuments.
(3) Determines the relevance of monuments and physical field evidence for the purpose of establishing boundary and property lines.
(4) Reviews measurement observations for the determination of accuracy, completeness, and consistency.
(5) Reviews field notes and records for application of proper field survey procedures.
(6) Plans, performs, and reviews field checks and, based on such checks, determines if completed field surveys are accurate and sufficient.
(7) Searches for boundary and control monuments; assists in analyzing field evidence for locating boundary points and lines; identifies and describes such evidence; compares record data to found physical evidence; compares record data to measured data; documents discrepancies; assists in acquiring and documenting testimony regarding boundary locations; recommends boundary location and/or establishment; selects or verifies that the correct controlling monuments are used to locate or establish boundary points and lines; and prepares draft record documents.
(8) Coordinates the fieldwork necessary to prepare maps, plats, reports, descriptions, or other documents.
(9) Recommends when existing boundary monuments are to be replaced, selects the method(s) to be used for replacing and resetting monuments, and prepares field documentation of such work, including that necessary for Parcel Maps, Final Maps, Record of Survey Maps, and Corner Records.
(10) Functions as a party chief, chief of parties, or lead person in charge of field crew(s) in the performance of field surveys.
(11) Plans and performs field observations using Global Positioning System technology and determines if completed field surveys are accurate and sufficient in geodetic and land surveying applications.
(12) Performs surveys to facilitate the location or construction of infrastructure and fixed works of improvement.
The enumeration of the above tasks does not preclude the Board from awarding “responsible field training” credit for training of a similar character in other current or future land surveying activities not specifically enumerated herein. It is also understood that the listed tasks are only some of those that may be considered as responsible training, and that this list is not in any way intended to enumerate all of the tasks which may be performed by licensed Professional Land Surveyors.
(d) For purposes of Section 8742 of the Code, the term “responsible office training” experience may include, but is not limited to, the land surveying activities listed below. Under the responsible charge, direction, and review of a person authorized to practice land surveying, the applicant:
(1) Performs the planning and analysis necessary for the preparation of survey documents, such as Parcel Maps, Final Maps, Record of Survey Maps, Corner Records, legal descriptions, topographic maps, plat maps, lot line adjustments, annexations, and boundary line agreements.
(2) Reduces and evaluates field data.
(3) Develops procedures and systems for the collection, reduction, adjustment, and use of land surveying data.
(4) Prepares data to be used by field surveyors or field crews.
(5) Coordinates the processing of maps, plats, reports, descriptions, or other documents with local agencies, other licensed surveyors, or County Surveyors Offices.
(6) Coordinates the office work necessary to prepare maps, plats, reports, descriptions, or other documents.
(7) Coordinates survey and design efforts for improvement plans as required for sufficiency to enable proper location of improvements in the field.
(8) Researches public and private records to obtain survey and title data.
(9) Performs boundary analysis and determination using record descriptions, survey, and title data.
(10) Plans and coordinates the application of Global Positioning System technology for geodetic and land surveying applications.
(11) Plans, coordinates, performs, and reviews the entry of property boundary related geo-referenced data into an electronic database.
(12) Prepares topographic mapping utilizing photogrammetric methods.
The enumeration of the above tasks does not preclude the Board from awarding “responsible office training” credit for training of a similar character in other current or future land surveying activities not specifically enumerated herein. It is also understood that the listed tasks are only some of those that may be considered as responsible training, and that this list is not in any way intended to enumerate all of the tasks which may be performed by licensed professional land surveyors.
(e) Computation of qualifying experience for a license as a professional land surveyor shall be to the date of filing of the application, or it shall be to the final filing date announced for the examination if the application is filed within a period of thirty (30) days preceding the final filing date announced for such examination.
(f) An applicant for licensure as a land surveyor who holds a valid and unexpired license as a civil engineer is exempt from the application requirements of subdivisions (b), (c), and (d) of this section provided he or she submits sufficient documentation that he or she has a minimum of two years of actual broad based progressive experience in land surveying as required by Business and Professions Code Section 8742(a)(3).
NOTE

Authority cited: Section 8710, Business and Professions Code. Reference: Sections 8726, 8741 and 8742, Business and Professions Code.
HISTORY

1. New section filed 1-25-2001; operative 2-24-2001 (Register 2001, No. 4). For prior history, see Register 83, No. 3.
2. Amendment of subsection (a), new subsections (a)(1)-(4), amendment of subsection (b), repealer of subsection (c), subsection relettering and amendment of newly designated subsection (f) filed 4-11-2011; operative 5-11-2011 (Register 2011, No. 15).
§426. Applicant for Structural Authority. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 6716 and 6736, Business and Professions Code. Reference: Section 6736, Business and Professions Code.
HISTORY

1. Refiled 1-25-66 (Register 66, No. 3).
2. Amendment filed 1-16-69; effective thirtieth day thereafter (Register 69, No. 3).
3. Amendment filed 3-29-74; effective thirtieth day thereafter (Register 74, No. 13).
4. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
5. Renumbering and amendment of former Section 426 to Section 426.10 filed 9-25-89; operative 10-25-89 (Register 89, No. 40).
§426.10. Qualification Requirements for Structural Authority.
Note     •     History

An applicant for authority to use the title “structural engineer” shall comply with all of the following requirements:
(a) The applicant shall hold an unexpired, valid California license as a civil engineer.
(b) The applicant shall submit evidence satisfactory to the Board that the applicant has been in responsible charge of structural engineering qualifying experience, as defined in Section 426.11 and/or Section 426.12, for a minimum of three years subsequent to the date of examination which was passed to gain California license as a civil engineer or as provided in Section 426.14.
NOTE

Authority cited: Section 6716, Business and Professions Code. Reference: Sections 6706.3, 6710, 6732, 6736 and 6763, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 426 to Section 426.10 filed 9-25-89; operative 10-25-89 (Register 89, No. 40). For prior history, see Registers 86, No. 26 and 83, No. 33. 
2. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§426.11. Qualifying Experience for Structural Authority.
Note     •     History

“Structural Engineering qualifying experience” is defined as acceptable professional practice in responsible charge of structural engineering projects as related to buildings (or other structures) and shall include structural design experience in all areas as specified in subdivisions (a)-(f) below because the stability of a structure is dependent upon the interaction of the individual structural components as well as the structure as a whole:
(a) Common Construction Materials--Steel, Concrete, Wood and Masonry: A structural engineer shall have experience in the use of three of the four common construction materials of steel, concrete, wood, and masonry as they relate to the design, rehabilitation and/or investigation of buildings (or other structures);
(b) Determination of Lateral Forces: A structural engineer shall have experience regarding structural design to resist lateral forces;
(c) Selection of Framing Systems: A structural engineer shall have experience regarding the selection of framing systems, including the consideration of alternatives and the selection of an appropriate system for the interaction of structural components to support vertical and lateral loads;
(d) Selection of Foundation Systems: A structural engineer shall have experience in the selection of foundation systems, including the consideration of alternatives and the selection of an appropriate type of foundation system to support the structure;
(e) Application of Code Requirements: A structural engineer shall have experience in applying local, state and federal requirements relating to design loads, materials, and detailing; and
(f) Multi-story Buildings or Equivalent Multi-level Structures: A structural engineer shall have experience with the design and detailing for the transfer of forces between stories in multi-story buildings. A multi-story building is a building which is more than one story in height and which is not exempted pursuant to Section 6737.1 of the code.
NOTE

Authority cited: Sections 6716 and 6717, Business and Professions Code. Reference: Sections 6703, 6717, 6736 and 6763, Business and Professions Code.
HISTORY

1. New section filed 9-25-89; operative 10-25-89 (Register 89, No. 40). 
§426.12. Experience for Checking Structural Plans.
Note     •     History

The Board shall consider the following experience as structural engineering qualifying experience, in lieu of that experience defined in Section 426.11: Professional level employment performing the checking of structural engineering plans and calculations, when performed under the immediate supervision of, and certified to by, either a civil engineer who holds a valid California license with the authority to use the title “structural engineer” in this state or a Professional Engineer who is authorized to use the title “structural engineer” registered or licensed outside of this state but registered or licensed in a state which has a comity agreement with the State of California related to structural engineering. However, an applicant who applies for authority to use the title “structural engineer” under this section shall furnish the Board with a verification of employment from each employer which lists the name(s) of the immediate supervisor of the applicant during the period of employment used as qualifying experience under this section.
NOTE

Authority cited: Section 6716, Business and Professions Code. Reference: Sections 6706.3, 6710, 6716, 6732 and 6763, Business and Professions Code.
HISTORY

1. New section filed 9-25-89; operative 10-25-89 (Register 89, No. 40).
2. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§426.13. Supplemental Evidence of Responsible Charge for Structural Authority.
Note     •     History

(a) The board shall consider the following as supplemental evidence, if submitted for consideration, to assist in determining whether an applicant for structural authority possesses the requisite three (3) years of structural engineering qualifying experience at the level of responsible charge as required in Section 426.10 and defined in Sections 426.11 and 426.12:
(1) Project management experience:
(A) Coordination with other disciplines such as civil, electrical and mechanical engineers and/or architects;
(B) Production of construction document packages such as calculations, drawings and specifications; and
(C) Supervision and/or coordination of staff.
(2) Field experience:
(A) Familiarity with techniques, methods and means of construction;
(B) Field observation of construction for compliance to drawings and specifications; and
(C) Field investigation of existing structures for evaluation or forensic purposes.
(b) Notwithstanding subsections (a)(1) and (a)(2), other types of experience deemed equivalent to project management or field experience may be considered on a case by case basis to assist in determining whether an applicant possesses the three (3) years of structural engineering qualifying experience at the level of responsible charge as required in Section 426.10.
(c) Any experience submitted pursuant to this section shall not be considered as a substitute for the mandatory types of qualifying experience required by Section(s) 426.11 and/or 426.12.
NOTE

Authority cited: Section 6716, Business and Professions Code. Reference: Sections 6703, 6716, 6736 and 6763, Business and Professions Code.
HISTORY

1. New section filed 9-25-89; operative 10-25-89 (Register 89, No. 40).
§426.14. Experience for Structural Engineering Gained Out of State.
Note     •     History

(a) The Board may consider an application for authority to use the title “structural engineer” from an applicant who does not possess three (3) years of qualifying experience subsequent to the date of the examination which was passed to gain licensure as a California civil engineer but who possesses experience equivalent to that provided in Section 426.11 based upon either:
(1) A minimum of three (3) years of structural engineering qualifying experience gained after the applicant's registration or licensure as civil engineer in another state.
(2) A minimum of three (3) years of structural engineering qualifying experience which was gained while exempt from licensure pursuant to Section 6739 of the Code or while employed or registered or licensed in another country. Such experience shall be in addition to the experience required for licensure as a civil engineer in this state.
(b) Applicants seeking approval of their structural engineering qualifying experience, pursuant to this section, shall file their application at least six months prior to the final filing deadline to be considered for the next scheduled examination. Applicants may be required to appear for an interview regarding their structural engineering qualifying experience.
NOTE

Authority cited: Section 6716, Business and Professions Code. Reference: Sections 6706.3, 6710, 6717, 6732, 6736, 6739, 6751.2, 6753.5 and 6763, Business and Professions Code.
HISTORY

1. New section filed 9-25-89; operative 10-25-89 (Register 89, No. 40).
2. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§426.50. Qualification Requirements “Soil Engineer.”
Note     •     History

An applicant for authority to use the title “soil engineer” shall:
(a) Hold an unexpired, valid California license as a civil engineer.
(b) Submit evidence satisfactory to the Board that the minimum number of years of qualifying experience or education has been met as required in Sections 6736.1(b) and 6763 of the Code and as defined in Section 426.51, subsequent to the date of examination which was passed to gain licensure as a civil engineer. In addition, up to one year credit as qualifying experience in responsible charge will be given for possession of post graduate degree(s) from a Board approved school of engineering with major studies in soil engineering as listed in Section 426.51(c). Credit for post graduate degree(s) will not be given if it has already been applied to the experience requirement for civil engineering licensure.
NOTE

Authority cited: Section 6716, Business and Professions Code. Reference: Sections 6706.3, 6710, 6716, 6732, 6736.1 and 6763, Business and Professions Code.
HISTORY

1. New section filed 6-26-86; designated effective 7-1-86 (Register 86, No. 26).
2. Change without regulatory effect amending subsection (b) filed 1-20-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 3).
3. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§426.51. Qualifying Experience for “Soil Engineer.”
Note     •     History

“Qualifying experience” means responsible charge of soil engineering projects. Evidence shall be provided that the applicant has qualifying experience in the areas described in subdivisions (a), (c) and (e) and has demonstrated working knowledge in the areas described in subdivisions (a) through (e). At least one-half of the applicant's annual full-time professional practice shall be in soil engineering, except that a teacher of soil engineering and related courses at a board approved school of engineering will be given credit for applicable consulting work as a percentage of equivalent full-time work. Applicable consulting work shall be substantiated by references and project documents.
(a) Development of programs of geotechnical investigation which includes, but is not limited to:
(1) Communication with other design consultants to determine their geotechnical input needs;
(2) Performance of literature searches, site history analyses, etc., related to surface and subsurface conditions;
(3) Formulation or engineering evaluation of field exploration and laboratory testing programs to accomplish the scope of the investigation;
(4) Preparation or engineering evaluation of proposals.
(b) Performance of geotechnical field and laboratory studies which includes, but is not limited to:
(1) Direction and/or modification of field exploration programs, as required upon evaluation of the conditions being encountered;
(2) Classification and evaluation of subsurface conditions.
(3) Understanding the purposes for and being qualified to perform routine field and laboratory tests for:
(A) soil strength
(B) bearing capacity
(C) expansion properties
(D) consolidation characteristics
(E) soil collapse potential
(F) erosion potential
(G) compaction characteristics
(H) material acceptability for use in fill
(I) pavement support qualities
(J) freeze-thaw properties
(K) grain-size
(L) permeability/percolation properties
(c) Analysis of geotechnical data and engineering computations which includes, but is not limited to:
(1) Analysis of field and laboratory test results regarding:
(A) soil strength
(B) bearing capacity
(C) expansion properties
(D) consolidation characteristics
(E) soil collapse potential
(F) erosion potential
(G) compaction characteristics
(H) material acceptability for use in fill
(I) pavement support qualities
(J) freeze-thaw properties
(K) grain-size
(L) permeability/percolation properties
(M) ground water conditions
(N) soil dynamic properties
(2) Performance of computations using test results and available data regarding:
(A) bearing capacity
(B) foundation type, depth, dimensions
(C) allowable soil bearing pressures
(D) potential settlement
(E) slope stability
(F) retaining systems
(G) soil treatment
(H) dewatering/drainage
(I) floor support
(J) pavement design
(K) site preparation
(L) fill construction
(M) liquefaction potential
(N) ground response to seismic forces
(O) ground water problems; seepage
(P) underpinning
(d) Performance or engineering evaluation of construction, postconstruction and site monitoring which includes, but is not limited to:
(1) Performance or supervision of geotechnical testing and observation of site grading;
(2) Analysis, design and evaluation of instrumentation programs to evaluate or monitor various phenomena in the field, such as settlement, slope creep, porewater pressures and ground water variations;
(3) Geotechnical observation during construction and/or installation, including but not limited to, spread foundations, drilled piers, piles, slurry walls, anchors, bulkheads, shoring, underpinning and subdrains;
(4) Engineering evaluation of soil related distress.
(e) Preparation or engineering evaluation of geotechnical reports which includes, but is not limited to:
(1) Preparation of appropriate plans, logs, test results and other exhibits;
(2) Documentation of testing and observation;
(3) Preparation of written reports which present findings, conclusions and recommendations of the investigation;
(4) Preparation of specifications and guidelines for achieving the intent of subdivision (e)(3), above.
NOTE

Authority cited: Sections 6716, 6736.1 and 6763, Business and Professions Code. Reference: Sections 6736.1 and 6763, Business and Professions Code.
HISTORY

1. New section filed 6-26-86; designated effective 7-1-86 (Register 86, No. 26).
2. Change without regulatory effect amending subsection (b)(3)(J) and Note filed 6-26-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 26).
§427. References. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 6716, 6751, 6752, 8710, 8742 and 8743, Business and Professions Code. Reference: Sections 6751, 6752, 8742 and 8743, Business and Professions Code.
HISTORY

1. Amendment filed 8-5-65; effective thirtieth day thereafter (Register 65, No. 14).
2. Repealer of subsection (c) filed 1-19-72; effective thirtieth day thereafter (Register 72, No. 4).
3. Amendment filed 7-27-73; effective thirtieth day thereafter (Register 73, No. 30).
4. Amendment of subsection (b) filed 2-10-76; effective thirtieth day thereafter (Register 76, No. 7).
5. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
6. Renumbering and amendment of former Section 427 to Section 427.10 filed 9-25-89; operative 10-25-89 (Register 89, No. 40).
§427.10. References for Professional Engineers and Land Surveyors.
Note     •     History

(a) To assist the Board in evaluating qualifications, each applicant for licensure as a professional engineer or a professional land surveyor shall submit completed reference forms from as many references as may be consistent with the length and character of the professional experience. Professional engineer applicants shall use the form entitled “Professional Engineer Engagement Record and reference Form (PE09)(2010),” hereby incorporated by reference. Professional land surveyor applicants shall use the form entitled “Professional Land Surveyor Engagement Record and Reference Form (LS09)(2010),” hereby incorporated by reference. Professional land surveyor applicants may also use the form entitled “Log Book for Professional Land Surveyor Applicants (LB09)(2010),” hereby incorporated by reference, as an optional supplement to the “Professional Land Surveyor Engagement Record and Reference Form (LS09)(2010).”
(b) The applicant for licensure as a professional engineer or a professional land surveyor shall furnish not less than the number of references required hereafter: 
(1) An applicant for a license as a professional land surveyor or as a professional engineer shall refer to not less than four persons who are authorized to practice in the discipline for which the applicant is applying and who have personal knowledge of the applicant's qualifying experience, none of whom is a relative either by birth or marriage.
(2) Nothing herein contained shall be construed to limit authority of the Board to seek such other information pertinent to the education and experience of the applicant as may be required to verify his or her qualifications. The Board may waive the requirement that only registered or licensed individuals give references for the applicants in disciplines other than civil engineering or land surveying when the applicants have no association with registered or licensed individuals in their work environment.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code. Reference: Sections 6751, 6752, 8742 and 8743, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 427 to Section 427.10 filed 9-25-89; operative 10-25-89 (Register 89, No. 40). For prior history, see Registers 86, No. 26 and 83, No. 33. 
2. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
3. Amendment of section and Note filed 8-25-2010; operative 9-24-2010 (Register 2010, No. 35).
§427.20. Reference Requirements for “Soil Engineer.”
Note     •     History

(a) An applicant for authority to use the title “soil engineer” shall submit at least four completed reference forms from individuals who hold or held current, valid, unexpired California licenses as civil engineers during the time of the applicant's experience. None of the references shall be related to the applicant by birth or marriage. At least two of these individuals shall be civil engineers who are or were actively engaged in the practice of “soil engineering.” Each civil engineer providing a reference shall clearly indicate areas of personal knowledge of the applicant's qualifying experience. Reference forms completed by civil engineers registered or licensed outside of California, in lieu of or in addition to California references, will be considered; however, the Board may require additional information as specified in Section 427.20(d). Reference forms completed by civil engineers registered or licensed outside of the State of California shall be notarized. Information submitted by references is confidential.
(b) Notwithstanding Section 427(a), a reference form shall be submitted for each period of qualifying experience” listed on the engagement record form for which the applicant desires credit.
(c) An applicant will be required to verify employment inclusive dates for each period of qualifying experience. Employment verification forms may be used for this purpose.
(d) Nothing contained in this section shall limit the authority of the Board to require that an applicant submit additional references, employment verifications, and other information pertinent to education or experience to verify that the applicant has met the minimum qualifications as defined in Sections 6736.1(a) and (c) of the Code and Sections 426.50 and 426.51.
NOTE

Authority cited: Section 6716, Business and Professions Code. Reference: Sections 6706.3, 6710, 6716, 6732, 6736.1 and 6763 Business and Professions Code.
HISTORY

1. New section filed 6-26-86; designated effective 7-1-86 (Register 86, No. 26).
2. Change without regulatory effect amending subsection (d) filed 1-20-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 3).
3. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§427.30. References for Structural Authority.
Note     •     History

(a) An applicant for authority to use the title “structural engineer” shall submit at least three completed reference forms, using the form entitled “Structural Engineer Engagement Record and Reference Form (SE09)(2010),” hereby incorporated by reference, from individuals who hold current, valid California licenses as civil engineers, and who are authorized by the Board to use the title “structural engineer,” or equivalent thereto, none of whom is related to the applicant by birth or marriage. Each reference shall have personal knowledge of the applicant's qualifying experience and shall have examined the applicant's work. It is preferred that at least one of the references has been a direct supervisor for a period of not less than six months.
(b) “Equivalent thereto,” as used in this section, means a professional engineer who is authorized to use the title “structural engineer” in a state which has a comity agreement with this state related to “structural engineering.”
Reference forms completed by a “structural engineer” registered or licensed outside of this state but registered or licensed in a state which has a comity agreement with the State of California shall be notarized.
(c) Nothing contained in this section shall limit the authority of the Board to require that an applicant submit additional references, employment verifications, and other information pertinent to the applicant's education and/or experience to verify that the applicant meets the minimum qualifications as defined in Sections 426.10, 426.11 and/or 426.13.
NOTE

Authority cited: Section 6716, Business and Professions Code. Reference: Sections 6736 and 6763, Business and Professions Code
HISTORY

1. New section filed 9-25-89; operative 10-25-89 (Register 89, No. 40). 
2. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
3. Amendment of subsection (a) and Note filed 8-25-2010; operative 9-24-2010 (Register 2010, No. 35).
§428. Abandoned Applications.
Note     •     History

In the absence of special circumstances any of following actions by an applicant for certification or licensure shall be considered to constitute abandonment of the application and shall result in cancellation of the application with no refund of the filing fee:
(a) Failure to provide additional information or references within 90 days following the mailing of a request by the Board's staff; or
(b) Failure to complete the examination to which the applicant has been assigned within two (2) years from the date of filing of the application; or
(c) Failure to appear for examination at the designated time and place unless a postponement has been obtained in accordance with Rule 446; or
(d) Failure to appear for examination at the designated time and place after having obtained two postponements.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code. Reference: Sections 6706.3, 6710, 6732, 6750, 6751, 8740 and 8745, Business and Professions Code.
HISTORY

1. Amendment filed 1-19-72; effective thirtieth day thereafter (Register 72, No. 4).
2. Amendment filed 11-7-77; effective thirtieth day thereafter (Register 77, No. 46).
3. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
4. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§429. Application Appeal.
Note     •     History

(a) An applicant who is notified by the board that his/her application has been denied may appeal to the board for a re-evaluation of his/her application. An application appeal shall be filed with the board within 60 days after the date the denial notice has been mailed to him/her.
(b) An application appeal shall be made in writing and shall state the reason therefor. An appeal shall be supported by additional evidence, more references, affidavits, and supplemental information such that the board may be better informed of the applicant's qualifications. 
(c) The executive officer may deny an application appeal which is not filed within the time period provided in paragraph (a) of this rule. 
(d) The executive officer shall notify each applicant who appeals under this rule of the approval of his/her appeal, or the reason for its denial.
(e) When an application has been denied, the executive officer shall also notify the applicant that he or she has the right to hearing under the Administrative Procedure Act (Government Code Section 11500 et seq.), if he or she makes a written request for hearing within 60 days after service of the notice of denial.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code. Reference: Sections 6736, 6751-6753.5, 8742-8744, Business and Professions Code.
HISTORY

1. New section filed 1-22-70; effective thirtieth day thereafter (Register 70, No. 4).
2. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Change without regulatory effect amending subsections (c)-(e) filed 1-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 3).
§429.1. Denial for Lack of Good Moral Character. [Repealed]
Note     •     History

NOTE

Authority cited: Section 6716, Business and Professions Code.
HISTORY

1. New section filed 4-17-73 as an emergency; effective upon filing (Register 73, No. 16).
2. Certificate of Compliance filed 6-22-73 (Register 73, No. 25).
3. Editorial correction (Register 73, No. 30).
4. Repealer filed 2-10-76; effective thirtieth day thereafter (Register 76, No. 7).
§429.2. Suspension or Revocation Because of Conviction of a Crime. [Repealed]
Note     •     History

NOTE

Authority cited: Section 6716, Business and Professions Code.
HISTORY

1. New section filed 4-17-73 as an emergency; effective upon filing (Register 73, No. 16).
2. Certificate of Compliance filed 6-22-73 (Register 73, No. 25).
3. Repealer filed 2-10-76; effective thirtieth day thereafter (Register 76, No. 7).
Article 3. Examinations
§435. Examination Required. [Repealed]
Note     •     History

NOTE

Additional authority cited for Section 435: Sections 6716, 6751, 6762, 6763.5, 8710 and 8747, Business and Professions Code.
HISTORY

1. Amendment of subsections (a) and (d) filed 1-19-72; effective thirtieth day thereafter (Register 72, No. 4). For prior history, see Register 71, No. 29.
2. Amendment filed 7-27-73; effective thirtieth day thereafter (Register 73, No. 30).
3. Repealer filed 8-10-83 effective thirtieth day thereafter (Register 83, No. 33).
§436. Schedule of Regular Written Examinations.
Note     •     History

(a) Written examinations shall be given at intervals as determined by the board but not less than once each year.
(b) The executive officer shall publish annually, not later than three months prior to the end of each calendar year, a schedule of examinations for the following year.
(c) Whenever circumstances warrant such action the board may postpone, advance, or otherwise change without notice the examination schedule previously published.
NOTE

Additional authority cited for Section 436: Sections 6754, 6755, 8740.1 and 8745, Business and Professions Code.
HISTORY

1. Amendment filed 1-25-66; effective thirtieth day thereafter (Register 66, No. 3).
2. Amendment filed 1-19-71; effective thirtieth day thereafter (Register 71, No. 4).
3. Amendment filed 7-27-73; effective thirtieth day thereafter (Register 73, No. 30).
4. Change without regulatory effect amending subsection (b) filed 1-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 3).
§437. Individual Examination.
Note     •     History

(a) Individual examinations for licensure, certification, or authorization shall be either oral or written or a combination of both, in the discretion of the Board. They may be held at times and places convenient to the Board.
(b) An applicant for licensure as a professional engineer or as a land surveyor will be considered for assignment to an individual examination provided his/her qualifications meet all the requirements of the code and rules of the Board and provided he/she holds a valid registration or license as a professional engineer or as a land surveyor in another state in the same branch in which he/she is applying; such registration or license having been obtained by passing written examinations of comparable standard to those examinations required in California.
(c) An applicant for authority to use the title “structural engineer” may be considered for the individual examination only if he/she has passed a 16-hour examination in another state which the Board may deem equivalent to the written examination for structural authority given in California. This 16-hour examination shall have been in addition to the regular examination series for registration or licensure as a professional engineer and shall have contained significant emphasis on seismic design and lateral load considerations.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code. Sections 6706.3, 6710, 6732, 6751, 6751.2, 6754, 6755, 6755.1, 6755.2, 6759, 6760, 6762, 6763, 6763.5, 8741, 8741.1, 8745, 8746, 8747, 8748 and 8748.5, Business and Professions Code.
HISTORY

1. Amendment filed 10-14-76; effective thirtieth day thereafter (Register 76, No. 42). For prior history, see Register 73, No. 30.
2. Editorial correction of subsection (b)(2) (Register 78, No. 39).
3. Amendment filed 1-15-82; effective thirtieth day thereafter (Register 82, No. 3).
4. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§438. Waiver of Fundamentals Examination.
Note     •     History

(a) An applicant for licensure as a professional engineer whose qualifications meet all requirements of the code and rules of the Board will be allowed to appear for only the second division of the written examination prescribed by Section 6755 of the Code if he or she meets one or more of the following requirements:
(1) Holds valid licensure as a professional engineer in another branch in California.
(2) Holds valid certification as an engineer-in-training in another state obtained by passing a written examination which normally requires a minimum of eight hours to complete and the content of the examination is designed to test the candidates knowledge of fundamental engineering subjects, including mathematics and the basic sciences.
(3) Is a graduate of an approved engineering curriculum and submits satisfactory evidence to the Board that he or she has fifteen (15) years or more of additional engineering work experience satisfactory to the Board that has been gained in addition to graduation, or any other education experience, and while performing engineering tasks under the direction of a person legally authorized to practice in an applicant's branch of engineering.
(4) Is a graduate of a non-approved engineering curriculum or an approved engineering technology curriculum and submits satisfactory evidence to the Board that he or she has seventeen (17) years or more of additional engineering work experience satisfactory to the Board that has been gained in addition to graduation, or any other education experience, and while performing engineering tasks under the direction of a person legally authorized to practice in an applicant's branch of engineering.
(5) Is a graduate of an approved engineering curriculum and an approved post-graduate engineering curriculum and submits satisfactory evidence to the Board that he or she has fourteen (14) years or more of additional engineering work experience satisfactory to the Board that has been gained in addition to graduation, or any other education experience, and while performing engineering tasks under the direction of a person legally authorized to practice in an applicant's branch of engineering.
(6) Is a graduate of a nonapproved engineering curriculum or an approved engineering technology curriculum and an approved postgraduate engineering curriculum and submits satisfactory evidence to the Board that he or she has fourteen (14) years or more of additional engineering work experience satisfactory to the Board that has been gained in addition to graduation, or any other education experience, and while performing engineering tasks under the direction of a person legally authorized to practice in an applicant's branch of engineering.
(7) Is the holder of an earned doctorate in engineering from a department or program at a university or college where the undergraduate engineering curriculum in the same branch of engineering is an approved engineering curriculum; or is serving in a tenure-track faculty position in an approved engineering curriculum at the level of Assistant Professor or higher. 
(b) An applicant for licensure as a land surveyor whose qualifications meet all requirements of the code and rules of the Board will be allowed to appear for only the second division of the written examination prescribed by Section 8741 of the Code if he or she meets one or more of the following requirements:
(1) Holds valid licensure as a professional civil engineer in California. 
(2) Holds valid certification as an engineer-in-training obtained by passing a written examination which normally requires a minimum of eight hours to complete and the content of the examination is designed to test the candidate's knowledge of fundamental engineering subjects including mathematics and the basic sciences.
(3) Is a graduate of an approved land surveying curriculum and submits satisfactory evidence to the Board that he or she has fifteen (15) years or more of additional land surveying work experience satisfactory to the Board that has been gained in addition to graduation, or any other education experience, and while performing land surveying tasks under the direction of a person legally authorized to practice land surveying.
(4) Is a graduate of a non-approved land surveying curriculum and submits satisfactory evidence to the Board that he or she has seventeen (17) years or more of additional land surveying work experience satisfactory to the Board that has been gained in addition to graduation, or any other education experience, and while performing land surveying tasks under the direction of a person legally authorized to practice in land surveying.
(5) Is a graduate of an approved land surveying curriculum and an approved post-graduate land surveying curriculum and submits satisfactory evidence to the Board that he or she has fourteen (14) years or more of additional land surveying work experience satisfactory to the Board that has been gained in addition to graduation, or any other education experience, and while performing land surveying tasks under the direction of a person legally authorized to practice in land surveying.
(6) Is a graduate of a non-approved land surveying curriculum and an approved post-graduate land surveying curriculum and submits satisfactory evidence to the Board that he or she has sixteen (16) years or more of additional land surveying work experience satisfactory to the Board that has been gained in addition to graduation, or any other education experience, and while performing land surveying tasks under the direction of a person legally authorized to practice in land surveying.
(7) Holds valid certification as a land surveyor-in-training in another state obtained by passing a written examination which normally requires a minimum of eight hours to complete and the content of the examination is designed to test the candidate's knowledge of fundamentals of land surveying including mathematics and the basic sciences.
(c) An applicant for a California certification as an engineer-in-training or a land surveyor-in-training who holds valid certification in another state obtained as in (a)(2) or (b)(7) above may be issued a California certificate.
NOTE

Authority cited: Sections 6716, 6755, 8710 and 8741, Business and Professions Code. Reference: Sections 6706.3, 6710, 6732, 6751, 6755, 6755.1, 6759, 8741, 8742, 8745 and 8748, Business and Professions Code.
HISTORY

1. Amendment filed 7-27-73; effective thirtieth day thereafter (Register 73, No. 30). For prior history, see Register 71, No. 29.
2. Amendment filed 1-15-82; effective thirtieth day thereafter (Register 82, No. 3).
3. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
4. New subsection (a)(5) filed 12-5-94; operative 1-4-95 (Register 94, No. 49).
5. Change without regulatory effect amending subsection (b) filed 7-7-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 28).
6. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
7. Repealer of subsection (a)(5) and amendment of subsection (b)(1) filed 1-25-2001; operative 2-24-2001 (Register 2001, No. 4).
8. Amendment of subsections (a)(3)-(4), new subsections (a)(5)-(6), amendment of subsections (b)(3)-(4) and new subsections (b)(5)-(6) filed 9-9-2002; operative 10-9-2002 (Register 2002, No. 37).
9. Change without regulatory effect amending section filed 7-2-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
10. Amendment of subsections (a)(4)-(6), new subsection (a)(7) and amendment of subsections (b)(4)-(6) filed 4-11-2011; operative 5-11-2011 (Register 2011, No. 15).
§439. Examination Not Permitted.
Note     •     History

A person certified or licensed by the Board in a category or branch is not permitted to take any portion of the examination for the same category or branch unless his certificate or license has expired pursuant to Section 6796.3 or Section 8803 of the Code or unless re-examination is ordered as a probationary condition pursuant to Section 419.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code, and Sections 11400.20 and 11400.21, Government Code. Reference: Sections 125.3, 6706.3, 6710, 6732, 6775, 6776, 8780 and 8781, Business and Professions Code; and Sections 11400.20, 11400.21, 11415.60, 11425.50 and 11519, Government Code.
HISTORY

1. New section filed 1-19-72; effective thirtieth day thereafter (Register 72, No. 4). For history of former section, see Register 70, No. 20.
2. Amendment of section and new Note filed 7-3-97; operative 7-3-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 27).
3. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§440. Examination Facilities. [Repealed]
History

HISTORY

1. Repealer filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
§441. Authorization to Take Examination.
Note     •     History

(a) After evaluating the qualifications of an applicant and establishing that person's eligibility for the examination, in accordance with the applicable laws and regulations administered by the board, the executive officer assigns the applicant to the next scheduled examination for which the applicant qualified.
(b) Any applicant who lacks the qualifications for admission to the examination required by Chapter 7 or 15 of the code and rules of the board shall be declared ineligible; the application shall be denied and the application fee may be partially refunded in accordance with provisions of Sections 158, 6763.5 and 8748.5 of the code. The executive officer shall notify each applicant of the reason for denying the application.
(c) Notification of the applicant's assignment and authorization to take the examination and the location shall be postmarked at least 14 days prior to the examination date.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code. Reference: Sections 6751, 6752 and 8741, Business and Professions Code.
HISTORY

1. Amendment of subsection (b) filed 2-10-76; effective thirtieth day thereafter (Register 76, No. 7).
2. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Amendment filed 6-13-89; operative 7-13-89 (Register 89, No. 25). 
§442. Examination Subversion.
Note     •     History

(a) Examination subversion is the use of any means to alter the results of an examination to cause the results to inaccurately represent the competency of an examinee. Examination subversion includes, but is not limited to:
(1) Communication between examinees inside of the examination room.
(2) Giving or receiving any unauthorized assistance on the examination while an examination is in progress.
(3) Having any unauthorized printed or written matter or other devices in his or her possession which might serve to aid the examinee on the examination.
(4) Obtaining, using, buying, selling, distributing, having possession of, or having unauthorized access to secured examination questions or other secured examination material prior to, during or after the administration of the examination.
(5) Copying another examinee's answers or looking at another examinee's materials while an examination is in progress.
(6) Permitting anyone to copy answers to the examination.
(7) Removing any secured examination materials from the examination facility.
(8) Allowing another person to take the examination in the examinee's place.
(9) Placing any identifying mark upon his or her examination papers other than his or her identification number or other identifiers as directed by the examination administrator.
(10) Use by an examinee of any written material, audio material, video material, digital material, or any other mechanism not specifically authorized during the examination for the purpose of assisting an examinee in the examination.
(11) Writing on anything other than designated examination material.
(12) Writing or erasing anything after time is called.
(b) At the discretion of the Executive Officer, if there is evidence of examination subversion by an examinee prior to, during, or after the administration of the examination, one or more of the following may occur:
(1) The examinee may be denied the privilege of taking the examination if examination subversion is detected before the administration of the examination.
(2) If the examination subversion detected has not yet compromised the integrity of the examination, such steps as are necessary to prevent further examination subversion shall be taken, and the examinee may be permitted to continue with the examination.
(3) The examinee may be requested to leave the examination facility if examination subversion is detected during the examination.
(4) The examinee may be requested to submit written advisement of his or her intent to comply with and understanding of the law.
(5) The examination results may be voided and the application fee forfeited.
(6) The examinee may not be allowed to sit for an examination for up to three (3) years.
(c) If examination subversion is detected after the administration of the examination, the Executive Officer shall make appropriate inquiry to determine the facts concerning the examination subversion and may take any of the actions as described in subdivision (b).
(d) The Executive Officer reserves the right not to release the examination results to the examinee pending the outcome of any investigation of examination subversion.
(e) Removal from or voidance of one part of a multiple-part examination taken during a single examination administration shall constitute removal from or voidance of all other parts of the multiple-part examination.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code. Reference: Sections 123, 123.5 and 496, Business and Professions Code.
HISTORY

1. Refiled 1-25-66 (Register 66, No. 3).
2. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Amendment of section heading and repealer and new section filed 3-20-2001; operative 3-20-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 12). 
§443. Inspection of Examination.
Note     •     History

(a) The following definitions as used in these regulations have the meaning expressed in this section:
(1) “Essay type problem” means an engineering or land surveying problem in which the examinee provides a free response as solution and is graded for method, computations and answers. Scoring is determined by comparing examinee solutions with pre-determined scoring plans.
(2) “Multiple-choice type problem” means an engineering or land surveying problem which requires the examinee to select an answer from a multiple response format. Computations are not considered in the grading process for multiple-choice items.
(b) Multiple-choice type problems shall not be reviewed.
(c) An applicant who meets the criteria specified in subparagraph (1) or (2) below shall be granted 8 hours to review or write an appeal for an essay type problem or problems attempted during the written examination.
(1) Who is no more than 8 points below the passing score on a National Council of Examiners for Engineering and Surveying Professional Engineering examination;
(2) Who is no more than 15% below the passing score on a State specific Professional Engineering or Professional Land Surveying examination.
(d) Time and location of the examination review or appeal session shall be designated by the executive officer.
(e) At the time of the review or appeal session, no one other than the examinee and representatives of the board shall have access to such examination papers.
(f) Evidence that the applicant erased, deleted, removed or altered the examination papers, or the material contained thereon during such inspection,may result in the applicant being disqualified by the board from taking future examinations.
(g) The applicant shall have access to his or her examination, test booklets and solutions, when reviewing or preparing an appeal of an essay type problem during the time period specified in subsection (c).
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code. Reference: Sections 6754 and 8745, Business and Professions Code.
HISTORY

1. Amendment filed 1-25-66; effective thirtieth day thereafter (Register 66, No. 3).
2. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Amendment of subsections (a) and (b) and new subsection (d) filed 3-30-90; operative 4-29-90 (Register 90, No. 15).
4. Amendment filed 11-16-95; operative 12-16-95 (Register 95, No. 46).
5. Repealer of subsection (b), new subsections (b)-(d), subsection relettering, and amendment of newly designated subsection (g) filed 8-25-98; operative 9-24-98 (Register 98, No. 35).
§444. Examination Appeal.
Note     •     History

(a) Applicants who were unsuccessful in the Professional Engineers or Professional Land Surveyor Examination will be notified by mail with the notice of results of the date and time in which they may attend a review or appeal session. The appeal fee referred to in section 407(d) must be received by the board within twenty-one (21) days from the date of the notice of the results of his or her examination. Applicants who decide to submit an appeal will be required to submit their appeal at the end of the review or appeal session.
(b) An appeal of an essay type problem of the examination shall be made in writing; and it shall state the reason for appeal, citing the item or items against which the appeal is directed; and it shall be accompanied by the appropriate appeal fee. The applicant shall identify the specific item(s) being challenged; the specific reasons for the challenge; and cite reference materials, facts, and figures to substantiate the appeal. The appeal fee shall be payable for an appeal directed at an essay type problem of the examination. An appeal may be directed to any specific essay type problem or problems or sub-parts thereof, but an appeal shall cause the entire problem to be rescored. Rescoring of an essay type problem may result in one of the following three actions: points may be added; points may be deducted; or the score may remain the same. If the appeal results in the appellant being deemed to have passed the examination, the full appeal fee shall be refunded.
(c) The executive officer may deny any appeal requesting a review of an examination that is not accompanied by information supporting the reason for such request, is not accompanied by the correct appeal fee, or is not filed within the period of time provided in paragraph (a) of this rule.
(d) The Board's decision on an appeal of an essay type problem is final and shall not be re-evaluated. A multiple-choice type problem is not appealable.
NOTE

Authority cited: Sections 6716, 6754, 8710, and 8745, Business and Professions Code. Reference: Sections 6754 and 8745, Business and Professions Code.
HISTORY

1. Amendment filed 1-25-66; effective thirtieth day thereafter (Register 66, No. 3).
2. Amendment of subsection (a) filed 1-19-72; effective thirtieth day thereafter (Register 72, No. 4).
3. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
4. Amendment of subsections (b) and (c) filed 3-30-90; operative 4-29-90 (Register 90, No. 15).
5. Amendment of subsections (b) and (c) and Note filed 9-10-91; operative 9-10-91 (Register 92, No. 2).
6. Repealer and new subsection (a), amendment of subsection (b) and new subsection (d) filed 11-16-95; operative 12-16-95 (Register 95, No. 46).
7. Editorial correction of History 1 (Register 2008, No. 37).
§445. Land Surveyor Examination. [Repealed]
Note     •     History

NOTE

Additional authority cited for Section 445, Sections 8745.5, 8746 and 8747, Business and Professions Code.
HISTORY

1. Amendment filed 7-19-67; effective thirtieth day thereafter (Register 67, No. 29).
2. Amendment of subsection (a) filed 1-19-72; effective thirtieth day thereafter (Register 72, No. 4).
3. Repealer filed 7-27-73; effective thirtieth day thereafter (Register 73, No. 30).
§446. Postponements.
Note     •     History

The executive officer may grant a postponement, not to exceed two such postponements for each application to any applicant who for reasonable cause is prevented from appearing for examination at the time fixed, provided the applicant's request for postponement and the reason therefor is filed with the principal office of the board at any time prior to the expiration of the ten (10) day period immediately following the date of such examination.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code. Reference: Sections 6754 and 8745, Business and Professions Code.
HISTORY

1. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
2. Change without regulatory effect amending section filed 1-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 3).
§447. Permissible Reference Material and Other Accessories.
Note     •     History

The executive officer shall advise each examinee when he/she is notified that he/she is assigned to an examination, what reference and other materials may be used during the examination to which he/she has been assigned.
NOTE

Authority cited: Sections 6716, 6754, 8710 and 8745, Business and Professions Code. Reference: Sections 6754 and 8745, Business and Professions Code.
HISTORY

1. New section filed 1-16-69; effective thirtieth day thereafter (Register 69, No. 3).
2. Amendment filed 1-19-71; effective thirtieth day thereafter (Register 71, No. 4).
3. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
4. Change without regulatory effect amending section filed 1-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 3).
Article 4. Miscellaneous
§460. Curricula Approved by the Board. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 6716 and 6751.5, Business and Professions Code. Reference: Sections 6751, 6751.2 and 6753 and 6751.5, Business and Professions Code.
HISTORY

1. Amendment filed 1-19-72; effective thirtieth day thereafter (Register 72, No. 4).
2. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Amendment of subsection (a) and Note filed 12-9-94; operative 12-9-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 49).
4. Repealer filed 4-11-2011; operative 5-11-2011 (Register 2011, No. 15).
§461. Testing Laboratory Reports.
Note     •     History

Reports issued by Testing Laboratories shall be prepared by or under the supervision of a licensed civil, electrical, or mechanical engineer, as appropriate, and signed or sealed by him/her whenever such reports go beyond the tabulation of test data (composition of material, breaking stress, et cetera) and proceeds to:
(a) Interpret the data to draw conclusions as to the characteristics of a civil engineering structure, an electrical or mechanical device, or parts thereof.
(b) Express civil, electrical, or mechanical engineering judgment in the form of recommendations derived from the results of the test.
(c) Perform design work in the preparation of plans, specifications, and other instruments requiring licensure as a civil, electrical, and/or mechanical engineer.
NOTE

Authority cited: Section 6716, Business and Professions Code. Reference: Sections 6706.3, 6710, 6730, 6731, 6732, 6735, 6735.3 and 6735.4, Business and Professions Code.
HISTORY

1. Amendment filed 1-16-69; effective thirtieth day thereafter (Register 69, No. 3).
2. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§461.1. Traffic Engineering. [Repealed]
Note     •     History

NOTE

Authority cited: Section 6716, Business and Professions Code.
HISTORY

1. New section filed 7-16-71; effective thirtieth day thereafter (Register 71, No. 29).
2. Repealer filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
§462. Concrete Building. [Repealed]
History

HISTORY

1. Repealer filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
§463. Notice of Association or Disassociation with Partnership, Firm, or Corporation.
Note     •     History

(a) A professional engineer who is associated as the partner, member, officer, or employee in responsible charge of professional engineering services offered or performed by a firm, partnership, or corporation shall notify the Board within thirty (30) days of such association or termination of association on a form approved by the Board.
(b) A licensed land surveyor and/or civil engineer who practices or offers to practice land surveying, according to the provisions of Section 8729 of the Code, as a partner, member, or officer of a partnership, firm, or corporation shall advise the Board within thirty (30) days of such association or termination of association on a form approved by the Board.
(c) A licensed photogrammetric surveyor who is associated as a member, partner, officer, or employee in a firm, partnership, or corporation which offers or performs photogrammetric surveying services according to the provisions of Article 5.5 of the Professional Land Surveyors' Act shall notify the Board within thirty (30) days of such association or termination of association on a form approved by the Board.
(d) A firm which contains partners, members or officers as described above will be allowed six months following the death, disassociation, or retirement of a member, partner, or officer whose name the firm, partnership or corporation carried in its firm title to make a written request to the Board for an investigation pursuant to the requirements of Section 6738(e) of the Code. The Board will determine if such firm is eligible to continue use of its firm title without change.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code. Reference: Sections 6731.2, 6737.2, 6738, 6740, 8729, 8730 and 8731, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 6-1-73 as an emergency; effective upon filing (Register 73, No. 22). For prior history, see Register 71, No. 29.
2. Certificate of Compliance filed 9-7-73 (Register 73, No. 36).
3. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
4. Change without regulatory effect repealing subsection (e) filed 7-20-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
5. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§463.5. Providing Notice of Licensure.
Note     •     History

Every licensee shall provide notice to his or her clients that the licensee is licensed by the Board for Professional Engineers, Land Surveyors, and Geologists. Notice shall be provided by one or more of the following methods:
(a) Displaying his or her wall certificate in a public area; or office; or individual work area of the premises where the licensee provides the licensed service.
(b) Providing a statement to each client that states the client understands the licensee is licensed by the Board for Professional Engineers, Land Surveyors, and Geologists. Said statement shall be signed and dated by the client and shall be retained in the licensee's records.
(c) Including a statement that the licensee is licensed by the Board for Professional Engineers, Land Surveyors, and Geologists either on letterhead or on a contract for services. If said statement is included on a contract for services, it shall be placed immediately above the signature line for the client in at least 12 point type.
(d) Posting a notice in a public area of the premises where the licensee provides the licensed services that states the named licensee is licensed by the Board for Professional Engineers, Land Surveyors, and Geologists. Said notice shall be in at least 48 point type.
NOTE

Authority cited: Sections 138, 6716 and 8710, Business and Professions Code. Reference: Section 138, Business and Professions Code.
HISTORY

1. New section filed 2-9-2000; operative 3-10-2000 (Register 2000, No. 6).  
2. Change without regulatory effect amending section filed 2-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 8).
§464. Corner Record.
Note     •     History

(a) The corner record required by Section 8773 of the Code for the perpetuation of monuments shall contain the following information for each corner identified therein:
(1) The county and, if applicable, city in which the corner is located.
(2) An identification of the township, range, base, and meridian in which the corner is located, if applicable.
(3) Identification of the corner type (example: government corner, control corner, property corner, etc.).
(4) Description of the physical condition of 
(A) the monument as found and
(B) any monuments set or reset.
(5) The date of the visit to the monument when the information for the corner record was obtained.
(6) For Public Land Corners for which a corner record is required by Section 8773(a) of the Code, a sketch shall be made showing site recovery information that was used for the corner. For other kinds of corners, a drawing shall be made which shows measurements that relate the corner to other identifiable monuments.
(7) A reference to the California Coordinate System, is optional at the discretion of the preparer of the record.
(8) The date of preparation of the corner record and, as prescribed by Section 8773.4 of the Code, the signature and title of the chief of the survey party if the corner record is prepared by a United States Government or California State agency or the signature and seal of the land surveyor or civil engineer, as defined in Section 8731 of the Code, preparing the corner record.
(9) The date the corner record was filed and the signature of the county surveyor.
(10) A document or filing number.
(b) A corner record shall be filed for each public land survey corner which is found, reset, or used as control in any survey by a land surveyor or a civil engineer. Exceptions to this rule are identified in Section 8773.4 of the Code.
(c) The corner record shall be filed within 90 days from the date a corner was found, set, reset, or used as control in any survey. The provisions for extending the time limit shall be the same as provided for a record of survey in Section 8762 of the Code.
(d) A corner record may be filed for any property corner, property controlling corner, reference monument, or accessory to a property corner, together with reference to record information. Such corner record may show one or more property corners, property controlling corners, reference monuments, or accessories to property corners on a single corner record document so long as it is legible, clear, and understandable.
(e) When conducting a survey which is a retracement of lines shown on a subdivision map, official map, or a record of survey, where no material discrepancies with these records are found and where sufficient monumentation is found to establish the precise location of property corners thereon, a corner record may be filed in lieu of a record of survey for any property corners which are set or reset or found to be of a different character than indicated by prior records. Such corner records may show one or more property corners, property controlling corners, reference monuments, or accessories to property corners on a single corner record document so long as it is legible, clear, and understandable.
(f) The standard markings and standard abbreviations used by the Bureau of Land Management (formerly the General Land Office) of the United States Department of the Interior shall be used in the corner record.
(g) The corner record shall be filed on a form prescribed by the Board. The approved form is BORPELS-1297.
NOTE

Authority cited: Sections 8710 and 8773.1, Business and Professions Code. Reference: Sections 8762, 8765, 8773, 8773.1, 8773.2, 8773.3 and 8773.4, Business and Professions Code.
HISTORY

1. New section filed 11-4-74; effective thirtieth day thereafter (Register 74, No. 45). For history of former section, see Register 71, No. 29.
2. Repealer of subsection (f) filed 12-4-79 as an emergency; effective upon filing (Register 79, No. 49). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 4-3-79.
3. Certificate of Compliance transmitted to OAL 3-27-80 and filed 4-9-80 (Register 80, No. 15).
4. Amendment filed 2-14-92; operative 3-16-92 (Register 92, No. 12).
5. Amendment of subsection (e) filed 10-7-93; operative 11-8-93 (Register 93, No. 41).
6. Change without regulatory effect amending subsection (g) and Note filed 1-6-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 2).
7. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§465. Records of Survey--Public Officers.
Note     •     History

A public officer who has performed a survey which is subject to the requirements of Section 8762 of the code, shall file a record of survey map or comply with Section 8765(a) of the code. In either event, the public officer shall file the information required by Section 8765(a) of the code relating to his or her survey within the time limit provided for in Section 8762 of the code.
NOTE

Authority cited: Sections 8710 and 8771, Business and Professions Code. Reference: Sections 8762-8770.5, Business and Professions Code.
HISTORY

1. New section filed 2-1-65; effective thirtieth day thereafter (Register 65, No. 3).
2. Amendment filed 1-25-66; effective thirtieth day thereafter (Register 66, No. 3).
3. Amendment filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
4. Amendment filed 2-14-92; operative 3-16-92 (Register 92, No. 12).
5. Editorial correction of section heading and deleting duplicate section (Register 95, No. 14).
§466. Registration Without Examination. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 6700, 6700.1, 6716 and 6717, Business and Professions Code. Reference: Sections 6700.1, 6716 and 6717, Business and Professions Code.
HISTORY

1. New section filed 3-6-75; effective thirtieth day thereafter (Register 75, No. 10).
2. New subsection (j) filed 2-10-76; effective thirtieth day thereafter (Register 76, No. 7).
3. Repealer of subsection (j) filed 7-3-80; effective thirtieth day thereafter (Register 80, No. 27)
4. Repealer filed 8-10-83; effective thirtieth day thereafter (Register 83, No. 33).
§467. Industrial Engineers. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 6716 and 6767.5, Business and Professions Code.
HISTORY

1. Repealer filed 7-27-73; effective thirtieth day thereafter (Register 73, No. 30). For prior history, see Register 70, No. 47.
§468. Electrical or Mechanical Engineers. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 6716 and 6730.1, Business and Professions Code.
HISTORY

1. Amendment filed 1-19-71; effective thirtieth day thereafter (Register 71, No 4). For prior history, see Register 69, No. 29.
2. Repealer filed 7-27-73; effective thirtieth day thereafter (Register 73, No. 30).
§469. Permission to Use the Title “Consulting Engineer.” [Repealed]
Note     •     History

NOTE

Authority cited: Section 6716, Business and Professions Code. Reference: Section 6732.1, Business and Professions Code.
HISTORY

1. New section filed 3-20-69 as emergency; effective upon filing (Register 69, No. 12).
2. Certificate of Compliance--Section 11422.1, Gov. Code, filed 7-17-69 (Register 69, No. 29).
3. Repealer filed 11-7-77; effective thirtieth day thereafter (Register 77, No. 46).
§470. Application Response.
Note     •     History

(a) The following timeframes, based on taking and passing the first available examination, shall apply to applications for licensure as a professional engineer or as a professional land surveyor when an examination is required:
(1) Within 150 calendar days of receipt of an application, the Board shall inform the applicant in writing that the application is either accepted for filing or that it is deficient and what specific information or documentation is required to complete the application.
(2) A complete application shall include a score for all parts of the examination. Within 60 calendar days after the filing of a complete application, the Board shall make a decision regarding the applicant's eligibility for licensure.
(b) The following timeframes, based on taking and passing the first available examination, shall apply to applications for certification to use the titles “Engineer-in-Training” or “Land Surveyor-in-Training” when an examination is required:
(1) Within 75 calendar days of receipt of an application, the Board shall inform the applicant in writing that the application is either accepted for filing or that it is deficient and what specific information or documentation is required to complete the application.
(2) A complete application shall include a score for the examination. Within 60 calendar days after the filing of a complete application, the Board shall make a decision regarding the applicant's eligibility to use either the title “Engineer-In-Training” or “Land-Surveyor-In-Training.”
(c) The following timeframes shall apply to applications for licensure as a professional engineer or as a professional land surveyor when comity licensure is applied for and when no examination is required:
(1) Within 125 calendar days of receipt of a comity application, the Board shall inform the applicant in writing that the application is either accepted for filing and complete or that it is deficient and what specific information or documentation is required to complete the application.
(2) Within 60 calendar days after the date of filing of a complete application, the Board shall make a decision regarding the application for licensure.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code; and Section 15376, Government Code. Reference: Sections 6706.3, 6710, 6732, 6750-6755.1 and 8740-8753, Business and Professions Code; and Sections 15374-15378, Government Code.
HISTORY

1. New section filed 8-21-89; operative 9-20-89 (Register 89, No. 34). For history of former Section 470, see Register 83,No. 33.
2. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§471. Processing Time.
Note     •     History

The Board's time periods are based upon an applicant taking and passing the first available examination and for processing an application from the receipt of the initial application to the final decision regarding issuance or denial of licensure based on the Board's actual performance during the two years preceding the proposal of this section:
(a) The median time was 255 days.
(b) The minimum time was 10 days.
(c) The maximum time was 1548 days.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code; and Sections 15374-15378, Government Code. Reference: Sections 6706.3, 6710, 6732, 6750-6755.1 and 8740-8753, Business and Professions Code; and Sections 15374-15378, Government Code.
HISTORY

1. New section filed 8-21-89; operative 9-20-89 (Register 89, No. 34).
2. Change without regulatory effect amending first paragraph and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§472. Citations of Unlicensed Persons.
Note     •     History

(a) The Executive Officer or his or her designee may issue a citation for any violation of any provision of law enforced by the Board to an unlicensed person who, unless otherwise exempt, is acting in the capacity of a professional engineer or professional land surveyor.
(b) Each citation
(1) shall be in writing;
(2) shall describe with particularity the nature of the violation, including specific reference to the provision or provisions of law determined to have been violated;
(3) shall contain an assessment of an administrative fine, an order of abatement fixing a reasonable period of time for abatement of the violation, or both an administrative fine and an order of abatement;
(4) shall be served on the cited person at the last known business or residence address personally or by certified mail with return receipt requested;
(5) shall inform the cited person that failure to pay the fine within 30 calendar days of the date of assessment, unless the citation is being appealed, may result in the Executive Officer applying to the appropriate superior court for a judgment in the amount of the administrative fine;
(6) shall inform the cited person that, if he/she desires an informal conference to contest the finding of a violation, the informal conference shall be requested by written notice to the Board within 30 calendar days from service of the citation;
(7) shall inform the cited person that, if he or she desires a hearing to contest the finding of a violation, that hearing shall be requested by written notice to the Board within 30 calendar days from service of the citation.
NOTE

Authority cited: Sections 125.9, 148, 6716 and 8710, Business and Professions Code. Reference: Sections 125.9, 148, 6786, 6787, 8791 and 8792, Business and Professions Code.
HISTORY

1. New section filed 8-16-95; operative 9-15-95 (Register 95, No. 33).
2. Change without regulatory effect amending section heading, section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
3. Amendment of section and Note filed 12-23-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52).  
§472.1. Assessment of Administrative Fine.
Note     •     History

(a) In no event shall the administrative fine be less than $50 or exceed $5,000 for each violation.
(b) In determining the amount of an administrative fine, the Executive Officer shall consider the following factors:
(1) The nature and severity of the violation;
(2) The good or bad faith exhibited by the cited person;
(3) The history of previous violations;
(4) The extent to which the cited person has cooperated with the Board and the Board's investigation;
(5) The extent to which the cited person has mitigated or attempted to mitigate any damage or injury caused by his/her violation;
(6) Any factors in extenuation or aggravation related to the violation;
(7) Other matters as may be appropriate.
NOTE

Authority cited: Sections 125.9, 148, 6716 and 8710, Business and Professions Code. Reference: Sections 125.9, 148, 6786, 6787, 8791 and 8792, Business and Professions Code.
HISTORY

1. New section filed 8-16-95; operative 9-15-95 (Register 95, No. 33).
2. Amendment of section and Note filed 12-23-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52).  
3. Change without regulatory effect amending subsection (a) filed 7-9-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 28).
§472.2. Appeal of Citations.
Note     •     History

(a) Any person served with a citation issued pursuant to Section 472 may contest the citation by submitting a written request for a hearing to the Board within 30 calendar days of service of the citation. Such hearings shall be conducted pursuant to the Administrative Procedure Act, Chapters 4.5 and 5, commencing with Section 11400) of Part 1 of Division 3 of Title 2 of the Government Code.
(b) In addition to requesting a hearing as described in subsection (a), the cited person may, within 30 calendar days of service of the citation, submit a written request for an informal conference with the Executive Officer.
(c) The Executive Officer may, within 30 working days from receipt of a written request for an informal conference as provided in subsection (b), hold an informal conference with the cited person and/or his or her legal counsel or authorized representative. The 30-day period may be extended by the Executive Officer for good cause. Following the informal conference, the Executive Officer may affirm, modify, or dismiss the citation, including any administrative fine assessed or order of abatement issued. An order affirming, modifying, or dismissing the original citation shall be served on the cited person within 30 calendar days from the informal conference. Said order shall state in writing the reasons for the affirmation, modification, or dismissal of the original citation. If the order affirms or modifies the original citation, said order shall fix a reasonable period of time for abatement of the violation or payment of the fine. Service of this order shall be made as provided in Section 472. This order shall be considered the conclusion of the informal conference proceedings.
(d) If the citation is affirmed or modified following the informal conference, the cited person may request a hearing as provided in subsection (a) within 30 calendar days from service of the order described in subsection (c). The cited person shall not be permitted to request another informal conference.
(e) If the citation is dismissed after the informal conference, the request for a hearing, if any, shall be deemed to be withdrawn.
(f) Submittal of a written request for a hearing as provided in subsection (a), an informal conference as provided in subsection (b), or both stays the time period in which to abate the violation and/or pay the fine.
(g) If the written request for a hearing as provided in subsection (a) or an informal conference as provided in subsection (b) or both is not submitted within 30 calendar days from service of the citation, the cited person is deemed to have waived his/her right to a hearing or an informal conference.
NOTE

Authority cited: Sections 125.9, 148, 6716 and 8710, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 8-16-95; operative 9-15-95 (Register 95, No. 33).
2. Amendment of section and Note filed 12-23-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52).  
§472.3. Compliance with Order.
Note     •     History

(a) If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his/her control after the exercise of reasonable diligence, then he/she may request from the Executive Officer an extension of time within which to complete the correction. Such a request shall be in writing and shall be made within the time set forth for abatement.
(b) Failure of an applicant for licensure as a professional engineer or as a professional land surveyor to abate the violation or to pay the fine within the time allowed is a ground for denial of licensure.
(c) Notwithstanding any other provision of the law, the Executive Officer may waive all or part of an administrative fine if the person against whom the citation is assessed satisfactorily completes all the requirements for, and is issued, a license.
(d) If the cited person fails to pay the assessed fine within the time allowed, the Executive Officer may apply to the appropriate superior court for a judgment in the amount of the administrative fine.
(e) If a hearing as provided in Section 472.2(a) is not requested, payment of the fine shall not constitute an admission of the violation charged.
(f) Payment of the fine shall be represented as satisfactory resolution of the matter for purposes of public disclosure.
NOTE

Authority cited: Sections 125.9, 148, 6716 and 8710, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 8-16-95; operative 9-15-95 (Register 95, No. 33).
2. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
3. Amendment of section heading, section and Note filed 12-23-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52).  
§472.4. Disconnection of Telephone Service.
Note     •     History

(a) If, upon investigation, the Executive Officer has cause to believe that an unlicensed individual acting in the capacity of a professional engineer or professional land surveyor, who is not otherwise exempted from the provisions of Professional Engineers Act or the Professional Land Surveyors' Act, has violated Sections 6787 or 8792 of the Code by advertising in a telephone directory, without being properly licensed, the Executive Officer may issue a citation under Section 472 containing an order of abatement which requires the cited person to both cease the unlawful advertising and notify the telephone company furnishing services to the cited person to disconnect the telephone services furnished to any telephone number contained in the unlawful advertising, and that subsequent calls to that number shall not be referred by the telephone company to any new telephone number obtained by that person. The cited person shall provide written evidence of compliance to the Executive Officer.
(b) If the cited person fails to comply with an order of abatement as described in subsection (a) within the time allowed, the Executive Officer shall inform the Public Utilities Commission of the violation in accordance with Business and Professions Code section 149.
NOTE

Authority cited: Sections 125.9, 148, 149, 6716 and 8710, Business and Professions Code. Reference: Sections 125.9, 148 and 149, Business and Professions Code.
HISTORY

1. New section filed 8-16-95; operative 9-15-95 (Register 95, No. 33).
2. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
3. Amendment of section and Note filed 12-23-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52).  
§473. Citations of Licensed Persons.
Note     •     History

(a) The Executive Officer or his or her designee may issue a citation for any violation of any provision of law enforced by the Board to any person who holds a license issued by the Board.
(b) Prior to the issuance of a citation in any case involving allegations of negligence and/or incompetence, as defined in Section 404, in the professional practice, the Executive Officer shall submit the alleged violation for review to at least one licensee of the Board who is competent in the branch of professional engineering or professional land surveying most relevant to the subject matter of the citation. The licensee reviewing the alleged violation shall be either a member of the Board's professional staff, a technical advisory committee member, or an expert consultant. Upon conclusion of the review, the reviewer shall prepare a finding of fact and a recommendation based upon that finding to which the Executive Officer shall give due consideration in determining whether cause exists to issue a citation.
(c) Each citation
(1) shall be in writing;
(2) shall describe with particularity the nature of the violation, including specific reference to the provision or provisions of law determined to have been violated;
(3) may contain an assessment of an administrative fine, an order of abatement fixing a reasonable period of time for abatement of the violation, or both an administrative fine and an order of abatement;
(4) shall be served on the cited person at the address of record on file with the Board personally or by certified mail with return receipt requested;
(5) shall inform the cited person that failure to pay the fine within 30 calendar days of the date of assessment, unless the citation is being appealed, may result in disciplinary action being taken by the Board. If a citation is not contested and the fine is not paid, the full amount of the assessed fine shall be added to the fee for renewal of the license. A license shall not be renewed without the payment of the renewal fee and fine;
(6) shall inform the cited person that, if he/she desires an informal conference to contest the finding of a violation, the informal conference shall be requested by written notice to the Board within 30 calendar days from service of the citation;
(7) shall inform the cited person that, if he or she desires a hearing to contest the finding of a violation, that hearing shall be requested by written notice to the Board within 30 calendar days from service of the citation.
NOTE

Authority cited: Sections 125.9, 6716 and 8710, Business and Professions Code. Reference: Sections 125.9, 6775, 6786, 8780 and 8791, Business and Professions Code.
HISTORY

1. New section filed 8-16-95; operative 9-15-95 (Register 95, No. 33).
2. Change without regulatory effect amending section heading, section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
3. Amendment of section and Note filed 12-23-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52).  
4. Amendment of subsection (b) filed 8-25-2005; operative 9-24-2005 (Register 2005, No. 34).
§473.1. Assessment of Administrative Fines.
Note     •     History

(a) In no event shall the administrative fine be less than $50 or exceed $5,000 for each violation.
(b) In determining the amount of an administrative fine, the Executive Officer shall consider the following factors:
(1) The nature and severity of the violation;
(2) The good or bad faith exhibited by the cited person;
(3) The history of previous violations;
(4) The extent to which the cited person has cooperated with the Board and the Board's investigation;
(5) The extent to which the cited person has mitigated or attempted to mitigate any damage or injury caused by his/her violation;
(6) Any factors in extenuation or aggravation related to the violation;
(7) Other matters as may be appropriate.
NOTE

Authority cited: Sections 125.9, 6716 and 8710, Business and Professions Code. Reference: Sections 125.9, 6775, 6786, 8780 and 8791, Business and Professions Code.
HISTORY

1. New section filed 8-16-95; operative 9-15-95 (Register 95, No. 33).
2. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
3. Amendment of section and Note filed 12-23-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52).  
4. Change without regulatory effect amending subsection (a) and Note filed 7-9-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 28).
§473.2. Appeal of Citations.
Note     •     History

(a) Any person served with a citation issued pursuant to Section 473 may contest the citation by submitting a written request for a hearing to the Board within 30 calendar days of service of the citation. Such hearings shall be conducted pursuant to the Administrative Procedure Act, Chapters 4.5 and 5, commencing with Section 11400) of Part 1 of Division 3 of Title 2 of the Government Code.
(b) In addition to requesting a hearing as described in subsection (a), the cited person may, within 30 calendar days of service of the citation, submit a written request for an informal conference with the Executive Officer.
(c) The Executive Officer shall, within 30 working days of receipt of a written request for an informal conference as provided in subsection (b), hold an informal conference with the cited person and/or his or her legal counsel or authorized representative. The 30-day period may be extended by the Executive Officer for good cause. Following the informal conference, the Executive Officer may affirm, modify, or dismiss the citation, including any administrative fine assessed or order of abatement issued. An order affirming, modifying, or dismissing the original citation shall be served on the cited person within 30 calendar days from the informal conference. Said order shall state in writing the reasons for the affirmation, modification, or dismissal of the original citation. If the order affirms or modifies the original citation, said order shall fix a reasonable period of time for abatement of the violation or payment of the fine. Service of this order shall be made as provided in Section 473. This order shall be considered the conclusion of the informal conference proceedings.
(d) If the citation is affirmed or modified following the informal conference, the cited person may request a hearing as provided in subsection (a) within 30 calendar days from service of the order described in subsection (c). The cited person shall not be permitted to request another informal conference.
(e) If the citation is dismissed after the informal conference, the request for a hearing, if any, shall be deemed to be withdrawn.
(f) Submittal of a written request for a hearing as provided in subsection (a), an informal conference as provided in subsection (b), or both stays the time period in which to abate the violation and/or to pay the fine.
(g) If the written request for a hearing as provided in subsection (a) or an informal conference as provided in subsection (b) or both is not submitted within 30 calendar days from service of the citation, the cited person is deemed to have waived his/her right to a hearing or an informal conference.
NOTE

Authority cited: Sections 125.9, 6716 and 8710, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 8-16-95; operative 9-15-95 (Register 95, No. 33).
2. Amendment of section and Note filed 12-23-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52).  
§473.3. Compliance with Citations.
Note     •     History

(a) If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his/her control after the exercise of reasonable diligence, then he/she may request from the Executive Officer an extension of time within which to complete the correction. Such a request shall be in writing and shall be made within the time set forth for abatement.
(b) Failure of the cited person to abate the violation or to pay the fine within the time allowed is grounds for suspension or revocation of the cited person's license.
(c) If the cited person fails to pay all of the fine within the time allowed, the balance due for the fine shall be added to the renewal fee for the license, and the license shall not be renewed until the fine is paid in full.
(d) If a hearing as provided in Section 473.2(a) is not requested, payment of the fine shall not constitute an admission of the violation charged.
(e) Payment of the fine shall be represented as satisfactory resolution of the matter for purposes of public disclosure.
NOTE

Authority cited: Sections 125.9, 6716 and 8710, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 8-16-95; operative 9-15-95 (Register 95, No. 33).
2. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
3. Amendment of section heading, section and Note filed 12-23-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52).  
§473.4. Disconnection of Telephone Service.
Note     •     History

(a) If, upon investigation, the Executive Officer has cause to believe that a professional engineer or professional land surveyor, who is not otherwise exempted from the provisions of the Professional Engineers Act or the Professional Land Surveyors' Act, has violated Sections 6787 or 8792 of the Code by advertising in a telephone directory, without being properly licensed, the Executive Officer may issue a citation under Section 473 containing an order of abatement which requires the cited person to both cease the unlawful advertising and notify the telephone company furnishing services to the cited person to disconnect the telephone services furnished to any telephone number contained in the unlawful advertising, and that subsequent calls to that number shall not be referred by the telephone company to any new telephone number obtained by that person. The cited person shall provide written evidence of compliance to the Executive Officer.
(b) If the cited person fails to comply with an order of abatement as described in subsection (a) within the time allowed, the Executive Officer shall inform the Public Utilities Commission of the violation in accordance with Business and Professions Code section 149.
NOTE

Authority cited: Sections 125.9, 148, 149, 6716 and 8710, Business and Professions Code. Reference: Sections 125.9, 148 and 149, Business and Professions Code.
HISTORY

1. New section filed 8-16-95; operative 9-15-95 (Register 95, No. 33).
2. Change without regulatory effect amending subsection (a) and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
3. Amendment of section and Note filed 12-23-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52).  
§474. Establishment of Criteria.
Note     •     History

The criteria for the selection of a contractor are: professional excellence, demonstrated competence, specialized experience of the person, education and experience, ability to meet schedules, nature and quality of completed work, reliability of the person, location and other considerations the Executive Officer deems necessary to the performance of the contract.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code; and Section 4526, Government Code. Reference: Section 4526, Government Code.
HISTORY

1. New section filed 4-6-95 as an emergency; operative 4-6-95 (Register 95, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-4-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-6-95 order transmitted to OAL 8-4-95 and filed 9-18-95 (Register 95, No. 38).
§474.1. Request for Qualifications.
Note     •     History

(a) Where a project requires professional engineering or land surveying services the Executive Officer shall make a statewide request for qualifications through the publications of the respective professional societies and in other appropriate publications.
(b) The request for qualifications shall contain the following information: the nature of the work, the criteria upon which the award shall be made, the name of the contact person, the address to send statements of qualifications and performance data, and the deadline by which the statements must be received.
(c) The Executive Officer shall provide a copy of each request for qualifications to all small businesses who have indicated an interest in receiving the request. A failure of the Executive Officer to send a copy of a request for qualifications to any person shall not operate to preclude any contract.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code; and Section 4526, Government Code. Reference: Section 4527, Government Code.
HISTORY

1. New section filed 4-6-95 as an emergency; operative 4-6-95 (Register 95, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-4-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-6-95 order transmitted to OAL 8-4-95 and filed 9-18-95 (Register 95, No. 38).
3. Change without regulatory effect amending section filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§474.2. Selection of Engineers and Land Surveyors.
Note     •     History

After expiration of the deadline stated in the publications, as specified in Section 474.1, the Executive Officer, in conjunction with no less than three persons selected by the Executive Officer, shall evaluate statements of qualifications and performance data of firms which have been submitted to the Board. Based upon the statement of qualifications and performance data, a list ranking the qualified firms will be made.
From a list of three or more qualified firms, the Executive Officer shall select the first three ranked firms for contract negotiation to provide the services required. Where three qualified firms cannot be found which could provide the required service, the Executive Officer may then select from the available firms or issue a new request for proposal. Selections based on less than three firms must be documented with the names and addresses of firms contacted by the Executive Officer and the reasons why the provisions of this section could not be met. This documentation shall be maintained in the Boards Contract file.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code; and Sections 4525, 4526 and 4528, Government Code. Reference: Section 4528, Government Code.
HISTORY

1. New section filed 4-6-95 as an emergency; operative 4-6-95 (Register 95, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-4-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-6-95 order including amendment of section and Note transmitted to OAL 8-4-95 and filed 9-18-95 (Register 95, No. 38).
§474.3. Conflict of Interest/Unlawful Activity.
Note     •     History

Governmental agency employees who are related to persons seeking to contract under these regulations shall not participate in any aspect of the contract review or selection process.
Further, any practice that results in an unlawful activity including, but not limited to, rebates, kickbacks, or any other unlawful consideration shall be prohibited.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code; and Section 4526, Government Code. Reference: Section 4526, Government Code.
HISTORY

1. New section filed 4-6-95 as an emergency; operative 4-6-95 (Register 95, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-4-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-6-95 order including amendment of Note transmitted to OAL 8-4-95 and filed 9-18-95 (Register 95, No. 38).
3. Change without regulatory effect amending section filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§474.4. Amendments.
Note     •     History

In instances where the Board effects a necessary change in the project during the course of performance of the contract, the contractor's compensation may be adjusted by negotiation of a mutual written agreement in a fair and reasonable amount where the amount of work to be performed by the contractor is changed from that which the parties had originally contemplated.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code; and Section 4526, Government Code. Reference: Section 4528, Government Code.
HISTORY

1. New section filed 4-6-95 as an emergency; operative 4-6-95 (Register 95, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-4-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-6-95 order transmitted to OAL 8-4-95 and filed 9-18-95 (Register 95, No. 38).
3. Change without regulatory effect amending section filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§474.5. Contracting in Phases.
Note     •     History

Should the Board determine that it is necessary or desirable to have a given project performed in phases, it will not be necessary to negotiate the total contract price or compensation provisions in the initial instance, provided that the Board shall have determined that the person is best qualified to perform the whole project at a fair and reasonable cost, and the contract contains provisions that the Board, at it option, may utilize the person for other phases and that the person will accept a fair and reasonable price for subsequent phases to be later negotiated and reflected in a subsequent written instrument. The procedure with regard to negotiation provided for in Section 6106 of the Public Contract Code shall be applicable.
NOTE

Authority cited: Sections 6716 and 8710, Business and Professions Code; and Section 4526, Government Code. Reference: Section 4528, Government Code.
HISTORY

1. New section filed 4-6-95 as an emergency; operative 4-6-95 (Register 95, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-4-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-6-95 order transmitted to OAL 8-4-95 and filed 9-18-95 (Register 95, No. 38).
3. Change without regulatory effect amending section filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§475. Code of Professional Conduct -- Professional Engineering.
Note     •     History

To protect and safeguard the health, safety, welfare, and property of the public, every person who is licensed by the Board as a professional engineer, including licensees employed in any manner by a governmental entity or in private practice, shall comply with this Code of Professional Conduct. A violation of this Code of Professional Conduct in the practice of professional engineering constitutes unprofessional conduct and is grounds for disciplinary action pursuant to Section 6775 of the Code. This Code of Professional Conduct shall be used for the sole purpose of investigating complaints and making findings thereon under Section 6775 of the Code. 
(a) Compliance with Laws Applicable to a Project: 
A licensee shall provide professional services for a project in a manner that is consistent with the laws, codes, ordinances, rules, and regulations applicable to that project. A licensee may obtain and rely upon the advice of other professionals (e.g., architects, attorneys, professional engineers, professional land surveyors, and other qualified persons) as to the intent and meaning of such laws, codes, and regulations. 
(b) Conflict of Interest: 
(1) If a licensee provides professional services for two or more clients on a project or related projects, the licensee shall disclose in writing to those clients and property owners or their authorized representatives his or her relationship to those clients. 
(2) If a licensee has a business association or a financial interest which may influence his or her judgment in connection with the performance of professional services, the licensee shall fully disclose in writing to his or her client(s) or employer(s) the nature of the business association or the financial interest. 
(3) A licensee shall not solicit or accept payments, rebates, refunds, or commissions, whether in the form of money or otherwise, from contractors or suppliers of material, systems, or equipment in return for specifying their products to a client or employer of the licensee. 
(4) A licensee, while engaged by a governmental agency as an officer, employee, appointee, agent, or consultant of that agency shall not engage in a professional engineering business or activity that may be subject to that licensee's direct or indirect control, inspection, review, audit, or enforcement on behalf of that agency, unless the circumstances are disclosed to and approved by that agency in writing prior to such engagement. 
(c) Representations: 
(1) A licensee shall not misrepresent his or her qualifications to a prospective or existing client or employer. 
(2) A licensee shall not misrepresent to a prospective or existing client the licensee's scope of responsibility in connection with projects or services for which the licensee is receiving or will receive compensation from that client. 
(3) A licensee shall not misrepresent his or her scope of responsibility in connection with projects or services for which the licensee is claiming credit. 
(4) A licensee shall not misrepresent nor permit the misrepresentation of his or her professional qualifications, or affiliations or the affiliations or purposes of the institutions, organizations, or other businesses with which he or she is associated. 
(5) When providing information in connection with a person's application for a license to practice professional engineering, a licensee shall accurately represent his or her knowledge of the applicant's qualifications. 
(6) A licensee may advertise or solicit for any services for which he or she is authorized by licensure. 
(7) A licensee shall only express professional opinions that have a basis in fact or experience or accepted engineering principles. 
(8) A licensee shall attribute proper credit to others for their professional work or professional contribution and shall not misappropriate the professional work of others. 
(9) A licensee shall not knowingly permit the publication or use of his or her data, reports, plans, or other professional documents for unlawful purposes. 
(10) A licensee shall not falsely or maliciously injure or attempt to injure the reputation or business of others. 
(11) A licensee shall not misrepresent data and/or its relative significance in any professional engineering report. 
(d) Confidential Information: 
Confidential information obtained by a licensee, in his or her professional capacity, concerning a client, employer, or other related party shall not be disclosed by the licensee without the permission of the client, employer, or other related party except for the following: 
(1) Disclosures made in response to an order of the court or to a subpoena or summons enforceable by an order of the court. 
(2) Disclosures made in an adjudicatory proceeding. 
(3) Disclosures made in response to an official inquiry from a governmental regulatory agency. 
(4) Disclosures made when required by law. 
(5) Disclosures made upon discovering a hazard within the licensee's field of professional expertise which may threaten the health, safety, and welfare of the public. 
(6) Disclosures made when providing evidence to the Board regarding other licensees or unlicensed individuals who may have violated the Professional Engineers Act. 
(7) Disclosures made regarding illegal conduct. 
As used in this section, “confidential information” means information identified as confidential by the licensee's client, employer, or other related party. 
(e) Document Submittal: 
(1) A licensee shall not misrepresent the completeness of the professional documents he or she submits to a governmental agency. 
(2) A licensee shall not misrepresent the completeness of the professional documents he or she prepared to his or her client or to other involved parties. 
NOTE

Authority cited: Section 6716, Business and Professions Code. Reference: Sections 6716 and 6775, Business and Professions Code. 
HISTORY

1. New section filed 6-4-2003; operative 7-4-2003 (Register 2003, No. 23).
§476. Code of Professional Conduct -- Professional Land Surveying.
Note     •     History

To protect and safeguard the health, safety, welfare, and property of the public, every person who is licensed by the Board as a professional land surveyor or professional civil engineer legally authorized to practice land surveying, including licensees employed in any manner by a governmental entity or in private practice, shall comply with this Code of Professional Conduct. A violation of this Code of Professional Conduct in the practice of professional land surveying constitutes unprofessional conduct and is grounds for disciplinary action pursuant to Section 8780 of the Code. This Code of Professional Conduct shall be used for the sole purpose of investigating complaints and making findings thereon under Section 8780 of the Code. 
(a) Compliance with Laws Applicable to a Project: 
A licensee shall provide professional services for a project in a manner that is consistent with the laws, codes, ordinances, rules, and regulations applicable to that project. A licensee may obtain and rely upon the advice of other professionals (e.g., architects, attorneys, professional engineers, professional land surveyors, and other qualified persons) as to the intent and meaning of such laws, codes, and regulations. 
(b) Conflict of Interest: 
(1) If a licensee provides professional services for two or more clients on a project or related projects, the licensee shall disclose in writing to those clients and property owners or their authorized representatives his or her relationship to those clients. 
(2) If a licensee has a business association or a financial interest which may influence his or her judgment in connection with the performance of professional services, the licensee shall fully disclose in writing to his or her client(s) or employer(s) the nature of the business association or the financial interest. 
(3) A licensee shall not solicit or accept payments, rebates, refunds, or commissions, whether in the form of money or otherwise, from contractors or suppliers of material, systems, or equipment in return for specifying their products to a client or employer of the licensee. 
(4) A licensee, while engaged by a governmental agency as an officer, employee, appointee, agent, or consultant of that agency shall not engage in a professional land surveying business or activity that may be subject to that licensee's direct or indirect control, inspection, review, audit, or enforcement on behalf of that agency, unless the circumstances are disclosed to and approved by that agency in writing prior to such engagement. 
(c) Representations: 
(1) A licensee shall not misrepresent his or her qualifications to a prospective or existing client or employer. 
(2) A licensee shall not misrepresent to a prospective or existing client the licensee's scope of responsibility in connection with projects or services for which the licensee is receiving or will receive compensation from that client. 
(3) A licensee shall not misrepresent his or her scope of responsibility in connection with projects or services for which the licensee is claiming credit. 
(4) A licensee shall not misrepresent nor permit the misrepresentation of his or her professional qualifications, or affiliations or the affiliations or purposes of the institutions, organizations, or other businesses with which he or she is associated. 
(5) When providing information in connection with a person's application for a license to practice professional land surveying, a licensee shall accurately represent his or her knowledge of the applicant's qualifications. 
(6) A licensee may advertise or solicit for any services for which he or she is authorized by licensure. 
(7) A licensee shall only express professional opinions that have a basis in fact or experience or accepted land surveying principles. 
(8) A licensee shall attribute proper credit to others for their professional work or professional contribution and shall not misappropriate the professional work of others. 
(9) A licensee shall not knowingly permit the publication or use of his or her data, reports, maps, or other professional documents for unlawful purposes. 
(10) A licensee shall not falsely or maliciously injure or attempt to injure the reputation or business of others. 
(11) A licensee shall not misrepresent data and/or its relative significance in any professional land surveying report. 
(d) Confidential Information: 
Confidential information obtained by a licensee, in his or her professional capacity, concerning a client, employer, or other related party shall not be disclosed by the licensee without the permission of the client, employer, or other related party except for the following: 
(1) Disclosures made in response to an order of the court or to a subpoena or summons enforceable by an order of the court. 
(2) Disclosures made in an adjudicatory proceeding. 
(3) Disclosures made in response to an official inquiry from a governmental regulatory agency. 
(4) Disclosures made when required by law. 
(5) Disclosures made upon discovering a hazard within the licensee's field of professional expertise which may threaten the health, safety, and welfare of the public. 
(6) Disclosures made when providing evidence to the Board regarding other licensees or unlicensed individuals who may have violated the Professional Land Surveyors' Act. 
(7) Disclosures made regarding illegal conduct. 
As used in this section, “confidential information” means information identified as confidential by the licensee's client, employer, or other related party. 
(e) Document Submittal: 
(1) A licensee shall not misrepresent the completeness of the professional documents he or she submits to a governmental agency. 
(2) A licensee shall not misrepresent the completeness of the professional documents he or she prepared to his or her client or to other involved parties. 
NOTE

Authority cited: Section 8710, Business and Professions Code. Reference: Sections 8710 and 8780, Business and Professions Code.
HISTORY

1. New section filed 6-4-2003; operative 7-4-2003 (Register 2003, No. 23).
Division 6. State Board of Fabric Care

(Originally Printed 12-5-46)
Article 1. General Provisions
§500. Definitions.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Section 9533, Business and Professions Code.
HISTORY

1. * Repealer of chapter 6 (articles 1-6, sections 500-561, not consecutive) and new chapter 6 (articles 1-6, sections 500-560, not consecutive) filed 12-31-82; effective thirtieth day thereafter (Register 83, No. 2). For prior history, see Registers 82, Nos. 38 and 4; 79, No. 28; 78, No. 14; 75, No. 20; 74, No. 23; 73, No. 31; 72, Nos. 30 and 9; 71, No. 15; 70, Nos 36 and 8; 69, Nos. 50 and 28; 68, Nos. 31, 30 and 19; 67, No. 23; 65, No. 4; 64, No. 22; 63, Nos. 17, 14 and 3; 62, Nos. 23 and 8; 59, Nos. 16 and 1; 58, Nos. 18, 16 and 5; 57, No. 17; 56, Nos. 19 and 7; 55, No. 6; 53, No. 4; 29, Nos. 5, 6 and 4; 24, No. 4; 23, No. 2; 19, No. 4; 15, No. 6; 14, Nos. 3 and 2; 13, Nos. 7 and 1; 11, Nos. 7 and 2; 10, No. 2; and Registers 7 and 8.
2. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).

* The reorganization of chapter 6 is printed as a repealer and adoption for clarity.
§502. Delegation of Certain Functions.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Section 9532, Business and Professions Code; and Section 11500(a), Government Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§504. Advertising: Availability of Dry Cleaning to Be Performed Within Fixed Time.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Sections 9510.1 and 9598.5, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§506. Flameproofing Establishments.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Section 9540, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§508. Insurance Coverage.
Note     •     History

NOTE

Authority cited: Sections 9533, Business and Professions Code. Reference: Sections 9598.5 and 17500, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§510. Directives for Use of Chemicals and Equipment.
Note     •     History

NOTE

Authority cited: Sections 9533, Business and Professions Code. Reference: Section 9599, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§512. Allowable Concentration of Certain Vapors in Clothes Cleaning Establishments.
Note     •     History

NOTE

Authority cited: Sections 9533 and 9599.5, Business and Professions Code. Reference: Section 9599.5, Business and Professions Code.
HISTORY

1. Amendment filed 10-28-83; effective thirtieth day thereafter (Register 83, No. 44).
2. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§512.2. Storage, Use and Disposal of Drycleaning Solvents.
Note     •     History

NOTE

Authority cited: Sections 9533 and 9533.4, Business and Professions Code. Reference: Section 9533.4, Business and Professions Code.
HISTORY

1. New section filed 1-6-86; effective thirtieth day thereafter (Register 86, No. 2).
2. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
Article 2. Licenses and Certificates of Registration
§514. Corporations--Notification of Change of Officers or Directors.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Section 9540.2, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§516. Bonds.
Note     •     History

NOTE

Authority cited: Sections 9533 and 9547, Business and Professions Code. Reference: Section 9547, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 1-6-86; effective thirtieth day thereafter (Register 86, No. 2).
2. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§518. Operator's Registration Certificate.
Note     •     History

NOTE

Authority cited: Sections 9533 and 9551.7, Business and Professions Code. Reference: Sections 9540, 9550 and 9598.6, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§520. Substitution of Training for Experience.
Note     •     History

NOTE

Authority cited: Sections 9533 and 9551.7, Business and Professions Code. Reference: Sections 9551.6 and 9551.7, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§522. Experience or Training Required.
Note     •     History

NOTE

Authority cited: Sections 9533 and 9551.7, Business and Professions Code. Reference: Sections 9550, 9551.6, 9551.7 and 9598.6, Business and Professions Code.
HISTORY

1. Amendment of initial paragraph and subsection (a) filed 12-27-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 52).
2. New subsection (d)(6) filed 1-6-86; effective thirtieth day thereafter (Register 86, No. 2).
3. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§524. Time for Applying for Registration Certificate.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Section 9551, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§526. Transfer of License or Registration Certificate.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Sections 9538 and 9540, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§528. Change of Address and Change of Name.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Section 9584, Business and Professions Code; Section 11505(c), Government Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§530. Time Allowed--Replacing Responsible Managing Employee.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Section 9540.2, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
Article 3. Examinations
§532. Time and Place of Examinations.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Sections 9540 and 9551, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§534. Right to Take Examinations.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Sections 480, 9540.3, and 9551.5(a), Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§536. Application for Examination.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Sections 9540 and 9551, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§538. Examinations to Be Kept Secret.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Section 106.5, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§540. Examinations to Be Written.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Section 9551.5, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§542. Review of Examinations.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Section 9551.5, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§544. Conditional Credit on Examinations.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Section 9551.5, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
Article 4. Schools
§546. Applications.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Sections 9540 and 9540.5(4), Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 12-23-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 52).
2. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§548. Requirements for License.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Sections 9540.55 and 9550, Business and Professions Code.
HISTORY

1. Amendment filed 2-18-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 8).
2. Amendment filed 12-23-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 52).
3. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§549. Onsite Cleaning Curriculum.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Sections 9540 and 9540.5(4), Business and Professions Code.
HISTORY

1. New section filed 12-23-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 52).
2. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§550. Inspection of Premises.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Sections 9533.5, 9533.6, 9590 and 9597, Business and Professions Code.
HISTORY

1. Amendment filed 12-23-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 52).
2. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
Article 5. License Fees
§552. Waiver of Registration Certificate Fees and License Fees.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Sections 9580(d), 9582(d) and 9583(d), Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§554. Fees.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Sections 9580, 9582, and 9583, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
Article 5.5. Onsite Drycleaning
§555. General Provisions.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Sections 9533.4, 9540 and 9550, Business and Professions Code.
HISTORY

1. New article 5.5 (sections 555, 555.1-555.6, not consecutive) filed 12-27-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 52).
2. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§555.1. Consumer Safety.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Sections 101.6, 9533.4, 9533.5 and 9599.3, Business and Professions Code; and Sections 6360 et seq., Labor Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§555.2. Safety Equipment.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Sections 9533.3 and 9533.4, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§555.3. Venting.
Note     •     History

NOTE

Authority cited: Sections 9533 and 9533.4, Business and Professions Code. Reference: Sections 101.6, 9533.3 and 9533.4, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§555.5. Equipment Inspections.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Sections 9533.5 and 9599, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§555.6. Chemical Requirements.
Note     •     History

NOTE

Authority cited: Sections 9533 and 9533.4, Business and Professions Code. Reference: Sections 9533.4 and 9599.5, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
Article 6. Minimum Standards
§556. Purity of Solvents.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Section 9533.3, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§557. Unresolved Complaints.
Note     •     History

NOTE

Authority cited: Sections 9533 and 9533.3, Business and Professions Code. Reference: Sections 9533.3 and 9594, Business and Professions Code.
HISTORY

1. New section filed 1-6-86; effective thirtieth day thereafter (Register 86, No. 2).
2. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
Article 7. Denial, Suspension and Revocation of Licenses and Certificates of Registration
§558. Substantial Relationship Criteria.
Note     •     History

NOTE

Authority cited: Section 9533, Business and Professions Code. Reference: Sections 481 and 9590-9598.5, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
§560. Criteria for Rehabilitation.
Note     •     History

NOTE

Authority cited: Sections 482 and 9533, Business and Professions Code. Reference: Sections 480, 482, 490, 9594, 9594.4 and 9594.5, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-21-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 29).
Division 7. Bureau of Security and Investigative Services*
* ED. NOTE: Former Chapter 7 (Collection Agency Licensing Bureau) and former Chapter 11 (Bureau of Private Investigators and Adjusters) merged as Division 7--Bureau of Collection and Investigative Services.
* ED. NOTE: Former Chapter 7 (Collection Agency Licensing Bureau) and former Chapter 11 (Bureau of Private Investigators and Adjusters) merged as Division 7--Bureau of Collection and Investigative Services.
Article 1. General Provisions
§600. Location of Office. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 6863, 7501.6, 7515 and 7591.6, Business and Professions Code. Reference: Sections 6851, 7500.1, 7512.4 and 7590.1, Business and Professions Code.
HISTORY

1. Amendment of chapter 7 filed 2-11-71; effective thirtieth day thereafter (Register 71, No. 7). For prior history of chapters 7 and 11, see Registers 62, No. 26; 67, No. 34; 68, No. 30; 69, No. 50; and 70, No. 6.
2. Amendment filed 9-27-73; effective thirtieth day thereafter (Register 73, No. 39).
3. Amendment filed 1-26-79 as procedural and organizational; effective upon filing (Register 79, No. 4).
4. Change without regulatory effect (Register 86, No. 30).
5. Change without regulatory effect amending section filed 3-27-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 14).
6. Change without regulatory effect repealing section filed 4-19-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 16).
7. Amendment of division heading filed 7-1-2002; operative 7-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 27).
§600.1. Definitions.
Note     •     History

In this division, unless the context otherwise requires:
(a) “Code” refers to the Business and Professions Code.
(b) “Chapter” refers to Chapter 8.5 (Locksmiths), 11 (Repossessors), 11.3 (Private Investigators), 11.4 (Proprietary Security Services), 11.5 (Private Security Services), or 11.6 (Alarm Companies) of Division 3 of the Code.
(c) “Person” includes any individual, firm, company, association, organization, partnership or corporation.
(d) “Licensee” as used herein means any person licensed, certified, registered or issued a permit under Chapter 8.5, 11, 11.3, 11.4, 11.5, or 11.6 of the Code.
(e) “License” as used herein includes a certificate, registration, permit or other means to engage in a business or profession regulated by Chapter 8.5, 11, 11.3, 11.4, 11.5, or 11.6 of the Code.
(f) “Unlicensed” as used herein means any individual, person, firm, company, association, organization, partnership, or corporation who is required to be licensed, certified, registered, or issued a permit under Chapter 8.5, 11.3, 11.4, or 11.5 of the Code and has not obtained such license, certification, registration or permit.
(g) “Advertisement” as used herein means any written, printed, or verbal communication soliciting, describing, or promoting a business regulated by Chapter 8.5, 11.3, 11.4, or 11.5 of the Code. This includes any business card, stationery, brochure, letter, pamphlet, newspaper, periodical, publication, flyer, circular, newsletter, fax form or other writing, radio, television, internet, or similar airwave or electronic transmission, printed or published advertisement in any media form, directory listing, online, or telephone book listing.
NOTE

Authority cited: Sections 148, 149, 6980.7, 7501.6, 7515, 7574.05, 7581 and 7591.6, Business and Professions Code. Reference: Sections 6980, 6980.7, 7500.1, 7501.6, 7512.4, 7515, 7574.01, 7580.4, 7581, 7590.1 and 7591.6, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former Section 603 to Section 600.1 (Register 86, No. 30). For history of former Section 603, see Register 82, No. 49.
2. Amendment filed 2-11-87; effective thirtieth day thereafter (Register 87, No. 7).
3. Change without regulatory effect amending subsections (b), (d) and (e) and Note filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
4. Amendment of subsections (b), (c) and (d) and amendment of Note filed 8-17-2006; operative 8-17-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 33).
5. Change without regulatory effect amending Note filed 4-25-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 17).
6. Amendment of section and Note filed 12-22-2011; operative 12-22-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 51).
§601. Application for Examination.
Note     •     History

An applicant is not eligible for examination until he or she has filed a complete application accompanied by the appropriate fee. Complete applications must be filed in person at or mailed to the bureau's Sacramento office not later than 20 days prior to the next scheduled or requested examination date. An applicant who fails to file within the above time period may, at the bureau's discretion, be scheduled to take the following scheduled examination.
NOTE

Authority cited: Sections 7501.6, 7515, 7581 and 7591.6, Business and Professions Code. Reference: Sections 7503, 7526, 7582.8 and 7593, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former Section 605 to Section 601 (Register 86, No. 30). For history of former Sections 601 and 605, see Register 82, No. 49.
2. Amendment filed 2-11-87; effective thirtieth day thereafter (Register 87, No. 7).
3. Change without regulatory effect amending Note filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§601.1. Time and Place of Examinations.
Note     •     History

Examinations shall be given at least once every two months at such places and on such dates as the chief may from time to time fix. The bureau shall mail to each applicant who has been approved to take an examination a notice of the date, time and place of the examination. Such notice shall be sent by regular mail to the home address shown on the application not later than two weeks prior thereto.
NOTE

Authority cited: Sections 7501.6, 7515, 7581 and 7591.6, Business and Professions Code. Reference: Sections 7504, 7504.5, 7527, 7582.8, 7582.9 and 7599, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former Section 605.1 to Section 601.1 (Register 86, No. 30).
2. Change without regulatory effect amending Note filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§601.2. Reexaminations.
Note     •     History

An applicant who fails to pass the examination or who fails to appear for the examination after proper notification by the bureau shall not be permitted to take any subsequent examination unless he or she has duly filed a completed application for reexamination, accompanied by the appropriate fee, for each such subsequent examination. This section shall not apply to an applicant who has requested a rescheduled examination date within seven days after receipt of the original scheduling notice.
NOTE

Authority cited: Sections 7501.6, 7515, 7581 and 7591.6, Business and Professions Code. Reference: Sections 7504.4, 7511, 7527.5, 7570, 7582.10, 7588, 7599.7 and 7599.70, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former Section 605.2 to Section 601.2 (Register 86, No. 30). For history of former Section 605.2, see Register 82, No. 49.
2. Change without regulatory effect amending Note filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§601.3. Abandonment of Applications.
Note     •     History

If an applicant fails to complete his or her application within one year after it has been filed, or fails to take and pass the examination within a one year period after becoming eligible therefor, the application shall be deemed abandoned. Any application submitted subsequent to the abandonment of a former application shall be treated as a new application and must be filed in accordance with Section 601.
NOTE

Authority cited: Sections 6980.7, 7501.6, 7515, 7574.2, 7581 and 7591.6, Business and Professions Code. Reference: Sections 6980.25, 7504.6, 7523, 7526, 7582.8, 7583.28 and 7593, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former Section 605.3 to Section 601.3 (Register 86, No. 30). For history of former Section 605.3, see Register 82, No. 49.
2. Change without regulatory effect amending Note filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
3. Amendment of Note filed 8-17-2006; operative 8-17-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 33).
§601.4. 4 Permit Processing Times.
Note     •     History

“Permit” as defined by the Permit Reform Act of 1981 means any license, certificate, registration, permit or any other form of authorization required by a state agency to engage in a particular activity or act. Processing times for the bureau's various programs are set forth below. The actual processing times apply to those persons who take and pass the first actual available examination.
An application is deemed complete if all required fees and supporting documentation have been submitted, and, where applicable, fingerprint clearances have been received from either the Department of Justice or the Federal Bureau of Investigation.

View Graphic
NOTE

Authority Cited: Sections 6980.7, 7501.6, 7515, 7581 and 7591.6, Business and Professions Code. Reference: Sections 15374, 15375, 15376, 15377 and 15378, Government Code. 
HISTORY

1. New section filed filed 2-4-92; operative 3-5-92 (Register 92, No. 12).
2. Change without regulatory effect amending section and Note filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§601.5. Application Criteria for Proprietary Private Security Officer.
Note     •     History

Every individual who seeks registration as a proprietary private security officer shall:
(1) Submit to the Bureau an application for registration as a proprietary private security officer on a form prescribed by the Director;
(2) Submit full and complete fingerprints of the applicant to the Bureau for use in conducting background checks through the California Department of Justice and the Federal Bureau of Investigation, in the manner specified, and pursuant to the conditions and requirements set forth, in Business and Professions Code section 7583.9; and
(3) Pay an application fee to the Bureau as provided in Article 8 of these regulations.
NOTE

Authority cited: Section 7574.05, Business and Professions Code. Reference: Section 7574.11, Business and Professions Code.
HISTORY

1. New section filed 8-17-2006; operative 8-17-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 33).
2. Change without regulatory effect amending Note filed 4-25-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 17).
§601.6. Citations for Unlicensed Persons.
Note     •     History

(a) The Chief or his or her designee may issue a citation, in accordance with section 148 of the Business and Professions Code against any unlicensed person who is acting in the capacity of a licensee, registrant, permit holder, or certificate holder under the jurisdiction of the Bureau and who is not otherwise exempt from licensure. Each citation may contain an assessment of an administrative fine up to $5,000 and, where appropriate, an order of abatement fixing a reasonable period of time not to exceed 30 days for abatement.
(b) Any sanction authorized for activity under this section shall be separate from and in addition to any other civil or criminal remedies.
(c) In addition, the Chief or his or her designee may issue a citation, in accordance with sections 148 and 149 of the Code against any person who advertises, as defined in subdivision (g) of section 600.1, without a license.
NOTE

Authority cited: Sections 125.9, 148, 149, 6980.7, 7515 and 7581, Business and Professions Code. Reference: Sections 6980.10(a), 7520, 7574.10 and 7582, Business and Professions Code.
HISTORY

1. New section filed 12-22-2011; operative 12-22-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 51).
§601.7. Citation Factors for Unlicensed Person.
Note     •     History

The following factors shall be considered when determining the amount of an administrative fine:
(a) The good or bad faith exhibited by the cited person.
(b) The nature and severity of the violation.
(c) Evidence that the violation was willful.
(d) History of violations of the same or similar nature.
(e) The extent to which the cited person has cooperated with the Bureau.
(f) The extent to which the cited person has mitigated or attempted to mitigate any damage or injury caused by his or her violation.
(g) Any other factors as justice may require.
NOTE

Authority cited: Sections 125.9, 148, 149, 6980.7, 7515 and 7581, Business and Professions Code. Reference: Sections 6980.10(a), 7520 and 7582, Business and Professions Code.
HISTORY

1. New section filed 12-22-2011; operative 12-22-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 51).
§601.8. Citation Format for Unlicensed Persons.
Note     •     History

Each citation:
(a) Shall be in writing.
(b) Shall describe with particularity the nature of the violation, including specific reference to the provision of the Act or regulation contained in this division determined to have been violated.
(c) May contain an assessment of an administrative fine, an order of abatement fixing a reasonable period of time not to exceed 30 days for abatement, or both an administrative fine and an order of abatement.
(d) Shall inform the cited person that, if he or she desires a hearing to contest the finding of a violation, that hearing shall be requested by written notice to the Bureau within thirty (30) days of the issuance of the citation or assessment.
(e) Shall inform the cited person if he or she desires an informal conference with the Chief or his or her designee to contest the finding of a violation, that the informal conference shall be requested by written notice to the Bureau within ten (10) days of the issuance of the citation or assessment.
(f) Shall be served upon the cited person personally or by certified mail.
NOTE

Authority cited: Sections 125.9, 148, 149, 6980.7, 7515 and 7581, Business and Professions Code. Reference: Sections 6980.10(a), 7520 and 7582, Business and Professions Code.
HISTORY

1. New section filed 12-22-2011; operative 12-22-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 51).
§601.9. Compliance with Order of Abatement for Unlicensed Persons.
Note     •     History

(a) The time allowed for abatement of a violation shall begin the first day after the order of abatement has been served. If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, the person cited may request an extension of time in which to complete the correction from the Chief or his or her designee. Such a request shall be in writing and shall be made within the time set forth for abatement.
(b) When an order of abatement is not contested or if the order is appealed and the person or entity cited does not prevail, failure to abate the violation charged within the time specified in the citation shall constitute a violation and failure to comply with the order of abatement.
NOTE

Authority cited: Sections 125.9, 148, 149, 6980.7, 7515 and 7581, Business and Professions Code. Reference: Sections 6980.10(a), 7520 and 7582, Business and Professions Code.
HISTORY

1. New section filed 12-22-2011; operative 12-22-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 51).
§601.10. Contest of Citations for Unlicensed Persons.
Note     •     History

(a) If a cited person wishes to contest the citation, assessment of the administrative fine, or order of abatement, the cited person shall, within thirty (30) days after service of the citation, file in writing a request for an administrative hearing to the Bureau regarding the acts charged in the citation, as provided for in subdivision (b)(4) of Section 125.9 of the Code.
(b) In addition to, or instead of, requesting an administrative hearing, as provided for in subdivision (b)(4) of Section 125.9 of the Code, the cited person may, within ten (10) days after service of the citation, contest the citation by submitting a written request for an informal citation conference to the Bureau.
(c) Upon receipt of a written request for an informal citation conference, the Chief or his or her designee shall, within thirty (30) days, hold an informal citation conference with the cited person.
(d) If an informal citation conference is held, the Chief or his or her designee may affirm, modify, or dismiss the citation, including any fine levied or order of abatement issued, at the conclusion of the informal citation conference. If affirmed or modified, the citation originally issued shall be considered withdrawn and an affirmed or modified citation, including reason for the decision, shall be issued. The affirmed or modified citation shall be mailed to the cited person and his or her legal counsel, if any, within fifteen (15) days from the date of the informal citation conference.
(e) If a cited person wishes to contest an affirmed or modified citation, the person shall, within thirty (30) days of his or her notification, file in writing a request for an administrative hearing to the Bureau regarding the acts charged in the affirmed or modified citation, in accordance with subdivision (b)(4) of Section 125.9 of the Code.
(f) A cited person may not request another informal conference for a citation which was modified or affirmed during an informal conference.
NOTE

Authority cited: Sections 125.9, 148, 149, 6980.7, 7515 and 7581, Business and Professions Code. Reference: Sections 6980.10(a), 7520 and 7582, Business and Professions Code. 
HISTORY

1. New section filed 12-22-2011; operative 12-22-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 51).
§602. Substantial Relationship Criteria.
Note     •     History

For purposes of denial, suspension, or revocation of a license of pursuant to Division 1.5 (commencing with Section 475) of the Code, a crime or act shall be considered to be substantially related to the qualifications, functions, or duties of a licensee if to a substantial degree it evidences present or potential unfitness to perform the functions authorized by the license in a manner consistent with the public health, safety, and welfare. Such crimes or acts shall include, but not be limited to, those delineated in Section 7561.1 or 7561.4 of the Business and Professions Code.
NOTE

Authority cited: Sections 481, 6980.7, 6980.71, 7501.6, 7515, 7574.05, 7581 and 7591.6, Business and Professions Code. Reference: Sections 475, 480, 481, 490, 6980.45, 7501.7, 7574.15, 7561.1, 7587.1, 7587.4, 7582.3, 7561.4 and 7591.10, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former Section 603.1 to Section 602 (Register 86, No. 30). For history of former Sections 602 and 603.1, see Register 82, No. 19.
2. Amendment filed 2-11-87; effective thirtieth day thereafter (Register 87, No. 7).
3. Change without regulatory effect amending Note filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
4. Amendment of Note filed 8-17-2006; operative 8-17-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 33).
5. Change without regulatory effect amending Note filed 4-25-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 17).
§602.1. Criteria for Evaluating Rehabilitation.
Note     •     History

When considering the denial, suspension, revocation or reinstatement of a license for which application has been made under Chapter 8, 8.5, 11, 11.3, 11.4, 11.5 or 11.6 of the Code, the Director, in evaluating the rehabilitation of the applicant, licensee or petitioner and his or her present eligibility for a license will consider the following criteria:
(1) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the Code.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(5) Evidence, if any, of rehabilitation submitted by the applicant.
(6) If applicable, evidence of proceedings pursuant to Section 1203.4 of the Penal Code.
NOTE

Authority cited: Sections 482, 7501.6, 7515, 7574.05, 7581 and 7591.6, Business and Professions Code. Reference: Sections 480, 482 and 490, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former Section 604 to Section 602.1 (Register 86, No. 30).
2. Amendment filed 2-11-87; effective thirtieth day thereafter (Register 87, No. 7).
3. Change without regulatory effect amending first paragraph and Note filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
4. Amendment of first paragraph and Note filed 8-17-2006; operative 8-17-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 33).
5. Change without regulatory effect amending Note filed 4-25-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 17).
Article 1.5. General Provisions
§603. Scope of Article 1.5.
Note     •     History

Except as otherwise provided therein, provisions contained in Article 1.5 of these regulations shall apply to persons licensed, registered or certified under Chapter 11 (Repossessors Act), 11.4 (Proprietary Security Services Act), 11.5 (Private Investigator Act) and 11.6 (Alarm Company Act) of the Code.
NOTE

Authority cited: Sections 7501.6, 7515, 7574.05, 7581 and 7591.6, Business and Professions Code. Reference: Sections 7501.6, 7515, 7581 and 7591.6, Business and Professions Code.
HISTORY

1. New section filed 8-18-87; operative 9-17-87 (Register 87, No. 34). For history of former Section 603, see Register 86, No. 30.
2. Change without regulatory effect amending article heading, section and Note filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
3. Amendment of section and Note filed 8-17-2006; operative 8-17-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 33).
4. Change without regulatory effect amending Note filed 4-25-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 17).
§603.1. Substantial Relationship Criteria. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 6863 and 7514, Business and Professions Code. Reference: Sections 475, 480, 481, 482 and 490, Business and Professions Code.
HISTORY

1. Renumbering and amendment of Section 657 to Section 603.1 filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
2. Change without regulatory effect renumbering former Section 603.1 to Section 602 (Register 86, No. 30).
§604. Additional Definitions.
Note     •     History

In this chapter, unless the context requires otherwise,
(a) “Independent contractor” means one who, in exercise of an independent employment, contracts orally or in writing to do a piece of work and renders service according to his or her own methods, subject to control only as to end product or final result.
NOTE

Authority cited: Sections 6980.7, 7501.6, 7515, 7581 and 7591.6, Business and Professions Code. Reference: Sections 6980, 7500.1, 7501.6, 7512.10, 7512.11, 7512.12, 7580.8, 7580.9, 7580.10, 7582.1 and 7590.1, Business and Professions Code.
HISTORY

1. New section filed 9-14-87; operative 10-14-87 (Register 87, No. 37).
2. Change without regulatory effect repealing subsections (a) and (b) and relettering subsection filed 4-19-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 16).
3. Change without regulatory effect amending Note filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§605. Scope of Examination.
Note     •     History

All applicants for licensure, except applicants for registration under chapter 11.4 of Division 3 of the Code, must take a written examination designed to determine the ability and fitness of the applicant to engage in business under the particular license for which the application is filed.
NOTE

Authority cited: Sections 7501.6, 7515, 7574.05, 7581 and 7591.6, Business and Professions Code. Reference: Sections 7504, 7527, 7582.9 and 7599, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 651.2 to Section 605 filed 9-1-87; operative 10-1-87 (Register 87, No. 37). For prior history, see Register 86, No.30.
2. Change without regulatory effect amending Note filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
3. Amendment of section and Note filed 8-17-2006; operative 8-17-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 33).
4. Change without regulatory effect amending Note filed 4-25-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 17).
§605.1. Time and Place of Examinations. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 6863, 6887 and 7514, Business and Professions Code. Reference: Sections 6881, 6888 and 7527, Business and Professions Code.
HISTORY

1. New section filed 12-31-79; designated effective 2-1-80 (Register 80, No. 1).
2. Change without regulatory effect renumbering former Section 605.1 to Section 601.1 (Register 86, No. 30).
§605.2. Reexaminations. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 6863, 6887 and 7514, Business and Professions Code. Reference: Sections 6887, 6956, 7527.5 and 7580, Business and Professions Code.
HISTORY

1. New section filed 12-31-79; designated effective 2-1-80 (Register 80, No. 1).
2. Amendment filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
3. Change without regulatory effect renumbering former Section 605.2 to Section 601.2 (Register 86, No. 30).
§605.3. Abandonment of Applications. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 6863, 6887 and 7514, Business and Professions Code. Reference: Sections 6875, 6876, 6876.2 and 7527.5, Business and Professions Code.
HISTORY

1. New section filed 12-31-79; designated effective 2-1-80 (Register 80, No. 1).
2. Amendment filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
3. Change without regulatory effect renumbering former Section 605.3 to Section 601.3 (Register 86, No. 30).
§606. Filing of Addresses.
Note     •     History

Except as otherwise specified in statute, each person applying for or issued a certificate, registration, permit or license under Chapters 8.5, 11, 11.3, 11.4, 11.5 or 11.6 of the Code shall:
(a) as required by the Code file his or her current address of record with the bureau;
(b) within thirty (30) days of a change of address, notify the bureau of the change, indicating both the old and new addresses; and
(c) not list a post office box or the address of a mailbox service as his or her address of record unless mail delivery to the physical location of the residence or business is not possible and/or, in the case of a licensed business, the principal place of business is located in the licensee's personal residence.
(1) If the address of record listed is that of a mailbox service or a post office box, it must clearly be identified as such.
(2) If the principal place of business is a personal residence, and a post office box or the address of a mailbox service is listed as the address of record, the residence address must also be provided.
(3) The requirements of subsection (b) herein shall apply to any change of address, including, but not limited to, a change of post office box, mailbox service, or a change of business or residence location.
NOTE

Authority cited: Sections 6980.7, 7501.6, 7515, 7581 and 7591.6, Business and Professions Code. Reference: Sections 6980.17, 6980.18, 6980.19, 6980.20, 6980.21, 7503, 7503.2, 7503.3, 7503.4, 7506.5, 7507.1, 7525.1, 7533, 7574.2, 7582.7, 7582.18, 7582.18, 7582.19, 7583.10, 7585.3, 7585.11, 7593, 7593.1, 7593.2, 7593.3, 7593.4, 7598.6 and 7599.23, Business and Professions Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87 (Register 87, No. 37). For prior history, see Register 86, No. 30.
2. Change without regulatory effect amending first paragraph and Note filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
3. Amendment of first paragraph and Note filed 8-17-2006; operative 8-17-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 33).
§607. Employee Records.
Note     •     History

Each licensee shall maintain at the principal place of business or branch office a file or record of the name, address, commencing date of employment, and position of each employee, and the date when an employee is terminated. Such files or records shall be retained during the time of employment and for a period of not less than two years thereafter and, together with usual payroll records, shall be available for inspection by the bureau. Copies thereof and information pertaining thereto or contained therein shall be submitted to the bureau upon request.
NOTE

Authority cited: Sections 6980.7, 7501.6, 7515, 7581 and 7591.6, Business and Professions Code. Reference: Sections 6980.42, 7507.2, 7531.5, 7582.16, 7582.17 and 7591.7, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 678 to Section 607 filed 9-1-87; operative 10-1-87 (Register 87, No. 37). For prior history, see Register 80, No. 8.
2. Change without regulatory effect amending Note filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§607.4. Assignment of License.
Note     •     History

(a) A license issued under Chapter 8.5, 11, 11.3, 11.4, 11.5 or 11.6 of the Code is not assignable.
(b) “Assignable” refers to a quality or legal attribute which permits a thing to be transferred or negotiated. To say that a license is “not assignable” is to say that
(1) the rights, privileges and duties attached to the license may not be transferred from one person to another; and that
(2) no licensee may permit an employee or agent in his or her own name to advertise, engage clients, furnish reports, render services, present bills to customers or in any manner conduct business for which a license is required under Chapter 8.5, 11, 11.3, 11.4, 11.5 or 11.6.
NOTE

Authority cited: Sections 6980.7, 7501.6, 7515, 7574.05, 7581 and 7591.6, Business and Professions Code. Reference: Sections 6980.17, 6980.31, 7502, 7503.9, 7520, 7530, 7582, 7582.14, 7592, 7599.34 and 7599.47, Business and Professions Code.
HISTORY

1. New section filed 9-14-87; operative 10-14-87 (Register 87, No. 37).
2. Change without regulatory effect amending subsections (a) and (b)(2) and Note filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
3. Amendment of subsection (a) and Note filed 8-17-2006; operative 8-17-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 33).
4. Change without regulatory effect amending subsection (b)(2) and Note filed 4-25-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 17).
§607.5. Change of Ownership.
Note     •     History

A licensee shall, within thirty (30) days after transferring his or her interest in a licensed business, notify the bureau in writing of the transfer. Such notification shall include the name and mailing address of the new owner and the date upon which the transfer became effective.
NOTE

Authority cited: Sections 6980.7, 7501.6, 7515, 7581 and 7591.6, Business and Professions Code. Reference: Sections 7502, 7503.9 7505.3, 7520, 7530, 7539, 7582, 7582.14, 7582.26, 7592, 7594.3 and 7599.34, Business and Professions Code.
HISTORY

1. New section filed 9-15-87; operative 10-15-87 (Register 87, No. 40).
2. Change without regulatory effect amending Note filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§608. Untrue or Misleading Statements [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7501.6, 7515 and 7591.6, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 654.1 to Section 608 filed 9-1-87; operative 10-1-87 (Register 87, No. 37). For prior history, see Register 80, No. 8.
2. Change without regulatory effect repealing section filed 4-19-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 16).
§608.3. Bureau-Issued Identification Card.
Note     •     History

(a) Licensees shall at all times while in the course of their duties maintain in their possession any bureau-issued identification cards relevant to the duties being performed and issued under Chapters 11, 11.3, 11.4, 11.5 and 11.6 of the Code and shall present them to any peace officer or bureau representative upon demand.
(b) “Bureau-issued identification card,” as used herein, refers to any card serving as verification of license, registration, permit or certification status and issued pursuant to Chapter 11, 11.3, 11.4, 11.5 or 11.6 of the Code.
(c) In the event of the loss, destruction or theft of his or her bureau-issued identification card, the licensee shall within 72 hours:
(1) notify his or her employer of the loss and
(2) apply to the Chief for a certified replacement for the card, certifying under penalty of perjury as to the circumstances surrounding the loss, and remit a $10.00 per-card certification fee, whereupon the Chief shall issue a certified replacement. The replacement fee for the baton certificate is $5.00 per card.
(d) After applying for but prior to receiving a certified replacement card, the licensee or registrant shall carry the receipt from his or her original card or other such documentation as may serve to verify certification, registration or licensing status. No documentation may be substituted for a valid firearms qualification card in meeting the requirements of Sections 7542, and 7597.1 of the Code.
(e) A person may work as a proprietary private security officer pending receipt of the registration card if he or she has been approved by the Bureau and carries on his or her person a hardcopy printout of the Bureau's approval from the Bureau's web site and a valid picture identification.
NOTE

Authority cited: Sections 6980.7, 7501.6, 7515, 7574.05, 7581 and 7591.6, Business and Professions Code. Reference: Sections 163, 6980.23, 7506.9, 7508.1, 7529, 7542, 7574.11, 7582.13, 7583.3, 7583.5, 7583.17, 7583.22, 7583.32, 7593.7, 7598.14, 7597.1 and 7598.51, Business and Professions Code.
HISTORY

1. Renumbering and amendment of Section 683 to Section 608.3 filed 9-15-87; operative 10-15-87 (Register 87, No. 40).
2. Change without regulatory effect amending subsections (a) and (b) and Note filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
3. Amendment of section and Note filed 8-17-2006; operative 8-17-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 33).
4. Change without regulatory effect amending Note filed 4-25-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 17).
§609. Time and Place of Examination. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 6863 and 6887, Business and Professions Code. Reference: Sections 6881 and 6888, Business and Professions Code.
HISTORY

1. Repealer filed 2-22-80; effective thirtieth day thereafter (Register 80, No. 8).
Article 2. Disciplinary Guidelines
§610. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), the Bureau shall consider the disciplinary guidelines entitled “A Manual of Disciplinary Guidelines for Private Patrol Operators” [May 1995 2nd Edition] which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the Bureau, in its sole discretion, determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case, evidentiary problems.
NOTE

Authority cited: Section 7581, Business and Professions Code; and Sections 11400.20 and 11425.50(e), Government Code. Reference: Sections 7581, 7587, 7587.1-7587.14, Business and Professions Code; and Sections 11400.20 and 11425.50(e), Government Code.
HISTORY

1. New section filed 3-26-98; operative 4-25-98 (Register 98, No. 13). For prior history, see Register 93, No. 3.
2. Change without regulatory effect amending article heading filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§611. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), the Bureau shall consider the disciplinary guidelines entitled “A Manual of Disciplinary Guidelines for Private Investigators” [January 1993 1st Edition] which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the Bureau, in its sole discretion, determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case, evidentiary problems.
NOTE

Authority cited: Section 7515, Business and Professions Code; and Sections 11400.20 and 11425.50(e), Government Code. Reference: Sections 7561, 7561.1, 7561.3, 7561.4, 7562, 7563, 7564, 7565 and 7566, Business and Professions Code; and Sections 11400.20 and 11425.50(e), Government Code.
HISTORY

1. New section filed 3-26-98; operative 4-25-98 (Register 98, No. 13). For prior history, see Register 93, No. 3.
§612. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), the Bureau shall consider the disciplinary guidelines entitled “A Manual of Disciplinary Guidelines for Alarm Company Operators” [April 1993 1st Edition] which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the Bureau, in its sole discretion, determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case, evidentiary problems.
NOTE

Authority cited: Section 7591.6, Business and Professions Code; and Sections 11400.20 and 11425.50(e), Government Code. Reference: Sections 7591.2, 7599.59, 7599.60, 7599.61 and 7599.63, Business and Professions Code; and Sections 11400.20 and 11425.50(e), Government Code.
HISTORY

1. New section filed 3-26-98; operative 4-25-98 (Register 98, No. 13). For prior history, see Register 93, No. 3.
§613. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), the Bureau shall consider the disciplinary guidelines entitled “A Manual of Disciplinary Guidelines for Locksmiths” [November 1996 1st Edition] which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the Bureau, in its sole discretion, determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case, evidentiary problems.
NOTE

Authority cited: Section 6980.7, Business and Professions Code; and Sections 11400.20 and 11425.50(e), Government Code. Reference: Sections 6980.1, 6980.71, 6980.72, 6980.73, 6980.74, 6980.75 and 6980.76, Business and Professions Code; and Sections 11400.20 and 11425.50(e), Government Code.
HISTORY

1. New section filed 3-26-98; operative 4-25-98 (Register 98, No. 13). For prior history, see Register 93, No. 3.
§614. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), the Bureau shall consider the disciplinary guidelines entitled “A Manual of Disciplinary Guidelines for Repossession Agencies” [November 1996 1st Edition] which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the Bureau, in its sole discretion, determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case, evidentiary problems.
NOTE

Authority cited: Section 7501.6, Business and Professions Code; and Sections 11400.20 and 11425.50(e), Government Code. Reference: Sections 7508.6, 7510, 7510.1, 7510.2 and 7510.4, Business and Professions Code; and Sections 11400.20 and 11425.50(e), Government Code.
HISTORY

1. New section filed 3-26-98; operative 4-25-98 (Register 98, No. 13). For prior history, see Register 82, No. 49.
Article 3. General Provisions for Private Investigators, Private Security Services and Alarm Company Operators
§620. Qualifications and Experience.
Note     •     History

(a) At the time an application is filed, an applicant shall possess all qualifications required by applicable sections of Chapters 11.3, 11.5 and 11.6 of the Code or by these regulations.
(b) A year's experience shall consist of not less than 2,000 hours of actual compensated work performed by each applicant preceding the filing of an application.
(c) Applicants shall substantiate claimed years and hours of qualifying experience and the exact details as to the character and nature thereof by written certifications from employers, subject to independent verification by the Director as he or she may determine to be warranted. In the event of inability of applicants to supply such written certifications from employers in whole or in part, applicants may offer written certifications from persons other than employers covering the same subject matter for consideration by the Director.
NOTE

Authority cited: Sections 7515, 7581 and 591.6, Business and Professions Code. Reference: Sections 7515, 7526, 7541, 7581, 7582.8, 7583.1, 7591.6 and 7593, Business and Professions Code.
HISTORY

1. Change without regulatory effect amending and moving article 3 heading from preceding section 651 to preceding section 620, and renumbering former section 651.1 to new section 620, including amendment of section and Note, filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21). For prior history, see Register 93, No. 3.
§621. Advertisement.
Note     •     History

(a) The word “advertisement,” as used in Sections 7534 and 7561.3 (a & b) of Chapter 11.3, Section 7582.20 of Chapter 11.5, and Sections 7590.1(r) and 7599.4 of Chapter 11.6 mean:
(1) Any written or printed communication for the purpose of soliciting, describing, or promoting the licensed business of the licensee, including a brochure, letter, pamphlet, newspaper, periodical, publication or other writing.
(2) A directory listing caused or permitted by the licensee which indicates his licensed activity.
(3) A radio, television or similar airwave transmission which solicits or promotes the licensed business of the licensee.
(b) The word “advertisement,” as used in Sections 7534 and 7561.3 (a & b) of Chapter 11.3, Section 7582.20 of Chapoter 11.5, and Sections 7590.1(r) and 7599.4 of Chapter 11.6, shall not include the following:
(1) Any printing or writing used on buildings, vehicles, uniforms, badges, or other property where the purpose of the printing or writing is identification.
(2) Any printing or writing on communications, memoranda, or any other writings used in the ordinary course of business where the purpose of the writing is other than the solicitation or promotion of business.
(3) Any printing or writing on novelty objects used in the promotion of the licensee's business where the printing of the information required by Sections 7534 and 7561.3 (a & b) of Chapter 11.3, Section 7582.20 of Chapter 11.5, and Sections 7590.1(r) and 7599.4 of Chapter 11.6 would be impractical due to the available area or surface.
NOTE

Authority cited: Sections 7515, 7581 and 7591.6, Business and Professions Code. Reference cited: Sections 6917, 6947, 7534, 7535, 7582.21, and 7599.44, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 654 to new section 621, including amendment of section and Note, filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21). For prior history, see Register 93, No. 3.
§621.2. Dishonesty or Fraud.
Note     •     History

As used in Sections 7561.4, 7587.4 and 7599.61 of the Code “dishonesty or fraud” includes, but is not limited to:
(a) Violation of Sections 212, 216, 222, or 223 of the Labor Code.
(b) Failure to provide, where required by law, for workers' compensation insurance or, as an employer, to carry out the obligations imposed by the Unemployment Insurance Act.
NOTE

Authority cited: Sections 7515, 7581 and 7591.6, Business and Professions Code. Reference: Sections 7561.4, 7587.4 and 7599.61, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 654.2 to new section 621.2, including amendment of section and Note, filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21). 
§622. Branch Office Certificates.
Note     •     History

Application to conduct business from any location other than the principal place of business shall be submitted on a form prescribed by the director and accompanied by the fee prescribed. A branch office certificate shall be issued if it is established that the conditions of Section 655 of this Article and Section 7536 of Chapter 11.3, Section 7582.22 of Chapter 11.5 and Section 7599.25 of Chapter 11.6, and the following criteria have been met.
(a) Under the active management, direction and control of the licensee or his or her manager, a branch office shall have a designated person in charge. The bureau shall at all times be informed of the name of such person.
(b) Records of all business transacted at a branch office shall be maintained by the licensee and available for inspection by the bureau.
(c) A branch office shall be an established place of business and shall maintain reasonable hours for service to its customers. Telephone referral service to a different location does not meet the requirements of this section.
NOTE

Authority cited: Sections 7514, 7515, 7581 and 7591.6, Business and Professions Code. Reference: Sections 7536, 7582.22 and 7599.25, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 655 to new section 622, including amendment of section and Note, filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21). For prior history, see Register 93, No. 3.
§623. Law Enforcement Review of Applicant.
Note     •     History

The Chief may furnish to the chief of police or the sheriff of the city and/or county of residence of an applicant for licensure or for registration the name and address of the applicant and may provide an opportunity to present any evidence which may constitute grounds for denial of the application.
NOTE

Authority cited: Sections 7515, 7581 and 7591.2, Business and Professions Code. Reference: Sections 7526, 7538, 7582.3, 7582.8 and 7591.10, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 659 to new section 623, including amendment of Note, filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21). For prior history, see Register 82, No. 49.
Article 4. Private Investigators
§624. Investigative Reports to Customers.
History

Investigative reports shall be submitted to a customer at such times and in such manner as has been agreed upon between the licensee and the customer. Upon demand by the customer, the licensee shall not refuse to divulge to the customer the results of an investigation if payment has been tendered for charges levied. It is the responsibility of the licensee to provide the customer with a fee schedule or a reasonable explanation of the method by which charges to the customer for services are to be calculated.
HISTORY

1. Change without regulatory effect moving article 4 heading from preceding section 660 to preceding section 624 and renumbering former section 660 to new section 624 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21). For prior history, see Register 93, No. 3.
Article 6. Private Security Services, Alarm Company Operators, Guards, Patrolperson, Alarm Agents (Installer/Responder)
§625. Definitions.
Note     •     History

(a) For purposes of this article, “licensee” means a private patrol operator or an alarm company operator.
(b) For purposes of this article, “guard or registrant” means a uniformed employee of a private patrol operator, an alarm agent of an alarm company operator, and any person employed or compensated by a private patrol operator or any lawful business as a security guard and who, in the course of such employment, carries a deadly weapon.
NOTE

Authority cited: Sections 7580.14, 7581 and 7591.2, Business and Professions Code. Reference: Sections 7580.6, 7580.14 and 7590.1, Business and Professions Code.
HISTORY

1. Change without regulatory effect amending and moving article 6 heading from preceding section 680 to preceding section 625, and renumbering former section 680 to new section 625, filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21). For prior history, see Register 82, No. 49.
§625.1. Application for Registration.
Note     •     History

(a) The licensee shall require any employee who is subject to registration to furnish evidence of current registration with the bureau or, if such evidence is not furnished, to complete an application for registration, provide two sets of classifiable fingerprints and pay the fees specified in Section 665.5. The licensee shall maintain supplies of application and fingerprint forms as approved by the Director and as provided upon request by the bureau.
(b) Within three working days after employment of any person subject to registration who is not currently registered, the licensee shall submit to the bureau the completed application for registration, two sets of classifiable fingerprints and the registration fee. No application is to be submitted if the employee has terminated within the three working days. For purposes of this section “employment” means the date the employee is placed on the payroll.
(c) Any person may apply for registration whether or not he is employed at the time of application.
NOTE

Authority cited: Sections 7581 and 7591.2, Business and Professions Code. Reference: Sections 7580, 7583.9, 7590 and 7593, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 680.1 to new section 625.1 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21). 
§626. Suspension of Employment.
Note     •     History

If the Director determines that continued employment of an applicant for registration in his or her current capacity may present an undue hazard to public safety, the licensee, upon proper notification from the Chief, shall suspend such applicant from employment in that capacity until action to approve or deny the registration has become final.
NOTE

Authority and cited: Sections 7581 and 7591.2, Business and Professions Code. Reference: Sections 7583.15, 7598.12 and 7599.61, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 682 to new section 626, including amendment of Note, filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21). For prior history, see Register 82, No. 49.
§627. Registration Expiration and Renewal.
Note     •     History

(a) A registration shall expire two years from the date of issuance or on the assigned renewal date.
(b) At least sixty days prior to the expiration of a registration, a registrant who desires to continue registration shall complete an application for renewal of registration.
(c) The licensee shall obtain renewal forms from the bureau, and shall provide the opportunity to an employee whose registration will expire at the end of the year to complete a renewal application. The licensee shall submit to the bureau the completed application and renewal fee at least 30 days prior to the expiration.
(d) A registrant may obtain renewal forms from the bureau and may submit the renewal application and fee to the bureau.
(e) The renewed registration shall be for two years and shall expire two years from the date of issuance or on the assigned renewal date. The amount of the renewal fee shall be fixed by the Director.
(f) In the event a registrant fails to request a renewal of his or her registration as provided for in this chapter, the registration shall expire as indicated on the registration. If the registration is renewed within 60 days after its expiration, the registrant, as a condition precedent to renewal, shall pay the renewal fee and the delinquency fee.
(g) If the renewed registration card has not been delivered to the registrant prior to the date of expiration of the prior registration, the registrant may present a copy of his renewal application as evidence of continued registration, for a period not to exceed 90 days after the date of expiration.
NOTE

Authority cited: Sections 7574.05, 7581 and 7591.2, Business and Professions Code. Reference: Sections 7574.11, 7583.20, 7593.11 and 7593.13, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 684 to new section 627, including amendment of Note, filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21). For prior history, see Register 93, No. 3.
2. Amendment of subsections (a) and (e), repealer and new subsection (f) and amendment of Note filed 8-17-2006; operative 8-17-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 33).
3. Change without regulatory effect amending Note filed 4-25-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 17).
§628. Training in Exercising the Powers to Arrest.
Note     •     History

(a) The course of training in the powers to arrest prescribed by the Department of Consumer Affairs pursuant to Sections 7514.1 and 7514.2 of the Business and Professions Code consists of successful completion of a course approved by the bureau in exercising the powers to arrest.
(b) Uniformed employees of private patrol operators and responding alarm agents shall take and successfully complete the training course and examination in the exercise of powers to arrest. An employee must receive a score of 100% on said examination in order to successfully complete said course.
The course of training and administration of the examination may be given by a training school approved by the bureau or by the employer or such uniformed employees provided that such employer has a designated instructor and such instructor is knowledgeable in the powers to arrest as set forth in the Standard Training Manual issued by the bureau and is able to assist employees who cannot read or write.
(c) A licensee or approved training school which administers the training and examination shall retain the examination results on bureau-approved answer sheets for a period of not less than two years or until audited by the bureau, whichever occurs first. A licensee or training facility shall certify under penalty of perjury on the employee's application for registration that such person has successfully completed the training and examination contained in the Standard Training Manual issued by the bureau.
(d) No employee may be assigned to work until he or she has completed the course referred to in subsection (a).
NOTE

Authority cited: Sections 7581 and 7591.2, Business and Professions Code. Reference: Sections 7583.6, 7583.7, 7598.1 and 7598.2, Business and Professions Code; and Sections 12031 and 12033, Penal Code.
HISTORY

1. Change without regulatory effect renumbering former section 687 to new section 628, including amendment of Note, filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21). For prior history, see Register 93, No. 3.
§629. Qualifications and Experience for Alarm Company Operators.
Note     •     History

An applicant for a license as an alarm company operator, or his or her manager, shall have had at least two years of experience as an alarm company agent or the equivalent thereof as determined by the chief.
NOTE

Authority cited: Section 7591.2, Business and Professions Code. Reference cited: Section 7590.5, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 688 to new section 629, including amendment of Note, filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21). For prior history, see Register 82, No. 49.
§630. Untrue or Misleading Statements by an Alarm Company Operator.
Note     •     History

“Untrue or misleading statements” include, but are not limited to, a representation by an alarm company operator or agent that:
(a) an alarm system is: “Underwriters Laboratory approved or listed” (UL approved or listed) unless the entire system, and not only one or more components, is in fact, UL approved or listed;
(b) an alarm system is insurance approved, police approved or approved by the Department of Defense, unless in fact such approval has been obtained in writing.
NOTE

Authority cited: Section 7591.2, Business and Professions Code. Reference: Section 7599.55, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 689 to new section 630, including amendment of Note, filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21). For prior history, see Register 93, No. 3.
Article 7. Firearms and Other Deadly Weapons
§631. Requirements for Carrying or Use of Firearms or Simulated Firearms.
Note     •     History

(a) A registered employee shall not carry, use or possess a loaded or unloaded firearm in the performance of his duty, whether or not it is serviceable or operative, unless he has in his possession a firearms qualification card issued to him by the chief. Such card must be shown to any peace officer or bureau representative upon demand.
(b) A registered employee may not carry any replica or other simulated firearm.
NOTE

Authority cited: Sections 7515, 7581 and 7591.2, Business and Professions Code. Reference: Sections 7542, 7583.5, 7596 and 7599.40, Business and Professions Code; Sections 12031, 12033, Penal Code.
HISTORY

1. Change without regulatory effect moving article 7 heading from preceding section 691 to preceding section 631, and renumbering former section 691 to new section 631, including amendment of Note, filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21). For prior history, see Register 82, No. 49.
§631.1. Allowing the Carrying or Use of a Firearm.
Note     •     History

(a) A private patrol or alarm company operator shall no allow an employee to carry or use a loaded or unloaded firearm, whether or not it is serviceable or operative, unless such employee possesses a firearms qualification card.
(b) A private patrol or alarm company operator may not allow an employee to carry any replica or other simulated firearm.
NOTE

Authority cited: Sections 7515, 7581 and 7591.2, Business and Professions Code. Reference: Sections 7542, 7583.12, 7596.3 and 7599.40, Business and Professions Code; Sections 12031, 12033, Penal Code.
HISTORY

1. Change without regulatory effect renumbering former section 691.1 to new section 631.1 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21). 
§632. Firearms Qualification Card.
Note     •     History

(a) The bureau shall issue a firearms qualification card to an applicant where all of the following conditions exist:
(1) The applicant is a licensed private investigator, alarm company operator, private patrol operator or registered employee of such a licensee or is employed or compensated by a lawful business or public agency as a security guard or patrolperson;
(2) The applicant has filed with the bureau a completed application for a firearms qualification card on a form prescribed by the bureau, dated and signed by the applicant under penalty of perjury that the information in the application is true and correct;
(3) The application is accompanied by:
(A) Payment of the firearms qualification fee prescribed by Section 655.5.
(B) Proof, satisfactory to the bureau, of successful completion of a course approved by the bureau in the carrying and use of a firearm. Including:
1. Proof of successful passage of a written examination prescribed by the bureau. Such examination shall be based on information required to be taught pursuant to Section 697; and
2. Proof of qualifying on an approved firearm range with the caliber of weapon to be used by the applicant pursuant to Section 694.
(4) The bureau has determined, after investigation, that the carrying and use of a firearm by the applicant in the course of his or her duties presents no apparent threat to the public safety.
(b) The firearms qualification card, when issued, shall be mailed to the applicant at the address which appears on the application. In the event of the loss or destruction of the card the cardholder may apply to the chief for a certified replacement for the card, stating the circumstances surrounding the loss, and pay a $2.00 certification fee whereupon the chief shall issue a certified replacement for such card.
(c) A firearms qualification card does not authorize the holder thereof to carry a concealed weapon as that term is defined in Penal Code Section 12050.
NOTE

Authority cited: Sections 7515, 7581 and 7591.2, Business and Professions Code. Reference: Sections 7542, 7583.12, 7596.3, 7580 and 7599.40, Business and Professions Code; and Sections 12031, 12033 and 12050, Penal Code.
HISTORY

1. Change without regulatory effect renumbering former section 692 to new section 632, including amendment of Note, filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21). For prior history, see Register 93, No. 3.
§633. Bi-Annual Renewal of Firearms Qualification Card.
Note     •     History

(a) A firearms qualification card expires two years from the date of issuance, if not renewed. A person may renew a firearms qualification card by filing an application within 60 days prior to the card's expiration.
(b) An applicant shall complete and pass the range qualification course of fire requirements by firing 50 rounds for score on two separate occasions, but no sooner than four months apart, within each year prior to the card's expiration.
(c) An applicant shall complete and pass a review training course on the laws and standards regarding use of deadly force and on the avoidance of deadly force as provided in this section. Two hours of the review course shall be completed prior to completing a range qualification course of fire. The training regarding use of deadly force and the avoidance of deadly force may be administered by a Private Patrol Operator or a person designated by the licensee to administer the Powers to Arrest training. The training can also be conducted by a licensed Firearm Training Facility.
(d) An application for the renewal of a firearms qualification card shall include the following proof and information:
(1) Certification or documentation that the applicant has completed and passed the range qualification course of fire requirements on two separate occasions within each year prior to the card's expiration.
(2) Certification or documentation that the applicant has completed review course as outlined below:

Subject and Objective	Length of Time

A. Laws and standards regarding use of deadly force.	1 hour
Objective: to familiarize and instruct individual on the 
meaning of deadly force, the standards for using deadly 
force, the applicable laws relating to the use of deadly 
force and the consequences of not properly using deadly 
force or violating the standards and requirements for use 
of a weapon.
 1. Penal Code sections
 2. Government Code sections
 3. Bureau statutes and regulations
 4. Instructor examples

B. Avoidance of deadly force--The de-escalation of force.	1 hour
Objective: to familiarize and instruct individual on the
role of the armed security guard, the role that deadly force 
may play and when and how to de-escalate the use of 
deadly force.
(e) A Reserve Peace Officer is exempt from the firearms requalification requirements providing he/she submits documentation of firearms proficiency provided by the Law Enforcement entity with which he/she is associated, with their proof of renewal. This documentation must be submitted with the request for renewal of the exposed firearm permit.
NOTE

Authority cited: Statutes 1994, chapter 1091; and Sections 7515, 7581 and 7591.2, Business and Professions Code. Reference: Sections 7542, 7583.32, 7596.7 and 7599.40, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 693 to new section 633, including amendment of Note, filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21). For prior history, see Register 82, No. 49.
§634. Records of Firearms.
Note     •     History

Pursuant to Business and Profession Code Section 7583.2 the required firearm records shall contain the following information: make, model and serial number of the firearm or a description of any other deadly weapon, the name of the person who has title of ownership, the name of each person authorized to possess a firearm, or other deadly weapon and evidence that such person is proficient in the use of the particular caliber of firearm or the particular deadly weapon which the person carries, uses or possesses. Such records shall be retained for a period of not less than two years. All such records shall be available for inspection by the bureau at the licensee's principal place of business and copies shall be submitted to the bureau upon request.
NOTE

Authority cited: Sections 7515, 7581 and 7591.2, Business and Professions Code. Reference: Sections 7542, 7583.32, 7596.7 and 7599.40, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 696 to new section 634, including amendment of Note, filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21). For prior history, see Register 82, No. 49.
2. Change without regulatory effect amending section filed 4-25-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 17).
§635. Course of Firearm Training.
Note     •     History

The course of training in the carrying and usage of firearms required of applicants to obtain a firearm qualification card shall follow the standards prescribed by the Department of Consumer Affairs. Pursuant to Section 7585 of the Business and Professions Code the following outline includes the subjects which shall be taught and the length of time which shall be devoted to each subject.

FIREARMS TRAINING OUTLINE
Recommended Instruction Sequence

Subject and Objective	Length of Time

I. Registration (Classroom)	 

	A. Administration. Objective: to enroll individual in 
	course.	1/2 hour

	 1. Check individual identification
	 2. Check guard registration status
	 3. Have state forms filled out
	 4. Have training school forms filled out
	 5. Course admission and discussion

	B. Laws and regulations for issuing a firearms 	1/2 hour
	qualification card. Objective: to familiarize and
	instruct the individual on the laws, regulations, other
	requirements, and the administrative process for
	issuing a firearms qualification card and annual
	renewals.	

II. Moral and Legal Aspects (Classroom)	 4

	A. Laws regarding possession and carrying of firearms.	1/2 hour
	Objective: to familiarize and instruct the individual
	on the applicable California laws relating to the
	possession and carrying of firearms while working as
	an armed security guard.
	 1. Penal Code sections
	 2. Government Code sections
	 3. Bureau statutes and regulations
	 4. Instructor examples

	B. Laws and standards regarding use of deadly force.	2 hours
	Objective: to familiarize and instruct the individual
	on the meaning of deadly force, the standards
	for using deadly force, the applicable laws relating
	to the use of deadly force and the consequences
	of not properly using deadly force or violating
	the standards and requirements for use of a weapon.
	 1. Penal Code sections
	 2. Government Code sections
	 3. Bureau statutes and regulations
	 4. Instructor examples

	C. Avoidance of deadly force--The de-escalation of 
	 force.	2 hours
	Objective: to familiarize and instruct individual on the
	role of the armed security guard, the role that deadly
	force may play and when and how to de-escalate the
	use of deadly force.

	D. Shooting incidents. Objective: to familiarize and	1 hour
	instruct individual on what is likely to happen in a 
	shooting incident and how an armed security guard 
	should act to minimize the use of deadly force.

	E. Effects of firearms use. Objective: to familiarize and	1/2 hour
	instruct individual on how and why bullets travel and
	what implications this has on the use of deadly force.

III. Firearms Nomenclature, Maintenance (Classroom)	 

	A. The revolver and semi-automatic, ammunition, parts	1 hour 
	and nomenclature. Objective: to familiarize and
	instruct individual on the principles and operation of
	weapons, the differences between weapons and how
	to care for a weapon.
	 1. Picture of revolver and semi-automatic with parts
	   identified
	 2. Revolver and semi-automatic, parts and description
	 3. Picture of ammunition with parts identified
	 4. Ammunition parts and description

	B. Firearms safety, general. Objective: to familiarize	1 hour
	and instruct individual on how to safely fire, wear
	and store the weapon while on the firing range,
	or on duty or off duty.
	 1. General safety rules
	 2. Specific safety rules
	 3. Safety at home and off duty
	 4. Transporting the weapon to the range
	 5. Carrying the weapon on duty
	 6. Suggested eye and ear protective equipment.
	 7. Inspection, cleaning, and maintenance
	  a. General information
	  b. Inspection
	  c. Cleaning
	  d. Cleaning kit
	  e. To clean the weapon
	  f. Check list

IV. Weapon Handling and Shooting Fundamentals. 	1 hour
Objective: to familiarize and instruct individual
on the fundamentals of marksmanship and the
handling of weapons.
A. Weapon fundamentals, general differences between handguns

	B. Loading/Unloading
	 1. Proper loading procedures
	 2. Proper loading procedures (right handed)
	 3. Proper unloading procedures (right handed)
	 4. Proper loading procedures (left handed)
	 5. Proper unloading procedures (left handed)
	 6. Loading devices

	C. Proper positions
	 1. Point shoulder position
	 2. Standing, barricade or supported position
	 3. Kneeling position
	 4. Sitting position
	 5. Prone position
	 6. Cover and concealment
	 7. Bouncing bullets

	D. Grip
	 1. Two-handed grip

	E. The draw
	 1. General information
	 2. The holster and the draw

	F. Shooting Fundamentals
	 1. Sight alignment
	 2. Trigger squeeze (control)
	  a. Single action
	  b. Double action
	  c. Count your shots
	  d. Anticipation
	  e. Dry firing
	 3. Establishing the Dominant Eye

V. Examination	 1 hour

VI. Range Preparation (Classroom). Objective:	 1 hour
individual will review range safety and the fundamentals
of marksmanship and deployment of weapons. In addition,
the individual will review requirements for the use of
deadly force.

	A. Range location.
	B. Equipment needed.
	C. Course of fire (explanation).
	D. Targets, scoring explanation (NRA B-27A or NRA B 21).

	E. Range commands (explanation).
	F. Use of deadly force.

VII. Range Training. Objective: to instruct individual	 As needed
in the safe and accurate use of a firearm until such
time as the individual demonstrates to the
instructor that he or or she can safely draw and 
fire the weapon and has a high likelihood of passing
the qualification course.
A. Instructions 
B. Drawing and holstering practice
C. Dry firing
D. Loading and reloading procedures

VII. Range Qualification. Objective: individual shall pass
firearms qualification based on his or her demonstrated
use of weapon.

	A. Course of fire. Each individual shall discharge 50
	rounds a minimum of 2 times according to the following
	schedule:
	(All stages are unsupported.)

	Stage 1	15 yards	6 rounds in 30 seconds
			 *6 standing position

	Stage 2	7 yards	14 rounds in 45 seconds (includes
			2 reloads) (load 6,6 and 2)
			 *6 standing position
			 *8 kneeling position

	Stage 3	7 yards	6 rounds in 10 seconds (any position)

	Stage 4	7 yards	12 rounds in 25 seconds (includes 
			reload) (load 6 and 6)
			 *6 strong hand unsupported
			 (reload and switch hands)
			 *6 weak hand unsupported

	Stage 5	5 yards	6 rounds
			 *3 rounds in 4 seconds (2 stages)

	Stage 6	3 yards	6 rounds
			 *2 rounds in 3 seconds (3 stages)

	B. Scoring. The first course of 50 rounds discharged shall be 
	considered practice. The second course of 50 rounds 
	discharge shall be used for scoring.
	 1. Silhouette targets shall be used. A 5 point score shall
	   be granted for each round discharged in head or body 
	   kill area.
	 2. Each individual shall qualify with an 80% score (200
	   out of 250 points) on the scoring segment.
	 3. Each individual shall be informed whether his or her 
	   score passes or fails.
NOTE

Authority cited: Statutes 1994, chapter 1091; and Sections 7515, 7581 and 7591.2, Business and Professions Code. Reference: Sections 7542, 7583.22, 7583.23, 7583.32, 7596, 7596.3, 7596.7 and 7599.40, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 697 to new section 635, including amendment of Note, filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21). For prior history, see Register 93, No. 3.
2. Change without regulatory effect amending subsections VI.D. and VII.B. filed 4-25-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 17).
§636. Course Approval.
Note     •     History

(a) Institutions, firms, or persons wishing approval of the bureau to offer a course in the carrying and usage of firearms must apply in writing to the bureau and include the following information:
(1) A detailed outline of the course.
(2) the name of the instructor and a description of his or her qualifications, and
(3) places and dates where the course will be offered, length of the course, and an estimate of the maximum number of persons who will take the course.
(b) Such information must be supplied to the Bureau at least two months before the course is to be given. A course will not be approved that enrolls students prior to approval by the Bureau.
(c) Approval of a course may be withdrawn by the Bureau in writing.
NOTE

Authority cited: Sections 7515, 7581 anbd 7591.2, Business and Professions Code. Reference: Sections 7585.4, 7585.5, 7585.6 and 7585.7, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 698 to new section 636, including amendment of Note, filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21). For prior history, see Register 93, No. 3.
§637. Suspension or Revocation.
Note     •     History

Any use of a firearm by a holder of a Firearms Qualification Card which is in violation of law or in knowing violation of the standards for carrying and usage of firearms as taught in the course of training in the carrying and use of firearms may be grounds for suspension or revocation of the holder's Firearms Qualification Card.
NOTE

Authority cited: Sections 7515, 7581 and 7591.2, Business and Professions Code. Reference: Sections 7561.1, 7587.1 and 7599.61, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 699 to new section 637, including amendment of Note, filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§637.1. Definition.
Note     •     History

For purposes of this article, “registered employee” means any person who is required by the bureau's regulations to be registered with the bureau or who is required to complete courses of training in powers to arrest and in the carrying and use of firearms as a condition of becoming eligible to carry a deadly weapon pursuant to Penal Code Section 12031(d).
NOTE

Authority cited: Sections 7515, 7581 and 7591.2, Business and Professions Code; Sections 12031, 12033, Penal Code. Reference: Sections 7542, 7583.22 and 7596, Business and Professions Code, and Sections 12031, 12033, Penal Code.
HISTORY

1. Change without regulatory effect renumbering former section 699.1 to new section 637.1, including amendment of section and Note, filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
Article 8. Fees
§638. Locksmith Fees.
Note     •     History

The fees prescribed by section 6980.79 of the Locksmith Act in the Business and Professions Code are those fixed in the following schedule:
(a) A locksmith license application fee shall be thirty dollars ($30).
(b) An original license and renewal fee for a locksmith license shall be forty-five dollars ($45).
(c) A branch office registration fee and branch office renewal fee shall be thirty-five dollars ($35).
(d) An initial registration fee for an employee shall be twenty dollars ($20).
(e) A registration renewal fee for an employee performing the services of a locksmith shall be twenty dollars ($20).
(f) The fee for a “Certificate of Licensure” shall be twenty dollars ($20).
NOTE

Authority cited: Section 6980.7, Business and Professions Code. Reference: Section 6980.79, Business and Professions Code.
HISTORY

1. New article 8 (sections 638-641) and section filed 7-1-2002; operative 7-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 27).
§639. Private Investigator Fees.
Note     •     History

The fees prescribed by section 7570 of the Private Investigator Act are as follows:
(a) The application and examination fee for an original license shall be fifty dollars ($50).
(b) The application fee for an original branch office certificate shall be thirty dollars ($30).
(c) The fee for an original license for a private investigator shall be one hundred seventy-five dollars ($175).
(d) The renewal fee is as follows:
(1) For a license as a private investigator, the fee shall be one hundred twenty-five dollars ($125).
(2) For a combination license as a private investigator and private patrol operator under Chapter 11.5 (commencing with Section 7580), AC or DC prefix, the fee shall be six hundred dollars ($600).
(3) For a branch office certificate for a private investigator, the fee shall be thirty dollars ($30), and for a combination private investigator and private patrol operator under Chapter 11.5 (commencing with Section 7580), the fee shall be forty dollars ($40).
(e) The fee for reexamination of an applicant or his or her manager shall be fifteen dollars ($15).
NOTE

Authority cited: Section 7515, Business and Professions Code. Reference: Section 7570, Business and Professions Code.
HISTORY

1. New section filed 7-1-2002; operative 7-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 27).
§640. Private Security Services Fees.
Note     •     History

The fees prescribed by Section 7588 of the Private Security Services Act are as follows:
(a) The application and examination fee for an original license for a private patrol operator shall be five hundred dollars ($500).
(b) The application fee for an original branch office certificate for a private patrol operator shall be two hundred fifty dollars ($250).
(c) The fee for an original license for a private patrol operator shall be seven hundred dollars ($700).
(d) The renewal fee is as follows:
(1) For a license as a private patrol operator, the fee shall be seven hundred dollars ($700).
(2) For a combination license as a private investigator under Chapter 11.3 (commencing with Section 7512) and private patrol operator, AC or DC prefix, the fee shall be six hundred dollars ($600).
(3) For a branch office certificate for a combination private investigator under Chapter 11.3 (commencing with Section 7512) and private patrol operator, the fee shall be forty dollars ($40), and for a private patrol operator, the fee shall be seventy-five dollars ($75).
(e) The fee for reexamination of an applicant or his or her manager shall be forty dollars ($40).
(f) Registration fees are as follows:
(1) A registration fee for a security guard shall be fifty dollars ($50).
(2) A security guard registration renewal fee shall be thirty-five dollars ($35).
(g) Fees to carry out other provisions are as follows:
(1) A firearms qualification fee shall be eighty dollars ($80).
(2) A firearms requalification fee shall be sixty dollars ($60).
(3) An initial baton certification fee shall be fifty dollars ($50).
(4) An application fee and renewal fee for certification as a firearms training facility or a baton training facility shall be five hundred dollars ($500).
(5) An application fee and renewal fee for certification as a firearms training instructor or a baton training instructor shall be two hundred fifty dollars ($250).
NOTE

Authority cited: Section 7581, Business and Professions Code. Reference: Section 7588, Business and Professions Code.
HISTORY

1. New section filed 7-1-2002; operative 7-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 27).
2. Amendment of subsections (f)(1)-(f)(2) filed 4-9-2007; operative 5-9-2007 (Register 2007, No. 15).
§641. Alarm Company Operator and Agent Fees.
Note     •     History

The fees prescribed by section 7599.70 of the Alarm Company Act are as follows:
(a) An alarm company license application fee shall be thirty-five dollars ($35).
(b) An original license fee for an alarm company operator license shall be two hundred eighty dollars ($280). A renewal fee for an alarm company operator license shall be three hundred thirty-five dollars ($335).
(c) An alarm qualified manager application and examination fee shall be one hundred five dollars ($105).
(d) A renewal fee for an alarm qualified manager shall be one hundred twenty dollars ($120).
(e) An original license fee and renewal fee for a branch office certificate shall be thirty-five dollars ($35).
(f) A fee for reexamination of an applicant for a qualified manager shall be one hundred and sixty-five dollars ($165).
(g) An initial registration fee for an alarm agent shall be seventeen dollars ($17).
(h) A registration renewal fee for an alarm agent shall be seven dollars ($7).
(i) A firearms qualification fee shall be eighty dollars ($80) and a firearms requalification fee shall be sixty dollars ($60).
(j) The fee for a “Certificate of Licensure” shall be fifty dollars ($50).
NOTE

Authority cited: Section 7591.6, Business and Professions Code. Reference: Section 7599.70, Business and Professions Code.
HISTORY

1. New section filed 7-1-2002; operative 7-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 27).
§642. Collateral Recovery Fees.
Note     •     History

The fees prescribed by section 7511 of the Collateral Recovery Act are as follows:
(a) The application fee for an original repossession agency license shall be eight hundred twenty-five dollars ($825).
(b) The application fee for an original qualification certificate shall be three hundred twenty-five dollars ($325).
(c) The renewal fee for a repossession agency license shall be seven hundred fifteen dollars ($715) biennially.
(d) The renewal fee for a license as a qualified certificate holder shall be four hundred fifty dollars ($450) biennially.
(e) Notwithstanding Section 163.5, the reinstatement fee for a repossession agency license required pursuant to Sections 7503.11 and 7505.3 is the amount equal to the renewal fee plus a penalty of 50 percent thereof.
(f) Notwithstanding Section 163.5, the reinstatement fee for a license as a qualified certificate holder required pursuant to Sections 7504.7 and 7503.11 is the amount equal to the renewal fee plus a penalty of 50 percent thereof.
(g) A fee for reexamination of an applicant for a qualified manager shall be thirty dollars ($30).
(h) An initial registrant registration fee shall be seventy-five dollars ($75), a registrant reregistration fee shall be thirty dollars ($30), and a registrant biennial renewal fee shall be sixty dollars ($60) per registration. Notwithstanding Section 163.5 and this subdivision, the reregistration fee for a registrant whose registration expired more than one year prior to the filing of the application for reregistration shall be seventy-five dollars ($75).
(i) The delinquency fee is 50 percent of the renewal fee in effect on the date of expiration, but not less than twenty-five dollars ($25).
(j) The fingerprint processing fee is that amount charged the bureau by the Department of Justice.
(k) The director shall furnish one copy of any issue or edition of the licensing law and rules and regulations to any applicant or licensee without charge. The director shall charge and collect a fee of ten dollars ($10) plus sales tax for each additional copy which may be furnished on request to any applicant or licensee, and for each copy furnished on request to any other person.
(l) The processing fee for the assignment of a repossession agency license pursuant to Section 7503.9 shall be one hundred twenty-five dollars ($125).
NOTE

Authority cited: Section 7501.6, Business and Professions Code.  Reference: Section 7511, Business and Professions Code.
HISTORY

1. New section filed 5-15-2003; operative 5-15-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 20). 
§642.5. Proprietary Private Security Officer Fees.
Note     •     History

The fees authorized by Section 7574.2 of the Proprietary Security Services Act are as follows:
(1) A registration fee for a proprietary private security guard shall be fifty dollars ($50).
(2) A proprietary private security guard registration renewal fee shall be thirty-five dollars ($35).
(3) The delinquency fee is 50 percent of the renewal fee in effect on the date of expiration.
NOTE

Authority cited: Section 7574.2, Business and Professions Code. Reference: Section 7542.2, Business and Professions Code.
HISTORY

1. New section filed 8-17-2006; operative 8-17-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 33).
Article 9. Skills Training Course for Security Guards
§643. Skills Training Course for Security Guards.
Note     •     History

(a) The course of skills training for registered security guards shall follow the standards prescribed by section 7583.6(b) of the Business and Professions Code. The attached Appendix sets forth the subjects that shall be taught and the maximum number of hours that shall be allowed towards meeting required training.
(b) For each course, or series of courses, the institution or company providing the training shall issue a Certificate of Completion to the individual completing the course. The certificate shall identify the course(s) taken, the number of hours of training provided, identification of the issuing entity, name of the individual and instructor and a date, and state that the course(s) comply with the Department of Consumer Affairs' Skills Training Course for Security Guards. The certificate shall be serially numbered for tracking.
NOTE

Authority cited: Section 7581, Business and Professions Code. Reference: Sections 7583.6 and 7583.7, Business and Professions Code.
HISTORY

1. New article 9 (section 643 and appendix), section and appendix filed 6-24-2004 as an emergency; operative 6-24-2004 (Register 2004, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-22-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-24-2004 order, including amendment of appendix, transmitted to OAL 10-21-2004 and filed 12-6-2004 (Register 2004, No. 50).
3. Amendment of subsection (b) and appendix filed 4-9-2007; operative 5-9-2007 (Register 2007, No. 15).

Appendix
I. Power to Arrest Course Outline
The Power to Arrest Course consists of four (4) hours of training in both of the following two (2) subjects:

A. Powers to Arrest	4 hours
Objective: To familiarize and instruct the individual on the training topics delineated at Business and Professions Code section 7583.7, including, without limitation, legal aspects, techniques, liability, and company requirements relating to the arrest of an individual. The training will utilize the Department of Consumer Affairs' Power to Arrest Training Manual and may include lecture, discussion, exercises and role-playing.
1. Overview of Power to Arrest Manual and subject matter.
2. Definition of arrest and discussion on the implications to the subject, the guard and the company.
3. Lecture/discussion on escalation and de-escalation techniques in the use of force.
4. Lecture/discussion in the use of restraint techniques and their implications.
5. Discussion of trespass laws and implications of enforcement.
6. Completion of the Power to Arrest Training Manual Test with 100% score in accordance with the Manual's Administering Instructions.

B. Weapons of Mass Destruction (WMD) & Terrorism 
Awareness	4 hours
Objective: To familiarize and instruct the individual on the subject matter and observation skills required to identify and report precursor activities to a terrorist event, react appropriately, report the occurrence of a terrorist event, and remain safe while helping control the scene after a terrorist event. The training will utilize the Department of Consumer Affairs' Weapons of Mass Destruction & Terrorism Awareness for Security Professionals course consisting of a Digital Video Disk (DVD), Student Workbook and Facilitator Manual.
1. Introduction and overview of training.
2. The Role of a Security Officer
3. The Nature of Terrorism.
4. Weapons of Mass Destruction.
5. Coordinating and Sharing of Critical Information
II. Mandatory Outline of Courses
Objective: To familiarize and instruct the individual in basic skills and provide a common body of knowledge in the performance of security guard work. All courses shall include information and subject matter pertaining to the outline provided. Additionally, all courses shall include written material, lecture or exercises to assure that the individual comprehends the subject matter presented. Every newly licensed or employed security guard shall complete two of the mandatory courses within thirty (30) days from the day the guard's registration card is issued or the day the guard begins employment. The remaining two mandatory courses each consisting of four (4) hours of instruction, shall be completed within the first six (6) months from the day the guard registration card is issued or the day the guard begins employment as a security guard. Pursuant to Business and Professions Code Section 7583.6(b) the following outline includes subjects that shall be taught and the maximum number of hours that will be allowed for completion of the Mandatory Courses.

A. Public Relations (Community & Customer)	4 hours
 1. Recognizing Gender & Racial Harassment & Discrimination
 2. Respect:
  · Stereotyping
  · Attitude
 3. Verbal Skills / Crisis Intervention
 4. Introduction to Diversity
 5. Substance Abuse & Mental Illness
 6. Ethics & Professionalism
  · Appearance
  · Command Presence
  · Proper Conduct

B. Observation & Documentation	4 hours
 1. Report Writing
 2. English as a Second Language
 3. Observation and Patrol Techniques
 4. Asking Appropriate Questions
 5. Observing Suspects/Suspicious Activity

C. Communication and its Significance	4 hours
 1. Internal
  · Protocols Pursuant to Contract (Who to Contact & When)
  · Radio / Monitors
  · Other Technology
 2. External
  · Emergency/First Responders
  · Medical Personnel
  · Police / Sheriff / Other Enforcement
  · City Services / Government Services

D. Liability / Legal Aspects	4 hours
 1. Personal / Contractor / Employer
 2. Criminal, Civil, Administrative
 3. BSIS Code & Regulations
 4. Role of a Security Guard
III. Elective Course Outlines
Objective: To familiarize and instruct the individual in basic employer requirements relating to the performance of guard duties. Additionally, to provide the employer and the individual with the opportunity to select additional course work to improve the skills and knowledge of the individual. The listed courses should include a mixture of written materials, lecture and exercises. The hours listed are the maximum number of hours that will be accepted as part of the 16 hours of elective training mandated by the Business and Professions Code section 7583.6. Every newly licensed security guard shall complete a minimum of eight (8) hours of elective courses within thirty (30) days from the day the security guard's registration card is issued or the day the guard begins employment. An additional eight (8) hours of elective courses shall be completed within the first six (6) months from the day the security guard's registration card is issued or the day the guard begins employment. Pursuant to Business and Professions Code Section 7583.6(b), the following outline includes subjects that shall be taught and the maximum number of hours that will be allowed for completion of the elective courses.

A. Post Orders & Assignments	4 Hrs. Maximum
 1. Site Specific Training
 2. Equipment
  · Monitoring 
  · Communication
  · Alarms
  · Elevators, Etc.
 3. Emergency Response Issues
 4. Liability Implications
 5. Lost / Found Articles

B. Employer Policies / Orientation	4 Hrs. Maximum
 1. Employer Reports / Paperwork
 2. Reporting Processes / Procedures
 3. Tax Forms, Health Forms, Etc.
 4. Uniforms
 5. Work Schedules
 6. Other Internal Policies, Processes or Procedures
 7. Employer Use of Force Policy

C. Evacuation Procedures	2 Hrs. Maximum
 1. Emergency Procedures Related to Life, Safety and Acts of Nature
 2. Working Knowledge of Evacuation Routes
  · Stairs
  · Elevators
  · Doors
 3. Power Outage
 4. Specific Points of Contact

D. Officer Safety	4 Hrs. Maximum
 1. Threat Assessment
 2. Subject Contact
 3. Safety Awareness
 4. Blood Born Pathogens
 5. Environmental/Hazardous Materials

E. Arrests, Search & Seizure (more advanced 
than PTA course)	4 Hrs. Maximum
 1. PC 836, 837 & the Differences
 2. US Constitution & Amendments Impacting Guard Responsibilities
 3. Loss Prevention
 4. Merchant Law
 5. Use of Force

F. Access Control	2 Hrs. Maximum
 1. Identification Procedures
 2. Electronic Use/CCTV
 3. Non-electronic procedures

G. Trespass	4 Hrs. Maximum
 1. Open Land
 2. Private Property
 3. Private Building
 4. Public Property
 5. Places of Public Accommodation/Public Access

H. Laws, Codes, Regulations and Ordinances	2 Hrs. Maximum
 1. Specific to Post Assignment

I. First Aid / CPR	4 Hrs. Maximum
 1. American Red Cross
 2. American Heart Association Courses
 3. Automatic Defibrillator Devices (AED's)

J. Handling Difficult People	4 Hrs. Maximum
 1. Communications
 2. Conflict Management
 3. Speaking Constructively
 4. Valuing Diversity
 5. Negotiating
 6. Verbal Diffusion

K. Work Place Violence	4 Hrs. Maximum
 1. Detecting Unusual Behavior/Warning Signs
  · Worker to Worker
  · Client to Customer
  · Supervisor to Subordinate
 2. Anger Management
 3. Valuing Diversity
 4. Personal Security
 5. Reporting

L. Chemical Agents	4 Hrs. Maximum
 1. Tear Gas Use and Effects
 2. Pepper Spray Use and Effects
 3. Air Borne Chemical Agents
 4. Water Borne Chemical Agents

M. Preserving the Incident Scene	4 Hrs. Maximum
 1. Identifying Evidence
 2. Care and Handling of Evidence
 3. Securing the Immediate Area
 4. Legal Issues to Evidence Tampering and/or Removal
 5. Witness/Participant Identification

N. Crowd Control	4 Hrs. Maximum
 1. Controlling Boisterous Celebrations
 2. Handling Disputes
 3. Confronting Conflicts Constructively
 4. Planning for Civil Disobedience/Disturbances
 5. Labor Actions, Disputes, Workplace Stoppages

O. Driver Safety	4 Hrs. Maximum
 1. Cars
 2. Bicycles
 3. Golf Carts

P. Supervision	4 Hrs. Maximum
 1. Roles and Responsibilities
 2. Legal Liability

Q. Courtroom Demeanor	4 Hrs. Maximum

R. Parking / Traffic Control	2 Hrs. Maximum

S. Radio Procedures	2 Hrs. Maximum

T. BSIS's Certified Course in Firearms 
Training	8 Hrs. Maximum

U. BSIS's Certified Course in Baton Training	4 Hrs. Maximum

V. School Security Guard Training	8 Hrs. Maximum
 (In compliance with Bureau developed Training Syllabus)

W. Introduction to Executive Protection	4 Hrs. Maximum

X. Annual Firearms Requalification	4 Hrs. Maximum

Y. Fire Safety Course	4 Hrs. Maximum

Z. Course in the Use of a Stun Gun or Air 
Taser	4 Hrs. Maximum
IV. Continuing Education
Objective: To provide additional or remedial instruction in private security subject matter. The continuing education requirement, of an additional 8 hours annually pursuant to Business and Professions Code Section 7583.6(f)(1), commenced on January 5, 2005. The annual training may be provided by an independent training entity or may be provided by the employer. Employer provided training must be supported by evaluation of the licensed guards' skills. The annual training may repeat previous course(s) or may provide additional course(s) on topics applicable to private security work. The Mandatory and Elective courses with 4 hour maximum time limitations for the initial Skills Training Course For Security Guards may be expanded in depth to 8 hour courses, with the exception of the WMD and Terrorism Awareness, to meet the annual training hours. Additionally, training in use of specific types of batons or a four (4) hour refresher course every other year may also be utilized to meet the continuing education requirements. For each course completed, the training entity or company providing the training shall issue a Certificate of Completion to the individual completing the course in compliance with the appearance requirements stated in Title 16, California Code of Regulations, Section 643(b).
§645. Skills Training Course for Proprietary Private Security Officers.
Note     •     History

(a) The course for Proprietary Private Security Officers shall follow the standards prescribed by section 7574.18 of the Business and Professions Code. The following sections set forth the subjects that shall be taught and the minimum number of hours to meet the required training. 
(b) For each course, or series of courses, the institution or company providing the training shall issue a Certificate of Completion to the individual completing the course. The certificate shall identify the type of course(s) taken, the number of hours of training provided, identification of the issuing entity, name of the individual taking the course, the instructor administering the course, and the date the course(s) was administered and completed. The Certificate of Completion must also state that the course(s) comply with the Department of Consumer Affairs' Skills Training Course for Proprietary Private Security Officers. The certificate shall be serially numbered for tracking purposes. 
(c) The Power to Arrest section of the course shall consist of a minimum of four hours of training. Two hours shall consist of Power to Arrest training. The training shall utilize the Department of Consumer Affairs' Power to Arrest Training Manual and may include lecture, discussion, exercises and roleplaying. The additional two hours shall consist of the Department of Consumer Affairs' Weapons of Mass Destruction and Terrorism Awareness Training for Security Professionals. The course consists of a Digital Video Disc (DVD) and a Compact Disc (CD) containing the Facilitator Guide and Student Workbook. 
A minimum of 12 hours must be spent covering the courses listed under sections II through VI of subsection (d). The complete course of training shall consist of a minimum of 16 hours and shall be completed within the first six months from either the date of employment or date of issuance of the proprietary private security officer's registration. 
(d) Proprietary Private Security Officer Training Courses I thru VI

I. POWER TO ARREST: 

A. Overview and Origin of Authority to Detain 
and Arrest	2 Hour Minimum
1. Overview and Origin of Authority to Detain and Arrest
2. Definition of a Detention
3. Definition of an Arrest 
4. What is a Private Citizen's Arrest 
5. Use of Force
a. Legal
b. Employer Policy
6. Search and Seizure
a. 4th Amendment of the U.S. Constitution
b. Acting as a Law Enforcement Agent 
c. Discovering Contraband 
7. Definition of Private/Public Property 
a. Jurisdiction
b. Trespass 

B. Terrorism Awareness Weapons of Mass 
Destruction Training for Security Professionals	2 Hour Minimum
1. Introduction and Overview of the Training
2. The Role of a Security Officer
3. The Nature of Terrorism
4. Weapons of Mass Destruction 
5. Coordinating and Sharing of Critical Information

Sections II through VI	12 Hour Minimum

II. ROLES AND RESPONSIBILITIES
1. Definition of Proprietary
a. Employed by Company
b. Distinctive Uniform
c. Unarmed
d. Interact with Public 
2. General 
a. Private Citizen 
b. Authority Originates from Company
c. Service Oriented 
d. Employer Specific Policy

III. PUBLIC AND EMPLOYER EXPECTATIONS
1. Ethics 
2. Professionalism
3. Job Conduct
4. Cultural Awareness 
5. Sexual Harassment

IV. LIABILITY ISSUES
1. Overview of Civil Law, Criminal Law and Torts 
a. Personal 
b. Employer
2. Bureau of Security and Investigative Services Laws and Regulations
3. Explanation of a Duty to Care 
a. Reasonable Expectation for a “Safe Environment” 
b. Employer Specific
4. Explanation of Negligence 
5. Examples of Common Liabilities 
6. Accurate Reporting/Documentation 

V. COMMUNICATION/CONFLICT MANAGEMENT
1. Interpersonal Communications Skills
a. Approach 
b. Body Language 
c. Listening
d. Empathy. 
2. Situational Awareness 
a. Environment 
b. Positioning 
c. Subjects 
3. Managing Disputes 
4. Diffusing/De-escalation of Situations
5. Reacting to Violent Incidents 
a. Types 
b. Law Enforcement Notification

VI. EMERGENCY PROCEDURES
1. Emergencies Related to Acts of Nature 
2. Emergencies Related to Acts of Persons 
3. Overview of Public Expectation during an Emergency
4. Explanation of Emergency Plans 
5. Explanation of Emergency Evacuation Plans 

I. Total hours	16 Hour Minimum

(e). CONTINUED EDUCATION	2 Hour Minimum

OBJECTIVE: To provide additional or remedial instruction in proprietary private security subject matter. The annual continuing education requirement in Business and Professions Code Section 7574.18 shall be two hours. The annual training shall be provided by the employer. The employer may administer the training in-house or it may be administered by an independent training entity. The annual training may be a repeat of a previous course if the employer's evaluation shows that the employee is deficient in skills or capabilities. Training may consist of any security related course. For each course completed, the training entity or company providing the training shall issue a Certificate of Completion to the individual completing the course(s) in compliance with the requirements stated in Title 16, California Code of Regulations, Section 645(b). 
NOTE

Authority cited: Section 7574.05, Business and Professions Code. Reference: Section 7574.18, Business and Professions Code. 
HISTORY

1. New section filed 11-12-2009; operative 12-12-2009 (Register 2009, No. 46).
2. Change without regulatory effect amending subsections (a) and (e) and Note filed 4-25-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 17).
§651. Partnerships and Corporations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7514, Business and Professions Code. Reference: Sections 7526.3, 7526.4, 7527, 7529 and 7534, Business and Professions Code.
HISTORY

1. Amendment of Article 3 heading and Section 651 filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
2. Repealer filed 8-7-87; operative 9-6-87 (Register 87, No. 33).
3. Change without regulatory effect moving article 3 heading from preceding section 651 to preceding section 620 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§651.1. Qualifications and Experience. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 7515 and 591.6, Business and Professions Code. Reference: Sections 7515, 7526, 7541, 7544.1, 7550, 7591.6 and 7593, Business and Professions Code.
HISTORY

1. Renumbering and amendment of Section 656 to Section 651.1 filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
2. Amendment of subsections (a) and (c) filed 9-29-87; operative 10-29-87 (Register 87, No. 40).
3. Change without regulatory effect renumbering former section 651.1 to new section 620 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§651.2. Scope of Examination. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 7514 and 7527, Business and Professions Code. Reference: Sections 7526 and 7527, Business and Professions Code.
HISTORY

1. Renumbering of Section 657 to Section 651.2 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35). For prior history, see Register 80, No. 1.
2. Renumbering and amendment of Section 651.2 to Section 605 filed 9-1-87; operative 10-1-87 (Register 87, No. 37).
§652. Combination Licenses. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7514, Business and Professions Code. Reference: Sections 7514 and 7521, Business and Professions Code.
HISTORY

1. New section filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35). For history of former section, see Register 80, No. 1.
2. Repealer filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
§652.1. Amount of Fees. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7514, Business and Professions Code. Reference: Section 7580, Business and Professions Code.
HISTORY

1. Renumbering and amendment of Section 665.5 to Section 652.1 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35). For prior history, see Register 81, No. 7.
2. Amendment filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
3. Repealer filed 8-7-87; operative 9-6-87 (Register 87, No. 33).
§653. Time and Place of Examination. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7514, Business and Professions Code. Reference cited: Sections 7514 and 7527, Business and Professions Code.
HISTORY

1. Repealer filed 12-31-79; designated effective 2-1-80 (Register 80, No. 1).
§653.1. Separation from Business of Qualified Persons. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7514 and 7529, Business and Professions Code. Reference: Sections 7514, 7529 and 7530, Business and Professions Code.
HISTORY

1. Renumbering of Section 666 to Section 653.1 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35). For prior history, see Register 80, No. 1.
2. Repealer filed 8-7-87; operative 9-6-87 (Register 87, No. 33).
§654. Advertisement. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 6863, 7514 and 7542, Business and Professions Code. Reference cited: Sections 6887, 6917, 6947, 7527, and 7542, Business and Professions Code.
HISTORY

1. Renumbering of Section 668 to Section 654 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35). For prior history, see Register 74, No. 47.
2. Change without regulatory effect renumbering former section 654 to new section 621 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§654.1. Untrue or Misleading Statements. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 7514 and 17500, Business and Professions Code. Reference: Section 7514, Business and Professions Code.
HISTORY

1. Renumbering of Section 684(a) to Section 654.1 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35). For prior history, see Register 78, No. 5.
2. Renumbering and amendment of Section 654.1 to Section 608 filed 9-1-87; operative 10-1-87 (Register 87, No. 37).
§654.2. Dishonesty or Fraud. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 7515 and 7591.6, Business and Professions Code. Reference: Sections 7561.4 and 7599.61, Business and Professions Code.
HISTORY

1. Renumbering of Section 685 to Section 654.2 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
2. Amendment filed 9-29-87; operative 10-29-87 (Register 87, No. 40).
3. Change without regulatory effect renumbering former section 654.2 to new section 621.2 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§655. Branch Office Certificates. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 7514, 7543 and 7580 Business and Professions Code. Reference: Sections 7543 and 7580, Business and Professions Code.
HISTORY

1. Renumbering and amendment of Section 676 to Section 655.1 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
2. Repealer of former Section 655 and renumbering and amendment of Section 655.1 to Section 655 filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
3. Change without regulatory effect renumbering former section 655 to new section 622 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§656. Qualifications and Experience. [Renumbered]
Note     •     History

NOTE

Additional reference: Section 7514, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 2-2-78; effective thirtieth day thereafter (Register 78, No. 5).
2. Renumbering and amendment of Section 656 to Section 651.1 filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49). (a) filed 2-2-78; effective thirtieth day thereafter (Register 78, No. 5).
§657. Substantial Relationship Criteria. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 481, 6863 and 7514, Business and Professions Code. Reference: Sections 475, 480, 481, 482 and 490, Business and Professions Code.
HISTORY

1. Amendment filed 12-31-79; designated effective 2-1-80 (Register 80, No. 1).
2. Renumbering of former Section 657 to Section 651.2 and renumbering of Section 689 to Section 657 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
3. Renumbering and amendment of Section 657 to Section 603.1 filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
§658. Waiver of Examination. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7514, Business and Professions Code. Reference: Section 7527, Business and Professions Code.
HISTORY

1. Repealer filed 12-31-79; designated effective 2-1-80 (Register 80, No. 1).
§659. Law Enforcement Review of Applicant. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 7515 and 7591.6, Business and Professions Code. Reference: Sections 7526, 7538 and 7591.10, Business and Professions Code.
HISTORY

1. Renumbering and amendment of Section 694 to Section 659 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
2. Amendment filed 9-29-87; operative 10-29-87 (Register 87, No. 40).
3. Change without regulatory effect renumbering former section 659 to new section 623 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§660. Investigative Reports to Customers. [Renumbered]
History

HISTORY

1. Renumbering of Section 681 to Section 660 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35). For prior history, see Register 80, No. 1.
2. Change without regulatory effect moving article 4 heading from preceding section 660 to preceding section 624 and renumbering former section 660 to new section 624 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§665. Classification of Licenses. [Repealed]
Note     •     History

NOTE

Additional authority cited: Section 7514, Business and Professions Code. Additional reference: Section 7514, Business and Professions Code.
HISTORY

1. Amendment filed 9-27-73; effective thirtieth day thereafter (Register 73, No. 39).
2. Amendment of subsection (a) filed 2-2-78; effective thirtieth day thereafter (Register 78, No. 5).
3. Repealer filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
§665.5. Amount of Fees. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7514 and 7580, Business and Professions Code. Reference: Section 7580, Business and Professions Code.
HISTORY

1. New section filed 9-27-73; effective thirtieth day thereafter (Register 73, No. 39).
2. Amendment filed 1-24-78; effective thirtieth day thereafter (Register 78, No. 4).
3. Amendment of subsection (b) filed 2-2-78; effective thirtieth day thereafter (Register 78, No. 5).
4. Amendment filed 12-31-79 as an emergency; designated effective 1-2-80. Certificate of Compliance included (Register 80, No. 1).
5. Amendment of subsection (n) and new subsection (p) filed 2-11-81; effective thirtieth day thereafter (Register 81, No. 7).
6. Repealer filed 8-7-87; operative 9-6-87 (Register 87, No. 33).
§666. Separation from Business of Qualified Persons. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 7514 and 7529, Business and Professions Code. Reference: Sections 7514, 7529 and 7530, Business and Professions Code.
HISTORY

1. Amendment filed 12-31-79; designated effective 2-1-80 (Register 80, No. 1).
2. Renumbering of Section 666 to Section 653.1 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
§667. License Numbers. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7514, Business and Professions Code. Reference: Sections 7514, 7531 and 7535, Business and Professions Code.
HISTORY

1. Repealer filed 12-31-79; designated effective 2-1-80 (Register 80, No. 1).
§668. Advertisement. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 6863, 7514 and 7542, Business and Professions Code. Reference cited: Sections 6887, 6917, 6947, 7527, and 7542, Business and Professions Code.
HISTORY

1. New section filed 11-22-74; effective thirtieth day thereafter (Register 74, No. 47).
2. Renumbering of Section 668 to Section 654 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
§669. Alarm Company Reports. [Repealed]
Note     •     History

NOTE

Additional Authority cited: Section 7514, Business and Professions Code. Reference: Section 7514, Business and Professions Code.
HISTORY

1. New section filed 2-2-78; effective thirtieth day thereafter (Register 78, No. 5).
2. Repealer filed 12-31-79; designated effective 2-1-80 (Register 80, No. 1).
§670. Guidelines for Alarm Company Operators. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7514, Business and Professions Code. Reference: Sections 7514 and 7538, Business and Professions Code.
HISTORY

1. New section filed 2-2-78; effective thirtieth day thereafter (Register 78, No. 5).
2. Repealer filed 12-31-79; designated effective 2-1-80 (Register 80, No. 1).
§671. Records of Repossessors. [Repealed]
History

HISTORY

1. Renumbering of Section 677 to Section 671 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
2. Editorial correction of Article heading (Register 81, No. 43).
3. Repealer of Article 5 heading and Section 671 filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
§673. Money Demands by Repossessors. [Repealed]
History

HISTORY

1. Renumbering of Section 679 to Section 673 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
2. Repealer filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
§674. Charges by Repossessors. [Repealed]
History

HISTORY

1. Renumbering of Section 680 to Section 674 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
2. Repealer filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
§675. Requirements for a Branch Office. [Renumbered]
History

HISTORY

1. Renumbering of Section 675 to Section 655 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
§676. Branch Office Certificates. [Renumbered]
History

HISTORY

1. Renumbering of Section 676 to Section 655.1 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
§677. Records of Repossessors. [Renumbered]
History

HISTORY

1. Renumbering of Section 677 to Section 671 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
§678. Employees Records. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 7514 and 7539, Business and Professions Code. Reference: Sections 7514, 7536 and 7539, Business and Professions Code.
HISTORY

1. Amendment filed 12-31-79; designated effective 2-1-80 (Register 80, No. 1).
2. Renumbering and amendment of Section 678 to Section 607 filed 9-1-87; operative 10-1-87 (Register 87, No. 37).
§679. Money Demands by Repossessors. [Renumbered]
History

HISTORY

1. Renumbering of Section 679 to Section 673 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
§680. Definitions. [Renumbered]
Note     •     History

NOTE

Authority cited: Business and Professions Code Section 7514. Reference cited: Sections 7514, 7514.1, and 7514.2, Business and Professions Code.
HISTORY

1. Renumbering of former Section 680 to Section 674 and renumbering and amendment of Section 691 to Section 680 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35). For prior history, see Register 80, No. 1.
2. Change without regulatory effect moving article 6 heading from preceding section 680 to preceding section 625, and renumbering former section 680 to new section 625 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§681. Responsibility of Licensee. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7514, 7514.1, 7514.2, Business and Professions Code. Reference: Sections 7514, 7514.1, 7514.2, Business and Professions Code.
HISTORY

1. Renumbering of former Section 681 to Section 660 and renumbering of Section 691.1 to Section 680 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35). For prior history, see Register 80, No. 1.
2. Change without regulatory effect repealing section filed 4-19-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 16).
§681.1. Application for Registration. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 714, Business and Professions Code. Reference: Sections 7514, 7514.1, 7514.2 and 7580, Business and Professions Code.
HISTORY

1. Renumbering of Section 692 to Section 681.1 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35). For prior history, see Register 80, No. 1.
2. Amendment of subsection (b) filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
3. Change without regulatory effect renumbering former section 681.1 to new section 625.1 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§682. Suspension of Employment. [Renumbered]
Note     •     History

NOTE

Authority and reference cited: Section 7514, Business and Professions Code.
HISTORY

1. Renumbering of Section 693 to Section 682 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35). For prior history, see Register 78, No. 5.
2. Change without regulatory effect renumbering former section 682 to new section 626 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§682.1. Withdrawal of Application. [Repealed]
History

HISTORY

1. Renumbering of Section 694.2 to Section 682.1 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
2. Repealer filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
§683. Registration Card. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 7414, Business and Professions Code. Reference: Section 7514, Business and Professions Code
HISTORY

1. Renumbering of Section 695 to Section 683 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35). For prior history, see Register 78, No. 5.
2. Amendment filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
3. Renumbering and amendment of Section 683 to 608.3 filed 9-15-87; operative 10-15-87 (Register 87, No. 40).
§684. Registration Expiration and Renewal. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 7514, Business and Professions Code. Reference: Sections 7514 and 7550.5, Business and Professions Code.
HISTORY

1. Renumbering and amendment of Section 696 to Section 684 filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49). For history of former section, see Registers 81, No. 35 and 78, No. 5.
2. Change without regulatory effect renumbering former section 684 to new section 627 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§685. Receipt and Investigation of Complaints. [Repealed]
History

HISTORY

1. Renumbering of former Section 685 to Section 654.2 and renumbering of Section 697 to Section 685 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
2. Repealer filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
§685.1. Disciplinary Proceedings. [Repealed]
History

HISTORY

1. Renumbering of Section 67.1 to Section 685.1 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
2. Repealer filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
§686. Change of Residence Address. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7514, Business and Professions Code. Reference: Section 7514, Business and Professions Code.
HISTORY

1. Renumbering of former Section 686 to Section 695 and renumbering of Section 698 to Section 686 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35). For prior history, see Register 72, No. 24.
2. Repealer filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
§687. Training in Exercising the Powers to Arrest. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 7514, Business and Professions Code. Reference: Sections 7514, 7514.1 and 7514.2, Business and Professions Code; and Sections 12031 and 12033, Penal Code.
HISTORY

1. Renumbering and amendment of former Section 687 to Section 696 and renumbering and amendment of former Section 688 to Section 687 filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49). For prior history, see Registers 80, No. 1 and 78, No. 5.
2. Change without regulatory effect renumbering former section 687 to new section 628 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§687.1. Weapons Proficiency. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 7514, 7514.1, 7514.2, 7536, Business and Professions Code. Reference: Sections 7514, 7514.1, 7514.2, 7536, Business and Professions Code.
HISTORY

1. New section filed 12-31-79; designated effective 2-1-80 (Register 80, No. 1).
2. Renumbering of Section 687.1 to Section 694 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
§688. Qualifications and Experience for Alarm Company Operators. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 7514, Business and Professions Code. Reference cited: Section 7514, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 688 to Section 687 and new Section 688 filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
2. Change without regulatory effect renumbering former section 688 to new section 629 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§689. Untrue or Misleading Statements by an Alarm Company Operator. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 7514 and 17500, Business and Professions Code. Reference: Section 7514, Business and Professions Code.
HISTORY

1. New section filed 1-2-75 as an emergency; effective upon filing (Register 75, No. 1).
2. Certificate of Compliance filed 3-28-75 (Register 75, No. 13). 3. Amendment filed 2-2-78; effective thirtieth day thereafter (Register 78, No. 5).
4. Renumbering of former Section 689 to Section 657 and renumbering and amendment of Section 684(b) to Section 689 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
5. Change without regulatory effect renumbering former section 689 to new section 630 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§690. Filing of Bond. [Repealed]
History

HISTORY

1. Repealer filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
2. Change without regulatory effect moving article 7 heading from preceding section 690 to preceding section 631 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§691. Requirements for Carrying or Use of Firearms or Simulated Firearms. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 7514, 7514.1, 7514.2, Business and Professions Code. Reference: Sections 7514, 7514.1, 7514.2, Business and Professions Code; Sections 12031, 12033, Penal Code.
HISTORY

1. Renumbering of former Section 691 to Section 680 and renumbering and amendment of Section 699.2 to Section 691 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35). For prior history, see Register 80, No. 1.
2. Change without regulatory effect renumbering former section 691 to new section 631 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§691.1. Allowing the Carrying or Use of a Firearm. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 7514, 7514.1, 7514.2, Business and Professions Code. Reference: Sections 7514, 7514.1, 7514.2, Business and Professions Code; Sections 12031, 12033, Penal Code.
HISTORY

1. Renumbering of former Section 691.1 to Section 681 and renumbering and amendment of Section 699.3 to Section 699.1 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35). For prior history, see Register 80. No. 1.
2. Change without regulatory effect renumbering former section 691.1 to new section 631.1 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§692. Firearms Qualification Card. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 7514, Business and Professions Code. Reference: Sections 7514, 7514.1, 7514.2 and 7580, Business and Professions Code; and Sections 12031, 12033 and 12050, Penal Code.
HISTORY

1. Renumbering of former Section 692 to Section 681.1 and renumbering of Section 699.4 to Section 692 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35). For prior history, see Register 80, No. 1.
2. Amendment filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
3. Change without regulatory effect renumbering former section 692 to new section 632 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§693. Annual Renewal of Firearms Qualification Card. [Renumbered]
Note     •     History

NOTE

Authority cited: Statutes 1994, chapter 1091; and Sections 7515, 7581 and 7591.6, Business and Professions Code. Reference: Sections 7542, 7583.32, 7596.7 and 7599.40, Business and Professions Code.
HISTORY

1. Renumbering of former Section 693 to Section 682 and renumbering of Section 699.41 to Section 693 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35). For prior history, see Register 78, No. 5.
2. Amendment of subsection (b) filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
3. Change without regulatory effect repealing Section 693 (Register 88, No. 5).
4. New section filed 4-2-97; operative 5-2-97 (Register 97, No. 14).
5. Change without regulatory effect amending subsections (a), (b) and (d)(1) filed 7-16-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 29).
6. Change without regulatory effect renumbering former section 693 to new section 633 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§694. Weapons Proficiency. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7514, Business and Professions Code. Reference: Sections 7514, 7514.1, 7514.2, 7536, 7538.6 and 7538.7, Business and Professions Code.
HISTORY

1. Renumbering of former Section 694 to Section 659 and renumbering of Section 687.1 to Section 694 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
2. Amendment filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
3. Change without regulatory effect repealing Section 694 (Register 88, No. 5).
§694.1. Denial of Registration. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 480, 7514, Business and Professions Code. Reference: Sections 475 et seq., 7514, Business and Professions Code.
HISTORY

1. Repealer filed 12-31-79; designated effective 2-1-80 (Register 80, No. 1).
§694.2. Withdrawal of Application. [Renumbered]
History

HISTORY

1. Renumbering of Section 694.2 to Section 682.1 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
§695. Reports on Firearm Use. [Repealed]
History

HISTORY

1. Renumbering of former Section 695 to Section 683 and renumbering of Section 686 to Section 695 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35). For prior history, see Register 78, No. 5.
2. Change without regulatory effect repealing Section 695 (Register 88, No. 5).
§696. Records of Firearms. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 7514, Business and Professions Code. Reference: Sections 7514, 7514.1, 7514.2, 7538.6 and 7539, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 696 to Section 684 and renumbering and amendment of former Section 687 to Section 696 filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49). For history of former section, see Register 81, No. 35.
2. Change without regulatory effect renumbering former section 696 to new section 634 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§697. Course of Firearm Training. [Renumbered]
Note     •     History

NOTE

Authority cited: Statutes 1994, chapter 1091; and Sections 7515, 7581 and 7591.6, Business and Professions Code. Reference: Sections 7542, 7583.22, 7583.23, 7583.32, 7596, 7596.3, 7596.7 and 7599.40, Business and Professions Code.
HISTORY

1. Renumbering of Section 697 to Section 685 and renumbering of Section 699.5 to Section 697 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
2. Amendment filed 12-2-82; effective thirtieth day thereafter (Register 82, No. 49).
3. Editorial correction restoring inadvertently omitted text (Register 97, No. 14).
4. Amendment filed 4-2-97; operative 5-2-97 (Register 97, No. 14).
5. Change without regulatory effect renumbering former section 697 to new section 635 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§697.1. Disciplinary Proceedings. [Renumbered]
History

HISTORY

1. Renumbering of Section 697.1 to Section 685.1 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
§697.2. Cancellation of Registration. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7514, Business and Professions Code. Reference: Section 7514, Business and Professions Code.
HISTORY

1. Repealer filed 12-31-79; designated effective 2-1-80 (Register 80, No. 1).
§698. Course Approval. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 7514.1, Business and Professions Code. Reference: Sections 7514.1 and 7514.2, Business and Professions Code.
HISTORY

1. Renumbering of Section 698 to Section 686 and renumbering and amendment of Section 699.6 to Section 698 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35). For prior history, see Register 80, No. 1.
2. Change without regulatory effect renumbering former section 698 to new section 636 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§699. Suspension or Revocation. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 7514.1, Business and Professions Code. Reference: Section 7514.1, Business and Professions Code.
HISTORY

1. Renumbering of Section 699.7 to Section 699 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35). For prior history, see Register 80, No. 1.
2. Change without regulatory effect renumbering former section 699 to new section 637 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§699.1. Definition. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 7514, 7514.1, 7514.2, Business and Professions Code; Sections 12031, 12033, Penal Code. Reference: Sections 7514, 7514.1, 7514.2, Business and Professions Code, and Sections 12031, 12033, Penal Code.
HISTORY

1. New Article 5 (Sections 699.1-699.7) filed 9-18-75 as an emergency; effective upon filing (Register 75, No. 38).
2. Certificate of Compliance filed 11-26-75 (Register 75, No. 48).
3. Amendment filed 12-31-79; designated effective 2-1-80 (Register 80, No. 1).
4. Change without regulatory effect renumbering former section 699.1 to new section 637.1 filed 5-21-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 21).
§699.2. Requirement for Carrying or Using Firearms. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 7514, 7514.1, 7514.2, Business and Professions Code. Reference: Sections 7514, 7514.1, 7514.2, Business and Professions Code, and Sections 12031, 12033, Penal Code.
HISTORY

1. Amendment filed 2-2-78; effective thirtieth day thereafter (Register 78, No. 5).
2. Amendment filed 12-31-79; designated effective 2-1-80 (Register 80, No. 1).
3. Renumbering and amendment of Section 699.2 to Section 691 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
§699.3. Allowing Carrying or Use of Firearm. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 7514, 7514.1, 7514.2, Business and Professions Code. Reference: Sections 7514, 7514.1, 7514.2, Business and Professions Code, and Section 12033, Penal Code.
HISTORY

1. Amendment filed 2-2-78; effective thirtieth day thereafter (Register 78, No. 5).
2. Amendment filed 12-29-79; designated effective 2-1-80 (Register 80, No. 1).
3. Renumbering and amendment of Section 699.3 to Section 691.1 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
§699.4. Firearms Qualification Card. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 7514, 7514.1, 7514.2 and 7580, Business and Professions Code; Section 12031, Penal Code. Reference: Sections 7514, 7514.1, 7514.2, 7580, Business and Professions Code; Sections 12031, 12033, 12050, Penal Code.
HISTORY

1. Amendment of subsections (a)(1), (a)(4) and (c) filed 2-2-78; effective thirtieth day thereafter (Register 78, No. 5).
2. Repealer and new subsection (c) filed 12-31-79; designated effective 2-1-80 (Register 80, No. 1).
3. Amendment of subsection (a) filed 12-31-79 as an emergency; designated effective 1-2-80. Certificate of Compliance included (Register 80, No. 1).
4. Renumbering of Section 699.4 to Section 692 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
§699.5. Course of Firearms Training. [Renumbered]
Note     •     History

NOTE

Additional authority cited: Section 7514.1, Business and Professions Code. Additional reference: Section 7514.1, Business and Professions Code.
HISTORY

1. Amendment of subsection (a)(1)(D) filed 2-2-78; effective thirtieth day thereafter (Register 78, No. 5).
2. Renumbering of Section 699.5 to Section 697 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
§699.6. Course Approval. [Renumbered]
Note     •     History

NOTE

Additional authority cited: Section 7514.1, Business and Professions Code. Additional reference: Section 7514.1, Business and Professions Code.
HISTORY

1. Amendment filed 2-2-78; effective thirtieth day thereafter (Register 78, No. 5).
2. Renumbering and amendment of Section 699.6 to Section 698 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
§699.7. Suspension or Revocation. [Renumbered]
Note     •     History

NOTE

Additional authority cited: Section 7514.1, Business and Professions Code. Additional reference: Section 7514.1, Business and Professions Code.
HISTORY

1. Amendment filed 2-2-78; effective thirtieth day thereafter (Register 78, No. 5).
2. Renumbering of Section 699.7 to Section 699 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
§699.41. Annual Renewal of Firearms Qualification Card. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 7514, 7514.1, 7514.2, and 7580, Business and Professions Code. Reference: Sections 7514, 7514.1, 7514.2, 7580, Business and Professions Code; Sections 12031, 12033, Penal Code.
HISTORY

1. New section filed 12-31-79; designated effective 2-1-80 (Register 80, No. 1).
2. Renumbering of Section 699.41 to Section 693 filed 8-28-81; effective thirtieth day thereafter (Register 81, No. 35).
Division 8. Contractors' State License Board
Article 1. Definitions
§810. Definitions.
Note     •     History

For the purposes of this chapter, “Board” means the Contractors State License Board and “Code,” unless otherwise defined, means the Business and Professions Code.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Section 7008, Business and Professions Code.
HISTORY

1. Repealer of Article 1 (Sections 700 and 701) and new Article 1 (Section 700) filed 5-25-83; effective thirtieth day thereafter (Register 83, No. 22).
2. Editorial correction renumbering and amending Chapter 8 (Articles 1-8, Sections 700-807, not consecutive) to Chapter 8 (Articles 1-8, Sections 810-887, not consecutive) filed 2-27-84; effective upon filing pursuant to Government Code Section 11346.2(d)(Register 84, No. 9). For prior history, see Registers 83, No. 45; 83, No. 43; 83, No. 35; 83, No. 19; 82, No. 20; and 81, No. 20.
Article 1.5. Revenue
§811. Fees.
Note     •     History

(a) Prior to July 1, 2011, the fee for:
(1) An application for an original license in a single classification is $250.
(2) An application for each additional classification is $50.
(3) An application to replace a responsible managing officer or employee is $50.
(4) Rescheduling an examination is $50.
(5) Scheduling or rescheduling an examination pursuant to Business and Professions Code Section 7137(c) is $50.
(6) Initial license of an active or inactive license is $150.
(7) Renewal of an active license that expires on or before June 30, 2011, is $300.
(8) Renewal of an inactive license that expires on or before June 30, 2011, is $150.
(9) An application for a home improvement salesperson registration is $50.
(10) Renewal of a home improvement salesperson registration is $75.
(11) An application for an asbestos certification examination is $50.
(12) An application for a hazardous substance removal or remedial action certification examination is $50.
(b) As of July 1, 2011, the fee for:
(1) An application for an original license in a single classification is $300.
(2) An application for each additional classification is $75.
(3) An application to replace a responsible managing officer or employee is $75.
(4) Rescheduling an examination is $60.
(5) Scheduling or rescheduling an examination pursuant to Business and Professions Code Section 7137(c) is $60.
(6) Initial license of an active or inactive license is $180.
(7) Renewal of an active license that expires on or after July 1, 2011, is $360.
(8) Renewal of an inactive license that expires on or after July 1, 2011, is $180.
(9) Reactivation of an inactive license is the full amount of the renewal fee for an active license.
(10) An application for a home improvement salesperson registration is $75.
(11) Renewal of a home improvement salesperson registration is $75.
(12) An application for an asbestos certification examination is $75.
(13) An application for a hazardous substance removal or remedial action certification examination is $75.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7076.5 and 7137, Business and Professions Code.
HISTORY

1. New section filed 12-31-2002 as an emergency; operative 1-1-2003 (Register 2003, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-1-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-31-2002 order, including new subsection (e), subsection relettering and amendment of Note, transmitted to OAL 4-25-2003 and filed 6-5-2003 (Register 2003, No. 23).
3. Amendment of section and Note filed 11-18-2010; operative 12-18-2010 (Register 2010, No. 47).
§812. Dishonored Check Service Charge.
Note

The dishonored check service charge authorized by Section 6157 of the Government Code is $10.00 for each check.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Section 7008, Business and Professions Code; and Section 6157, Government Code.
§813. Abandonment of Application.
Note

(a) An application, other than a renewal application, shall be deemed abandoned whenever an applicant fails to return an application rejected for insufficiency or incompleteness within 90 days from date of original notice of rejection. This 90-day period may be extended by the Registrar for good cause.
(b) Any application so abandoned may not be reinstated; however, the applicant may file a new application accompanied by the required fee.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Section 7067, Business and Professions Code.
Article 2. Application for License
§816. Application Form for Original License.
Note     •     History

(a) The license application form prescribed by the Registrar shall seek from each member of the personnel of the applicant the following information:
(1) All information required by Section 7067.5 of the Code.
(2) A record of the previous experience in the field of construction of the member of applicant's personnel who will qualify for the classification requested.
(3) Whether the applicant or a member of applicant's personnel or whether to his or her knowledge anyone with whom he/she has been associated in the contracting field has ever been licensed or had a professional or vocational license refused or revoked.
(b) The application shall be signed, under penalty of perjury, by each member of the personnel of the applicant.
(c) Nothing in this Rule shall be interpreted to limit the Registrar's authority to require an applicant to provide any other information necessary to determine the applicant's qualifications, or to exempt the applicant therefrom, or to enforce the provisions of the Contractors License Law, except as otherwise required by law. The Registrar may exempt applicants who are eligible for waiver of examination, pursuant to Section 7065.1 of the Code, or who are not required to take the examination, pursuant to Section 7065 of the Code, from the requirement to submit information described in subsection (a)(2).
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7066, 7067.5, 7067.6 and 7070, Business and Professions Code.
HISTORY

1. Amendment of subsections (a)(1) and (c) filed 6-6-86; effective thirtieth day thereafter (Register 86, No. 23).
§817. Operating Capital Defined.
Note

(a) For purposes of Section 7067.5 of the Code, the term “operating capital” means the difference between current assets and current liabilities as defined in subsections (b) and (c), respectively.
(b) For accounting purposes, “current assets” means cash and other assets or resources commonly identified as those which are reasonably expected to be realized in cash or sold or consumed during the normal operating cycle of the business. Thus, the term comprehends in general such resources as
(1) cash available for current operations and items which are the equivalent of cash;
(2) inventories of merchandise, raw materials, goods in process, finished goods, operating supplies, and ordinary maintenance material and parts;
(3) trade accounts, notes, and acceptances receivable;
(4) receivables from officers, employees, affiliates, and others, if collectible in the ordinary course of business within a year;
(5) installment or deferred accounts and notes receivable if they conform generally to normal trade practices and terms within the business;
(6) marketable securities representing the investment of cash available for current operations; and
(7) prepaid expenses such as insurance, interest, rents, taxes, unused royalties, current paid advertising service not yet received, and operating supplies. Prepaid expenses are not current assets in the sense that they will be converted into cash but in the sense that, if not paid in advance, they would require the use of current assets during the operating cycle.
(c) For accounting purposes, current liabilities include those obligations whose liquidation is reasonably expected to require the use of existing resources properly classifiable as current assets, or the creation of other current liabilities. As a balance-sheet category, the classification is intended to include obligations for items which have entered into the operating cycle, such as payables incurred in the acquisition of materials and supplies to be used in the production of goods or in providing services to be offered for sale; collections received in advance of the delivery of goods or performance of services; and debts which arise from operations directly related to the operating cycle, such as accruals for wages, salaries,commissions, rentals, royalties, and income and other taxes. Other liabilities whose regular and ordinary liquidation is expected to occur within a relatively short period of time, usually twelve months, are also intended for inclusion, such as short-term debts arising from the acquisition of capital assets, serial maturities of long-term obligations, amounts required to be expended within one year under sinking fund provisions, and agency obligations arising from the collection or acceptance of cash or other assets for the account of third persons.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Section 7067.5, Business and Professions Code.
§818. Insufficient or Incomplete Applications--Rejection.
Note     •     History

NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7066 and 7067, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 11-9-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 45).
§819. Requirement of Corporations.
Note

A foreign or domestic corporation, applying for a license, shall complete a certification as prescribed by the Registrar, showing that it has fulfilled the filing requirements of the California Secretary of State as set out in Sections 200 and 2105 of the Corporations Code.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Section 7067, Business and Professions Code.
§820. Posting of Names of Applicants.
Note     •     History

NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7080 and 7082, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 11-9-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 45).
§821. Joint Venture License Defined.
Note     •     History

NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Section 7029, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 11-9-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 45).
§822. Licensing Requirements for Joint Venture License.
Note     •     History

NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7029 and 7066, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 11-9-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 45).
§823. Definitions: Bona Fide Employee; Direct Supervision and Control.
Note     •     History

(a) For purposes of Section 7068 of the Code, “bona fide employee” of the applicant means an employee who is permanently employed by the applicant and is actively engaged in the operation of the applicant's contracting business for at least 32 hours or 80% of the total hours per week such business is in operation, whichever is less.
(b) For purposes of Section 7068.1 of the Code, “direct supervision and control” includes any one or any combination of the following activities: supervising construction, managing construction activities by making technical and administrative decisions, checking jobs for proper workmanship, or direct supervision on construction job sites.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7068 and 7068.1, Business and Professions Code.
HISTORY

1. Editorial correction filed 7-19-84 (Register 84, No. 29).
§824. Application Investigation Required.
Note

In addition to a review and verification of all applications for licensure, the Registrar shall conduct a comprehensive field investigation of a minimum of 3% of all such applications. Such investigation shall include those areas of experience claimed and such other areas as the Registrar deems appropriate for the protection of the public.
All claimed experience shall be supportable by documentation satisfactory to the Board. The Registrar shall provide to the Board, for its approval, acceptable forms of such documentation and shall inform the applicant in the application form that such documentation may be requested by the Board.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Section 7068, Business and Professions Code.
§825. Experience Requirement of Applicant.
Note     •     History

(a) Every applicant for a contractor's license must have had, within the last 10 years immediately preceding the filing of the application, not less than four years experience as a journeyman, foreman, supervising employee or contractor in the particular class within which the applicant intends to engage as a contractor. For purposes of this section, “journeyman” means an experienced worker in the trade who is fully qualified, as opposed to a trainee, and is able to perform the trade without supervision; or one who has completed an apprenticeship program.
(b) An applicant who was formerly a qualifier on a license in the same classification applied for may compute experience without regard to the ten-year limitation.
(c) An applicant shall not be jeopardized in computing time for service in the armed forces of the United States during a National Emergency and the length of service may be added to the 10 years mentioned above.
(d) Acceptable training in an accredited school or completion of an approved apprenticeship program in accordance with the California Labor Code (commencing with Section 3070 of the Labor Code, Chapter 4, of Division 3) or its equivalent, as approved by the Registrar, in the construction trade for which application is made will be counted as experience. In no case, however, will such training or completion of an approved apprenticeship program count for more than 3 years of the experience.
(e) The required experience shall be possessed by one member of the applicant entity or by a responsible managing employee therefor, and the member or responsible managing employee shall be required to take the examination.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Section 7068, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 4-12-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 15).
§826. Registrar to Pass on Experience.

The Registrar may determine that an applicant who does not have the specific experience required in Section 825 has some comparable knowledge, training, and/or experience which is equivalent to the required experience.
§827. Review of Application for Original License, Additional Classification, or Replacement of Qualifying Person.
Note     •     History

(a) Application Requiring Examination.
(1) The Board shall inform an applicant in writing within 60 days of receipt whether the application is complete and has been referred for examination or is deficient and what specific information is required. An application is “complete” when an acceptable application and fee have been filed by the applicant.
(2) When an application is returned which was previously rejected for deficiencies, the Board shall decide within 5 days of receipt whether the application is complete and accepted for filing.
(3) The Board shall decide within 115 days after a complete application has been referred for examination whether an applicant meets the requirements for licensure, provided that the examination has been successfully completed and the applicant has filed the bond(s), fee and other documents required by Division 3 of the Business and Professions Code.
(4) If an applicant has not successfully completed the examination as scheduled in subsection (3), or met the other requirements of that subsection (subject to the limitations of Business and Professions Code Section 7074), the Board shall decide within 45 days of the successful completion of a subsequently scheduled examination and the filing of acceptable bond(s), fee and other documents required by Division 3 of the Business and Professions Code, whether the applicant meets the requirements for licensure.
(5) The periods specified in subsection (3) and (4) shall be extended by a period of 60 days, if the application must be investigated.
(6) The minimum, median and maximum times for an application requiring examination for licensure as a contractor, for an additional classification, or for replacement of the qualifying person from the time of receipt of the application until the Board decided to issue the license, grant the additional classification or the replacement of the qualifying person, based on the Board's past two years performance, were:
(A) Application for Original License, with Examination

Minimum: 	 11 days
Median: 	 253 days
Maximum: 	 726 days
(B) Application for Additional Classification, with Examination

Minimum: 	 20 days
Median: 	 96 days
Maximum: 	 617 days
(C) Application for Replacement of the Qualifying Person, with Examination

Minimum: 	 20 days
Median: 	 78 days
Maximum: 	 428 days
These periods include not only the Board's processing time, but also the time for which the applicant is responsible: e.g., the return of a rejected application, failure of and/or failure to appear at examinations, filing of the required bond(s) and fee.
(b) Applications Not Requiring Examination.
(1) The Board shall inform an applicant for licensure, without examination, as a contractor, for an additional classification, or for replacement of the qualifying person pursuant to Sections 7065 or 7065.1 of the Business and Professions Code within 50 days of receipt whether the application is complete and what the issuance or granting requirements are or that the application is deficient and what specific information is required.
(2) When an application is returned which was previously rejected for deficiencies, the Board shall decide within 5 days of receipt if the application is now complete and accepted for filing.
(3) Once the applicant has filed acceptable bond(s) and other documents required by Division 3 of the Business and Professions Code, the Board shall decide within 15 days whether the applicant meets the requirements for licensure.
(4) The period outlined in subsection (1) may be extended by 60 days if the application must be investigated.
(5) The minimum, median and maximum times for an application for licensure, without examination, as a contractor, for an additional classification, or for replacement of the qualifying person from the time of receipt of the application until the Board decided to issue the license, grant the additional classification or the replacement of the qualifying person, based on the Board's past two years performance were:
(A) Application for Original License, without Examination

Minimum: 	1 day
Median: 	48 days
Maximum:	349 days
(B) Application for Additional Classification, without Examination 

Minimum:	24 days
Median:		58.5 days
Maximum: 	358 days
(C) Application for Replacement of the Qualifying Person, without Examination

Minimum: 	1 day
Median: 	29 days
Maximum: 	253 days
These periods include not only the Board's processing time, but also the time for which the applicant is responsible: e.g., return of a rejected application and filing of the required bond(s) and fee
NOTE

Authority cited: Section 7008, Business and Professions Code; and Section 15376, Government Code. Reference: Section 15376, Government Code; and Sections 7065, 7065.1 and 7074, Business and Professions Code.
HISTORY

1. New section filed 12-3-85; effective thirtieth day thereafter (Register 85, No. 49).
§828. Review of Application for Home Improvement Salesman Registration.
Note     •     History

(a) The Board shall inform, in writing, an applicant for registration as home improvement salesman within 30 days of receipt whether the application is deficient and what specific information is required or whether the registration has been issued.
(b) When an application is returned which was previously rejected for deficiencies, the Board shall decide whether the applicant meets the requirements for registration within 5 days after return of the completed application. A “completed application” means that an acceptable application form together with all required information, documentation and fee has been filed by the applicant.
(c) The time periods outlined in (a) and (b) may be extended by 5 weeks if the fee is in the form of a personal or company check, or by 60 days if an application requires investigation to determine if a statement of issues must be filed.
(d) The minimum, median and maximum processing times for an application for registration as a home improvement salesman from the time of receipt of the initial application until the Board makes a final decision on the application, based on the Board's past two years performance, are:

Minimum: 	 1 day 
Median: 	 8 days
Maximum: 	 53 days
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Section 15376, Government Code; and Section 7153.1, Business and Professions Code. 
HISTORY

1. New section filed 10-26-84; effective thirtieth day thereafter (Register 84, No. 43).
§829. Credit for Experience.
Note     •     History

NOTE

Authority cited: Sections 7008 and 7065, Business and Professions Code. Reference: Sections 7065 and 7068, Business and Professions Code.
HISTORY

1. New section filed 5-30-90; operative 6-29-90 (Register 90, No. 29).
2. Repealer filed 8-10-2006; operative 9-9-2006 (Register 2006, No. 32).
Article 3. Classification
§830. Classification Policy.
Note

(a) All contractors to whom licenses are issued shall be classified by the Registrar as a specialty contractor, as defined in this article; a general engineering contractor (Class A), as defined in Section 7056 of the Code; or a general building contractor (Class B), as defined in Section 7057 of the Code. 
(b) Contractors licensed in one classification shall be prohibited from contracting in the field of any other classification unless they are also licensed in that classification or are permitted to do so by Section 831.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Section 7059, Business and Professions Code.
§831. Incidental and Supplemental Defined.
Note

For purposes of Section 7059, work in other classifications is “incidental and supplemental” to the work for which a specialty contractor is licensed if that work is essential to accomplish the work in which the contractor is classified. A specialty contractor may use subcontractors to complete the incidental and supplemental work, or he may use his own employees to do so.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Section 7059, Business and Professions Code.
§832. Specialty Contractors Classified.
Note     •     History

Specialty contractors shall perform their trade using the art, experience, science and skill necessary to satisfactorily organize, administer, construct and complete projects under their classification, in accordance with the standards of their trade. 
They are classified into the following subclassifications:

Boiler, Hot Water Heating and Steam Fitting	 C- 4
Building Moving and Demolition	 C-21
Cabinet and Mill Work	 C- 6
Carpentry	C-5
Concrete	 C- 8
Drywall	 C- 9
Earthwork and Paving	 C-12
Electrical (general)	 C-10
Electrical Sign	 C-45
Elevator Installation	 C-11
Fencing	 C-13
Fire Protection 	 C-16
Flooring and Floor Covering	 C-15
General Manufactured Housing	 C-47
Glazing 	 C-17

Insulation and Acoustical	 C- 2
Landscaping	 C-27
Lathing	 C-26
Limited Specialty	 C-61
Lock and Security Equipment	C-28
Low Voltage 	 C- 7
Masonry	 C-29
Metal Roofing	 C-14
Ornamental Metal	 C-23
Painting and Decorating	 C-33
Parking and Highway Improvement	 C-32
Pipeline	 C-34
Plastering	 C-35
Plumbing	 C-36
Refrigeration	 C-38
Roofing	 C-39
Sanitation System	 C-42
Sheet Metal	 C-43
Solar	 C-46
Steel, Reinforcing	 C-50
Steel, Structural	 C-51
Swimming Pool	 C-53
Tile (Ceramic and Mosaic)	 C-54
Warm-Air Heating, Ventilating and Air Conditioning	 C-20
Water Conditioning	 C-55
Welding	 C-60
Well Drilling (Water)	 C-57
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
HISTORY

1. Amendment filed 6-6-86; effective thirtieth day thereafter (Register 86, No. 23). 
2. Amendment filed 10-22-86; effective thirtieth day thereafter (Register 86, No. 43).
3. Amendment filed 9-15-88; operative 10-15-88 (Register 88, No. 39).
4. Change without regulatory effect amending section filed 11-9-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 45).
§832.02. Class C-2--Insulation and Acoustical Contractor.
Note

An insulation and acoustical contractor installs any insulating media and preformed architectural acoustical materials for the purpose of temperature and/or sound control.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
§832.04. Class C-4--Boiler, Hot-Water Heating and Steam Fitting Contractor.
Note

A boiler, hot-water heating and steam fitting contractor installs, services and repairs power boiler installations, hot-water heating systems and steam fitting, including fire-tube and water-tube steel power boilers and hot-water heating low pressure boilers,steam fitting and piping, fittings, valves, gauges, pumps, radiators, convectors, fuel oil tanks, fuel oil lines, chimneys, flues, heat insulation and all other equipment, including solar heating equipment, associated with these systems. 
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
§832.05. Class C-5--Carpentry, Cabinet and Millwork  Contractor [Effective until 1-1-2003].
Note     •     History

(a) A carpentry contractor constructs and repairs framing and rough carpentry, finish carpentry (including installation of cabinets, sashes and doors), wood flooring, siding, overhead doors, roof decking, wood trusses and sheathing.
(b) A carpentry, cabinet and millwork contractor also makes cabinets, cases, sashes, doors, trims, nonbearing partitions and other items of “finish carpentry” by cutting, surfacing, joining, gluing and framing wood and wood products. This contractor also places, erects, fabricates and finishes such cabinets and millwork in structures.
(c) Effective January 1, 1998, or as soon thereafter as administratively feasible, all C-6 licensees will be merged into the C-5 Carpentry, Cabinet and Millwork classification. On and after January 1, 1998, no application for the C-6 classification will be accepted and no new C-6 Cabinet and Millwork licenses will be issued.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7054, 7058 and 7059, Business and Professions Code.
HISTORY

1. New section filed 10-26-93; operative 11-25-93 (Register 93, No. 44).
2. Amendment of section heading, new subsection (a) designator and new subsections (b) and (c) filed 12-18-97; operative 1-1-98 pursuant to Government Code section 11343.4(d) (Register 97, No. 51). Text of version effective through 12-31-2002 retained for reference. 
§832.05. C-5--Framing and Rough Carpentry Contractor [Effective 1-1-2003].
Note     •     History

A framing and rough carpentry contractor performs any form work, framing or rough carpentry necessary to construct framed structures; installs or repairs individual components of framing systems and performs any rough carpentry or associated work, including but not limited to the construction or installation of: sub-flooring, siding, exterior staircases and railings, overhead doors, roof decking, truss members, and sheathing.
The amendments made to this section in 2002 shall become operative January 1, 2003, or as soon thereafter as administratively feasible, whereupon any licensee who has passed the C-5 Carpentry, Cabinet and Millwork trade examination on or after January 10, 2000, up to the effective date of this section, shall have the C-6 Cabinet, Millwork and Finish Carpentry classification added to the applicable license. 
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
HISTORY

1. New section filed 10-26-93; operative 11-25-93 (Register 93, No. 44).
2. Amendment of section heading, new subsection (a) designator and new subsections (b) and (c) filed 12-18-97; operative 1-1-98 pursuant to Government Code section 11343.4(d) (Register 97, No. 51).
3. Amendment of section heading, section and Note filed 5-24-2002; operative 1-1-2003 (Register 2002, No. 21).
§832.06. C-6--Cabinet, Millwork and Finish Carpentry Contractor.
Note     •     History

A cabinet, millwork and finish carpentry contractor makes cabinets, cases, sashes, doors, trims, nonbearing partitions and other items of “finish carpentry” by cutting, surfacing, joining, gluing and fabricating wood or other products to provide a functional surface. This contractor also places, erects, and finishes such cabinets and millwork in structures.
The amendments made to this section in 2002 shall become operative January 1, 2003, or as soon thereafter as administratively feasible, whereupon the C-6 Cabinet, Millwork and Finish Carpentry classification shall replace the C-5 Carpentry, Cabinet and Millwork classification on any license unless the qualifier for the license has passed the C-5 Carpentry, Cabinet and Millwork trade exam on or after January 10, 2000, or held the C-5 classification prior to that date.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
HISTORY

1. New section filed 5-24-2002; operative 1-1-2003 (Register 2002, No. 21). For prior history, see Register 97, No. 51.
§832.07. Class C-7--Low Voltage Systems Contractor.
Note     •     History

A communication and low voltage contractor installs, services and maintains all types of communication and low voltage systems which are energy limited and do not exceed 91 volts. These systems include, but are not limited to telephone systems, sound systems, cable television systems, closed-circuit video systems, satellite dish antennas, instrumentation and temperature controls, and low voltage landscape lighting. Low voltage fire alarm systems are specifically not included in this section.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
HISTORY

1. New section filed 9-15-88; operative 10-15-88 (Register 88, No. 39).
2. Amendment filed 5-17-95; operative 6-16-95 (Register 95, No. 20).
§832.08. Class C-8--Concrete Contractor.
Note

A concrete contractor forms, pours, places, finishes and installs specified mass, pavement, flat and other concrete work; and places and sets screeds for pavements or flatwork. This class shall not include contractors whose sole contracting business is the application of plaster coatings or the placing and erecting of steel or bars for the reinforcing of mass, pavement, flat and other concrete work.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
§832.09. Class C-9--Drywall Contractor.
Note     •     History

A drywall contractor lays out and installs gypsum wall board and gypsum wall board assemblies including nonstructural metal framing members, and performs the taping and texturing operations including the application of compounds that adhere to wall board to produce a continuous smooth or textured surface.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
HISTORY

1. Amendment filed 5-8-2002; operative 6-7-2002 (Register 2002, No. 19).
§832.10. Class C-10--Electrical Contractor.
Note

An electrical contractor places, installs, erects or connects any electrical wires, fixtures, appliances, apparatus, raceways, conduits, solar photovoltaic cells or any part thereof, which generate, transmit, transform or utilize electrical energy in any form or for any purpose.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
§832.11. Class C-11--Elevator Contractor.
Note

An elevator contractor fabricates, erects, installs and repairs elevators, including sheave beams, motors, sheaves, cable and wire rope, guides, cab, counterweights, doors (including sidewalk elevator doors), automatic and manual controls, signal systems, and all other devices and equipment associated with the safe and efficient installation and operation of electrical, hydraulic and manually operated elevators.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
§832.12. Class C-12--Earthwork and Paving Contractors.
Note

An earthwork and paving contractor digs, moves, and places material forming the surface of the earth, other than water, in such a manner that a cut, fill, excavation, grade, trench, backfill, or tunnel (if incidental thereto) can be executed, including the use of explosives for these purposes. This classification includes the mixing, fabricating and placing of paving and any other surfacing materials.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
§832.13. Class C-13--Fencing Contractor.
Note

A fencing contractor constructs, erects, alters, or repairs all types of fences, corrals, runs, railings, cribs, game court enclosures, guard rails and barriers, playground game equipment, backstops, posts, flagpoles, and gates, excluding masonry walls.
NOTE

Authority cited: Sections7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
§832.14. Class C-14--Metal Roofing Contractor.
Note     •     History

(a) Effective July 1, 1998, the C-14 (Metal Roofing Contractor) classification shall be abolished, and a C-14 license cannot be renewed. On July 1, 1998, contractors who hold a C-14 and a C-39 (Roofing Contractor) license will hold only a C-39 license. On July 1, 1998, contractors who hold a C-14 and a C-43 (Sheet Metal Contractor) license will hold only a C-43 license. On July 1, 1998, contractors holding only a C-14 license will be granted a C-39 license.
(b) No application for the C-14 classification will be accepted by the board after the effective date of this regulatory proposal.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
HISTORY

1. New section filed 10-22-86; effective thirtieth day thereafter (Register 86, No. 43).
2. Repealer and new section filed 6-22-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§832.15. Class C-15--Flooring and Floor Covering Contractors.
Note

A flooring and floor covering contractor prepares any surface for the installation of flooring and floor coverings, and installs carpet, resilient sheet goods, resilient tile, wood floors and flooring (including the finishing and repairing thereof), and any other materials established as flooring and floor covering material, except ceramic tile.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
§832.16. Class C-16-Fire Protection Contractor.
Note     •     History

A Fire protection contractor lays out, fabricates and installs all types of fire protection systems; including all the equipment associated with these systems, excluding electrical alarm systems.
NOTE

Authority cited: Section 7008 and 7059 of the Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
HISTORY

1. Amendment filed 8-21-90; operative 9-20-90 (Register 90, No. 41).
§832.17. Class C-17--Glazing Contractor.
Note

A glazing contractor selects, cuts, assembles and/or installs all makes and kinds of glass, glass work, mirrored glass, and glass substitute materials for glazing; executes the fabrication and glazing of frames, panels, sashes and doors; and/or installs these items in any structure.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
§832.20. Class C-20--Warm-Air Heating, Ventilating and Air-Conditioning Contractor.
Note     •     History

A warm-air heating, ventilating and air-conditioning contractor fabricates, installs, maintains, services and repairs warm-air heating systems and water heating heat pumps, complete with warm-air appliances; ventilating systems complete with blowers and plenum chambers; air-conditioning systems complete with air-conditioning unit; and the ducts, registers, flues, humidity and thermostatic controls and air filters in connection with any of these systems. This classification shall include warm-air heating, ventilating and air-conditioning systems which utilize solar energy,
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7026.1, 7058 and 7059, Business and Professions Code.
HISTORY

1. Editorial correction filed 7-19-84 (Register 84, No. 29).
§832.21. Class C-21--Building Moving/Demolition Contractor
Note

A building moving/demolition contractor raises, lowers, cribs, underpins, demolishes and moves or removes structures, including their foundations. This classification does not include the alterations, additions, repairs or rehabilitation of the permanently retained portions of such structures.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
§832.23. Class C-23--Ornamental Metal Contractor.
Note

An ornamental metals contractor assembles, casts, cuts, shapes, stamps, forges, welds, fabricates and installs, sheet, rolled and cast, brass, bronze, copper, cast iron, wrought iron, monel metal, stainless steel, steel, and/or any other metal for the architectural treatment and ornamental decoration of structures. This classification does not include the work of a sheet metal contractor.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
§832.26. Class C-26--Lathing Contractor. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
HISTORY

1. Repealer filed 12-18-97; operative 1-1-98 pursuant to Government Code section 11343.4(d) (Register 97, No. 51).
§832.27. Class C-27--Landscaping Contractor.
Note     •     History

A landscape contractor constructs, maintains, repairs, installs, or subcontracts the development of landscape systems and facilities for public and private gardens and other areas which are designed to aesthetically, architecturally, horticulturally, or functionally improve the grounds within or surrounding a structure or a tract or plot of land. In connection therewith, a landscape contractor prepares and grades plots and areas of land for the installation of any architectural, horticultural and decorative treatment or arrangement.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
HISTORY

1. Amendment filed 6-1-88; operative 7-1-88 (Register 88, No. 23).
§832.28. Class C-28 Lock and Security Equipment Contractor.
Note     •     History

A lock and security equipment contractor evaluates, sets-up, installs, maintains and repairs all doors and door assemblies, gates, locks and locking devices, panic and fire rated exit devices, manual and automatic operated gate and door closures and releases, jail and prison locking devices and permanently installed or built in safes and vaults. This classification includes but is not limited to master key systems, metal window guards, security doors, card activated and electronic access control systems for control equipment, motion and other types of detectors and computer systems for control and audit of control systems and other associated equipment. Fire alarm systems are specifically not included in this section.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
HISTORY

1. New section filed 1-30-95; operative 3-1-95 (Register 95, No. 5).
§832.29. Class C-29--Masonry Contractor.
Note

A masonry contractor installs concrete units and baked clay products; concrete, glass and clay block; natural and manufactured stone; terra cotta; and fire brick or other material for refractory work. This classification includes the fabrication and installation of masonry component units for structural load bearing and non-load bearing walls for structures and fences installed with or without mortar; ceramic veneer (not tile) and thin brick that resembles full brick for facing; paving; and clear waterproofing, cleaning and caulking incidental to masonry construction.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
§832.31. Class C-31--Construction Zone Traffic Control Contractor.
Note     •     History

A construction zone traffic control contractor prepares or removes lane closures, flagging, or traffic diversions, utilizing portable devices, such as cones, delineators, barricades, sign stands, flashing beacons, flashing arrow trailers, and changeable message signs, on roadways, including, but not limited to, public streets, highways, or any public conveyance.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
HISTORY

1. New section filed 9-18-2000; operative 9-18-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 38).
§832.32. Class C-32--Parking and Highway Improvement Contractor.
Note

A parking and highway improvement contractor applies and installs protective coatings, vehicle stops, guard rails and mechanical devices, directional lines, buttons, markers, signs and arrows on the horizontal surface of any game court, parking facility, airport, highway or roadway constructed of concrete, asphalt or similar material. This classification includes the surface preparatory work necessary for the application of protective coatings but does not include the re-paving of these surfaces.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
§832.33. Class C-33--Painting and Decorating Contractors.
Note

A painting and decorating contractor prepares by scraping, sandblasting or other means and applies any of the following: paints, papers, textures, fabrics, pigments, oils, turpentines, japans, driers, thinners, varnishes, shellacs, stains, fillers, waxes, adhesives, water and any other vehicles, mediums and materials which adhere by evaporation and may be mixed, used and applied to the surfaces of structures and the appurtenances thereto for purposes of decorating, protecting, fireproofing and waterproofing.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
§832.34. Class C-34--Pipeline Contractor.
Note

A pipeline contractor fabricates and installs pipelines for the conveyance of fluids, such as water, gas, or petroleum, or for the containment or protection of any other material, including the application of protective coatings or systems and the trenching, boring, shoring, backfilling, compacting, paving and surfacing necessary to complete the installation of such pipelines.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
§832.35. Class C-35--Lathing and Plastering Contractor.
Note     •     History

(a) A lathing and plastering contractor coats surfaces with a mixture of sand, gypsum plaster, quick-lime or hydrated lime and water, or sand and cement and water, or a combination of such other materials that create a permanent surface coating, including coatings for the purpose of soundproofing and fireproofing. These coatings are applied with a plasterer's trowel or sprayed over any surface which offers a mechanical means for the support of such coating, and will adhere by suction. This contractor also installs lath (including metal studs) or any other material prepared or manufactured to provide a base or bond for such coating.
(b) A lathing and plastering contractor also applies and affixes wood and metal lath, or any other material prepared or manufactured to provide key or suction bases for the support of plaster coatings. This classification includes the channel work and metal studs for the support of metal or any other lathing material and for solid plaster partitions.
(c) Effective January 1, 1998, or as soon thereafter as administratively feasible, all C-26 licensees will b emerged into the C-35 Lathing and Plastering classification. On and after January 1, 1998, no application for the C-26 classification will be accepted and no new C-26 Lathing licenses will be issued.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
HISTORY

1. Amendment of section heading, new subsection (a) designator and new subsections (b) and (c) filed 12-18-97; operative 1-1-98 pursuant to Government Code section 11343.4(d) (Register 97, No. 51).
§832.36. Class C-36--Plumbing Contractor.
Note     •     History

A plumbing contractor provides a means for a supply of safe water, ample in volume and of suitable temperatures for the purpose intended and the proper disposal of fluid waste from the premises in all structures and fixed works. This classification includes but is not limited to:
(a) Complete removal of waste from the premises or the construction and connection of on-site waste disposal systems;
(b) Piping, storage tanks and venting for a safe and adequate supply of gases and liquids for any purpose, including vacuum, compressed air and gases for medical, dental, commercial and industrial uses;
(c) All gas appliances, flues and gas connections for all systems including suspended space heating units. This does not include forced warm air units;
(d) Water and gas piping from the property owner's side of the utility meter to the structure or fixed works;
(e) Installation of any type of equipment to heat water, or fluids, to a temperature suitable for the purposes listed in this section, including the installation of solar equipment for this purpose; and
(f) The maintenance and replacement of all items described above and all health and safety devices such as, but not limited to, gas earthquake valves, gas control valves, back flow preventors, water conditioning equipment and regulating valves.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
HISTORY

1. Amendment filed 5-25-89; operative 6-24-89 (Register 89, No. 22).
2. Editorial correction of printing error and restoration of History 1 (Register 92, No. 29).
3. Amendment filed 12-1-94; operative 1-2-95 (Register 94, No. 48).
§832.38. Class C-38--Refrigeration Contractor.
Note

A refrigeration contractor constructs, fabricates, erects, installs, maintains, services and repairs refrigerators, refrigerated rooms, and insulated refrigerated spaces, temperature insulation, air-conditioning units, ducts, blowers, registers, humidity and thermostatic controls for the control of air, liquid, and/or gas temperatures below fifty degrees Fahrenheit (50o), or ten degrees Celsius (10o).
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7026.1, 7058 and 7059, Business and Professions Code.
§832.39. Class C-39--Roofing Contractor.
Note     •     History

A roofing contractor installs products and repairs surfaces that seal, waterproof and weatherproof structures. This work is performed to prevent water or its derivatives, compounds or solids from penetrating such protection and gaining access to material or space beyond. In the course of this work, the contractor examines and/or prepares surfaces and uses the following material: asphaltum, pitch, tar, felt, glass fabric, urethane foam, metal roofing systems, flax, shakes, shingles, roof tile, slate or any other roofing, waterproofing, weatherproofing or membrane material(s) or a combination thereof.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
HISTORY

1. Amendment filed 6-22-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§832.42. Class C-42--Sanitation System Contractor
Note

A sanitation system contractor fabricates and installs cesspools, septic tanks, storm drains, and other sewage disposal and drain structures. This classification includes the laying of cast-iron, steel, concrete, vitreous and nonvitreous pipe and any other hardware associated with these systems.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
§832.43. Class C-43--Sheet Metal Contractor.
Note     •     History

A sheet metal contractor selects, cuts, shapes, fabricates and installs sheet metal such as cornices, flashings, gutters, leaders, pans, kitchen equipment, duct work (including insulation, patented chimneys, metal flues, metal roofing systems, and any other installations requiring sheet metal).
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
HISTORY

1. Amendment filed 6-22-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§832.45. Class C-45 -- Sign Contractor.
Note     •     History

A sign contractor fabricates, installs, and erects electrical signs, including the wiring of such electrical signs, and non-electrical signs, including but not limited to: post or pole supported signs, signs attached to structures, painted wall signs, and modifications to existing signs.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
HISTORY

1. Amendment of section heading and section filed 11-30-2009; operative 12-30-2009 (Register 2009, No. 49).
§832.46. Class C-46--Solar Contractor.
Note     •     History

A solar contractor installs, modifies, maintains, and repairs thermal and photovoltaic solar energy systems. 
A licensee classified in this section shall not undertake or perform building or construction trades, crafts, or skills, except when required to install a thermal or photovoltaic solar energy system.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
HISTORY

1. Amendment filed 11-30-2009; operative 12-30-2009 (Register 2009, No. 49).
§832.47. Class C-47--General Manufactured Housing Contractor.
Note     •     History

(a) A general manufactured housing contractor installs, alters, repairs, or prepares for moving any type of manufactured home as defined in Section 18007 of the Health and Safety Code, any type of mobilehome as defined in Section 18008 of the Health and Safety Code, and any type of multifamily manufactured home as defined in Section 18008.7 of the Health and Safety Code, including the accessory buildings or structures, and the foundations. A manufactured home does not include any recreational vehicle, commercial coach, or factory-built housing as defined in Section 19971 of the Health and Safety Code.
(b) A general manufactured housing contractor may provide utility services on a single-family individual site placement. Utility services mean the connection of gas, water, sewer, and electrical utilities to the home.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7026.11, 7058 and 7059, Business and Professions Code.
HISTORY

1. Amendment of section and Note filed 10-7-2008; operative 11-6-2008 (Register 2008, No. 41).
§832.50. Class C-50--Reinforcing Steel Contractor.
Note     •     History

A reinforcing steel contractor fabricates, places and ties steel mesh or steel reinforcing bars (rods), of any profile, perimeter, or cross-section, that are or may be used to reinforce concrete structures.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
HISTORY

1. Amendment filed 6-1-88; operative 7-1-88 (Register 88, No. 23).
§832.51. Class C-51--Structural Steel Contractor.
Note     •     History

A structural steel contractor fabricates and erects structural steel shapes and plates, of any profile, perimeter or cross-section, that are or may be used as structural members for buildings and structures, including the riveting, welding, rigging, and metal roofing systems necessary to perform this work.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
HISTORY

1. Amendment filed 11-30-98; operative 12-30-98 (Register 98, No. 49).
§832.53. Class C-53--Swimming Pool Contractor.
Note

A swimming pool contractor constructs swimming pools, spas or hot tubs, including installation of solar heating equipment using those trades or skills necessary for such construction.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
§832.54. Class C-54--Tile Contractors (Ceramic and Mosaic).
Note     •     History

A ceramic and mosaic tile contractor prepares surfaces as necessary and installs glazed wall, ceramic, mosaic, quarry, paver, faience, glass mosaic and stone tiles;  thin tile that resembles full brick, natural or simulated stone slabs for bathtubs, showers and horizontal surfaces inside of buildings, or any tile units set in the traditional or innovative tile methods, excluding hollow or structural partition tile.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
HISTORY

1. Amendment filed 5-16-2002; operative 5-16-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 20).
§832.55. Class C-55--Water Conditioning Contractor.
Note

A water conditioning contractor installs water conditioning equipment with the use of only such pipe and fittings as are necessary to connect the water conditioning equipment to the water supply system and to by-pass all those parts of the water supply system within the premises from which conditioned water is to be excluded.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
§832.57. Class C-57--Well Drilling Contractor.
Note

A well drilling contractor installs and repairs water wells and pumps by boring, drilling, excavating, casing, cementing and cleaning to provide a supply of uncontaminated water.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7026.3, 7058 and 7059, Business and Professions Code.
§832.60. Class C-60--Welding Contractor.
Note

A welding contractor causes metals to become permanently attached, joined and fabricated by the use of gases and electrical energy, which creates temperatures of sufficient heat to perform this work.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
§832.61. Classification C-61--Limited Specialty.
Note

(a) Limited specialty is a specialty contractor classification limited to a field and scope of operations of specialty contracting for which an applicant is qualified other than any of the specialty contractor classifications listed and defined in this article.
(b) An applicant classified and licensed in the classification Limited Specialty shall confine activities as a contractor to that field or fields and scope of operations set forth in the application and accepted by the Registrar or to that permitted by Section 831.
(c) Upon issuance of a C-61 license, the Registrar shall endorse upon the face of the original license certificate the field and scope of operations in which the licensee has demonstrated qualifications. 
(d) A specialty contractor, other than a C-61 contractor, may perform work within the field and scope of the operations of Classification C-61, provided the work is consistent with established usage and procedure in the construction industry and is related to the specialty contractor's classification.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
§832.62. Solar System Work Within Scope of Class A, Class B, and Class C-61 (Swimming Pool Maintenance).
Note

(a) The phrase “in connection with fixed works requiring specialized engineering knowledge and skill” in Section 7056 of the Business and Professions Code shall include but not be limited to an active solar energy system.
(b) An active solar energy system constitutes use of more than two unrelated building trades or crafts within the meaning of Section 7057 of the Business and Professions Code.
(c) C-61 (Swimming Pool Maintenance Contractors) currently holding the SC-44 supplemental solar classification may continue to perform solar work authorized by Class SC-44 until one year after the implementation of the C-46 Solar Classification. Thereafter, classification C-61 (Swimming Pool Maintenance) is authorized to repair active solar heating systems for swimming pools.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7056, 7057 and 7058, Business and Professions Code.
§833. Additional Classifications. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Section 7059, Business and Professions Code.
HISTORY

1. Repealer filed 6-6-86; effective thirtieth day thereafter (Register 86, No. 23).
§834. Limitation of Classification.
Note     •     History

(a) A licensee classified as a general engineering contractor shall operate only within those areas defined in Section 7056 of the Code.
(b) A licensee classified as a general building contractor, as defined in Section 7057 of the Code, shall take a prime contract or subcontract only as authorized by Section 7057.
(c) A licensee classified as a specialty contractor, as defined in Section 7058 of the Code, shall not act in the capacity of a contractor in any classification other than one in which he/she is classified except on work incidental or supplemental to the performance of a contract in a classification in which any contractor is licensed by the Board.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7056, 7057, 7058 and 7059, Business and Professions Code.
HISTORY

1. Editorial correction filed 7-19-84 (Register 84, No. 29).
2. Amendment of subsection (b) filed 8-10-99; operative 9-9-99 (Register 99, No. 33).
Article 4. Examinations
§840. Written Examinations Required of All Applicants.
Note     •     History

Except as provided in Section 7065.1 of the Code, an applicant, including an applicant for an additional classification or classifications, must pass the written examination prescribed by the Registrar. No oral examination shall be given to any applicant. The reading of the examination instructions or questions or the explanation of the wording or intent of any of the questions to an examinee by any Board personnel authorized to conduct examinations, or by any duly sworn translators, shall not be considered an oral examination.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7065 and 7068, Business and Professions Code.
HISTORY

1. Amendment filed 6-6-86; effective thirtieth day thereafter (Register 86, No. 23).
§841. Elimination and Revision of Examination Questions.
Note

The Registrar shall, under the Board's direction, prepare and revise the written examinations for contractors' licenses.
The Registrar shall replace, eliminate or change any examination question or answer thereto brought to his/her attention if, in the Registrar's opinion, the question is misleading or unfair, or the approved answer is incorrect.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7011, 7065, 7065.05 and 7068, Business and Professions Code.
§842. Applicants May Be Re-Examined. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7065, 7074 and 7137, Business and Professions Code.
HISTORY

1. Amendment filed 6-6-86; effective thirtieth day thereafter (Register 86, No. 23).
2. Repealer filed 11-30-2009; operative 12-30-2009 (Register 2009, No. 49).
§843. Waiver of Examination. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7008, 7065, 7065.1 and 7068, Business and Professions Code. Reference: Section 7065.1, Business and Professions Code.
HISTORY

1. Repealer filed 6-6-86; effective thirtieth day thereafter (Register 86, No. 23).
§844. Failure to Appear for Examination. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7074 and 7137, Business and Professions Code.
HISTORY

1. Repealer filed 6-6-86; effective thirtieth day thereafter (Register 86, No. 23).
Article 5. Renewal of License
§852. Renewal of Licenses. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 152.6, 7140 and 7141, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 11-9-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 45).
§853. Renewal Application Form.
Note

(a) The Registrar shall mail to each licensee, prior to the expiration of the license, a renewal form with complete instructions for renewal of the license.
(b) A renewal application is delinquent if not postmarked by the expiration date.
(c) An incomplete renewal application shall be returned to the licensee by the Registrar with an explanation of the reasons for its rejection. If the renewal application is not returned before the expiration date of the license, the license shall expire as provided in Section 7140 of the Code.
(d) An expired license shall not be renewed until any accrued delinquency fee has been paid.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Section 7140, Business and Professions Code.
§854. Renewal Fee and Reactivation Credit.
Note     •     History

A $100 credit will be applied to active license renewals and license reactivations within the renewal period of July 1, 1997 through June 30, 1999.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7076.5, 7137 and 7138.1, Business and Professions Code.
HISTORY

1. New section filed 6-3-97; operative 6-3-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 23).
Article 6. Bonds
§856. Security in Lieu of Bond.
Note     •     History

(a) A certificate of deposit, submitted pursuant to Section 7071.12(a) of the code, shall:
(1) When filed in lieu of a contractor's bond
(A) by an applicant, show the name style as set out on page one of the application.
(B) by a licensee, show the name style as currently recorded in the official files of the Board.
(2) When filed in lieu of a bond of qualifying individual, show the name style as in (1) above and the name of the responsible managing individual.
(3) Be made payable to the Contractors State License Board. The word “trustee” shall not be included.
(4) Be issued for a period of not less than one year.
(5) Be automatically renewable at each maturity date.
(6) Provide that any interest earned shall be paid to the depositor.
(b) Assignment of a savings and loan association investment certificate or share account, or of a credit union certificate for funds or share account shall be upon a form prescribed and approved by the Registrar.
(1) The form shall show:
(A) The assignment of the account to the board.
(B) The name style as prescribed in subsection (a) above.
(C) The current address of the applicant or licensee.
(D) The name and address of the savings and loan association or credit union having custody of such funds.
(E) A declaration signed by an officer of the savings and loan association or the credit union that it received written notice of the assignment. This declaration shall include the title of the officer signing it.
(F) A receipt for the assignment from the Board with direction to the savings and loan association or the credit union that the earnings on the assigned account or certificate shall be paid to the assignor.
(2) The assignment form shall be accompanied by the savings and loan association pass book or investment certificate, the credit union certificate for funds or share account pass book of the assignor which shall show the name of the depositor-investor, that of the licensee or applicant, and the responsible managing individual, if applicable, and the amount of the assignment required by law.
(c) Eligible bearer bonds submitted pursuant to Section 7071.12(c) of the code shall be delivered to a bank in Sacramento, California, which shall act as agent for the applicant, licensee or responsible managing employee. The bank shall deliver the bonds to the Treasurer of the State of California only on order of the Registrar or an employee designated by the Registrar.
(1) The Registrar shall prescribe and approve the forms for the deposit or withdrawal of bearer bonds.
(2) Interest coupons shall remain attached to bearer bonds deposited with the Treasurer until such bonds are permanently withdrawn from the depository, not be resubmitted for deposit.
(3) In order to insure that sufficient security is on deposit, the bid price of bearer bonds, as recorded in the bond securities listed on the Pacific Coast Stock Exchange or some other authoritative source on the first day of the month in which such bonds are submitted for deposit, shall be at least 25% in excess of the amount of the surety bond or cash deposit required to be submitted.
The Registrar shall prescribe such procedures and forms, and issue such orders as necessary to accept and process any cash deposit submitted pursuant to Section 7071.12(d) of the code. Personal checks shall not be accepted as cash.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7071.5, 7071.6, 7071.8, 7071.9, 7071.10 and 7071.12, Business and Professions Code.
HISTORY

1. Change without regulatory effect amending section heading filed 11-9-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 45).
§858. Blanket Performance and Payment Bond Defined.
Note     •     History

(a) The purpose of these sections is to establish requirements for contractors seeking to obtain approval from the Registrar for a blanket performance and payment bond (hereafter referred to as “blanket bond”) as specified under the provisions of paragraph (a)(8) of Section 7159.5 of the Code. 
(b) For the purposes of this Article, the term “blanket bond” means a single surety instrument, executed by an admitted surety that is conditioned for the payment in full of all claims that arise from the obligations created by a licensee under any contract that is subject to the provisions of Section 7159 of the Code (hereafter referred to as “home improvement contract”) and as set forth in Section 858.1 of this Article. 
(c) For the purposes of this Article, the term “obligation” has the same meaning as set forth under Section 1427 of the Civil Code: “An obligation is a legal duty, by which a person is bound to do or not to do a certain thing.” 
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7151, 7159 and 7159.5, Business and Professions Code.
HISTORY

1. New section filed 11-22-2011; operative 12-22-2011 (Register 2011, No. 47).
§858.1. Blanket Performance and Payment Bond Requirements.
Note     •     History

(a) A blanket bond that is filed on behalf of a licensee to satisfy the provisions of Section 858 shall be underwritten for a dollar amount that is sufficient to cover one-hundred percent (100%) of the home improvement contracts for which the licensee has an obligation. 
(b) Upon written request by a licensee, the Registrar is authorized to approve a blanket bond that is capped according to the schedule listed under subsection (c) provided the following conditions are met: 
(1) The licensee, or the parent company of the licensee, is required to submit annual reports (Form 10-K) to the United States Securities and Exchange Commission (U.S. SEC). 
(2) Upon the filing of a request that the blanket bond be capped, a copy of the most recently filed Form 10-K shall be submitted to the Registrar. Thereafter, a copy of any Form 10-K report shall be submitted to the Registrar within 10 days of filing with the U.S. SEC. 
(3) The net worth of the applicable firm shall, initially and annually thereafter, be not less than 10 times the sum of the blanket bond as determined by the Registrar. Each net worth calculation shall be applicable to the period for which the most recent Form 10-K report was submitted to the U.S. SEC. 
(c) The blanket bonds for which a request has been submitted under subsection (b) shall comply with the following schedule: 
(1) If a licensee, or the parent company of a licensee, is classified as a “large accelerated filer” by the U.S. SEC, the amount of the blanket bond shall be $10 million. 
(2) If a licensee, or the parent company of a licensee, is classified as an “accelerated filer” by the U.S. SEC, the amount of the blanket bond shall be $5 million. 
(3) If a licensee, or the parent company of a licensee, is classified as a “non-accelerated filer” by the U.S. SEC, the amount of the blanket bond shall be $1 million. 
(d) A licensee who is granted approval of a blanket bond pursuant to subsections (b) and (c) is not subject to the biennial financial reporting requirement specified under Section 858.4(a)(2). However, the qualifier's certification statement must be submitted biennially as specified under that section. 
(e) For the purpose of executing the qualifier's certification statement required under Section 858.2(a)(4), the provisions of subsections (a), (b), and (c) of Section 858.1 shall be referenced collectively as “the 100% rule.” 
On the date that this section becomes effective, any licensee that has a blanket bond on file with the Board that fails to comply with the 100% rule shall achieve compliance not later than 90 days after the effective date of the section. The Registrar is authorized to rescind the approval of the blanket bond in accordance with the provisions of Section 858.8 of this Article if the licensee fails to comply with any provision of this section. 
(f) The form of the blanket bond specified under this section is subject to the approval of the Registrar and shall conform to the following with regard to content: 

This bond shall be filed with the Registrar of Contractors 
State of California
Contractors State License Board 

	Surety Code:	
	Bond No.:	
	License No.:	

BLANKET PERFORMANCE AND PAYMENT BOND
13B-39 (Rev. 08/11) 
(Business and Professions Code Section 7159.5) 

The term of this bond is 	 to 	.

KNOW ALL BY THESE PRESENTS: That 	
	(Business Name as Shown on the License)

whose address for service is

      (Street Address)                                      (City)                           (State)                 (Zip Code)

as Principal, and 	

                                                                                (Name of Surety)

a corporation organized under the laws of the State of 	
and authorized to transact a general surety business in the State of California, as Surety, are held and firmly bound unto each owner or tenant of a residence or dwelling unit as the beneficiaries with whom the Principal, as of the date of this bond and thereafter, enters into a home improvement contract as defined in Section 7151.2 of the Business & Professions Code for repairing, remodeling, altering, converting, or modernizing such building or structure; and the aggregate contract price specified in one or more improvement contracts including all labor services and materials to be furnished by the Principal as the contractor exceeds                                  Dollars (       ) in the just and full sum of the amount of each individual contract for which sum, well and truly to be paid, we bind ourselves, our heirs, executors, successors, and assigns, jointly and severally, firmly by these presents. 

THE CONDITION OF THE OBLIGATION IS SUCH, That, WHEREAS, Sections 7159 and 7159.5 of the Business & Professions Code provide for bonding requirements for contractors entering into contracts covered by these provisions of law, AND, WHEREAS, the Principal desires to file a blanket guarantee to operate as security in accordance with Section 995.020 of the Code of Civil Procedure, to cover the performance and payment of all obligations resultant from such contracts in order to conduct business under the exemptions specified under paragraph (8) of subdivision (a) of Section 7159.5 of the Business & Professions Code. 

NOW THEREFORE, if the Principal shall well and truly perform and fulfill all the understandings, covenants, terms, conditions, and agreements of said contracts, and shall also well and truly perform and fulfill all the undertakings, covenants, terms, conditions, and agreements of any and all duly authorized modifications of said contracts; and if the Principal shall promptly make payments to all persons, whether or not in direct contractual relationship with Principal, supplying labor or material or both for the prosecution of the work provided in said contracts, then this obligation is to be void; otherwise, it is to remain in full force and effect as though separate bonds in the full amount of the contract price had been written on the individual contracts. 

PROVIDED, HOWEVER, this bond is issued subject to the following express conditions: 

1. This bond may be cancelled by the surety in accordance with the provisions of Sections 996.310 et seq. of the Code of Civil Procedure. 

2. This bond shall be deemed continuous in form and shall remain in full force and effect and shall run concurrently with the license period for which the license is granted and shall continue beyond that period and every succeeding license period or periods for which said Principal may hold this license or until the effective date of rescission of the Registrar's approval of the bond, after which liability hereunder shall cease in accordance with provisions of Section 996.360 of the Code of Civil Procedure. 

3. This bond to become effective 	
                                                                                                                           (Date)

4. Even though this bond may be in effect for more than one year, the surety's aggregate liability for all contracts covered hereunder shall in no event exceed the amount set forth above. 

5. The surety signing this bond is jointly and severally liable on the obligations of the bond, the obligations of the statutes providing for this bond, and the applicable provisions of the Code of Civil Procedure regarding bonds. 

                              (Name of Surety)                                           (Address for Service)

I declare under penalty of perjury under the laws of the State of California that I have executed the foregoing bond under an unrevoked power of attorney. I further declare that I have relied upon the “Qualifier's Certification Statement” to determine that, as of the date of execution, the penal sum of this bond is a good faith valuation of the funds required to safeguard the financial interests of the beneficiaries relative to the obligations for which this bond is posted. 

Executed in                                          ,                           on                 , 
                                                                           (City and State)                                                 (Date)
under the laws of the State of California.

Certificate of Authority # 	

Signature of Attorney-in-Fact 	

Printed or Typed Name of Attorney-in-Fact 	

Address of Attorney-in-Fact 	

Telephone Number of Attorney-in-Fact (    ) 	

Signature of Principal (Qualifier for the License) 	
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7151.2, 7159 and 7159.5, Business and Professions Code.
HISTORY

1. New section filed 11-22-2011; operative 12-22-2011 (Register 2011, No. 47).
§858.2. Application for Approval of Blanket Performance and Payment Bond.
Note     •     History

(a) A licensee seeking approval of a blanket bond shall meet the applicable conditions specified under this Article and submit to the Board an Application for Approval of Blanket Performance and Payment Bond, form 13B-35 (11/2011), that includes the following information: 
(1) The name and address of the licensee as listed on the license record and the license number. 
(2) The name of every person listed on the license record of the applicant who, as specified under Section 7068 of the Code, is acting as a qualifier for the license. 
(3) The reviewed year-end financial statements and a report prepared by a certified public accountant (CPA) duly licensed by the California Board of Accountancy or licensed by another state board of accountancy. The reviewed financial statements shall include supplemental information related to the liquidity ratios of the licensee's business and shall particularly include the current ratio and the quick ratio, the calculations for which are specified under subparagraphs (A) and (B) below. The review report, or a separate supplementary report, shall include an explanation that the information has been subject to the review of the CPA. The review report shall cover the two fiscal years immediately preceding application for approval of the blanket bond, and should be prepared in accordance with the current Statements of Standards for Accounting and Review Services issued by the American Institute of Certified Public Accounts. 
(A) Current ratio calculation: current assets; divided by current liabilities. 
(B) Quick ratio calculation: current assets minus inventory; divided by current liabilities. 
(4) A certification statement, signed under penalty of perjury by the qualifier for the license, which shall conform to the following language: 

QUALIFIER'S CERTIFICATION STATEMENT
(Unless otherwise noted, all section references are to the California Business & Professions Code.)

The undersigned declares that, in accordance with Sections 7068 and 7068.1 of the Code, he or she is a qualifier for the licensee identified below (hereafter referred to as “licensee”) and is responsible for exercising the direct supervision and control of the licensee's operations as is necessary to secure full compliance with the laws and regulations that are under the jurisdiction of the Contractors State License Board. As a qualifier of the licensee, the undersigned has reviewed sufficient financial information to execute this certification as it pertains to the licensee's home improvement sales and services that are subject to the home improvement contract requirements specified under Section 7159 of the Code. As of close of business on                        the 
                                                                   (Date) 

blanket performance and payment bond (bond) number             issued by                                                                                                                              (Bond Number)

	 as surety is, according to my comprehension

      (Name of Surety Company) 

of the data derived from the licensee, in an aggregate amount that is sufficient to comply with the “100% rule” as specified in the provisions of Section 858.1 of Title 16, Division 8 of the California Code of Regulations. The undersigned also certifies that he or she will monitor the relevant business activity of the licensee; exercise due diligence to secure ongoing compliance with the 100% rule; and notify the Registrar within 30 days of the licensee's refusal, failure, or inability to comply with the 100% rule. 
The undersigned also certifies that, upon approval of the blanket bond by the Registrar, the contract forms that will be used by the licensee for all transactions which are subject to Section 7159 of the Code will contain a notice which informs the property owner that a blanket performance and payment bond is on file with the Registrar of Contractors, or in lieu thereof, a notice that clearly identifies the name and address of the surety that has issued the blanket performance and payment bond. 

As a qualifying individual for the licensee, I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct and that this declaration was executed on         at 	 

                                                                                                                               (Date)      (City and State)

               (Name of Licensee as it Appears on the License)                                  (License Number)
	
                     (Printed Name of Qualifier)                                       (Signature of Qualifier)
(b) A licensee shall be licensed in this state in an active status for not less than five years prior to submitting the application provided for by this section. 
(c) Except as otherwise provided under this subsection, an application for approval of a blanket bond shall not be accepted for consideration if any member of the personnel of record of the licensee, or any home improvement salespersons registered to the licensee, was found to have been responsible for, participated in, or otherwise culpable relative to any legal action that is subject to disclosure under Section 7124.6(e)(2) or 7124.6 (e)(3) of the Code, or is named on a license that is suspended pursuant to Section 7071.17 of the Code. 
(1) Any person who, after the effective date of the most recent disciplinary order applicable to that individual, is listed on an active license for three consecutive years with no violations resulting in disciplinary action may make application as provided under this Article. 
(d) The application shall be signed by the person qualifying on behalf of the licensee who has executed the qualifier's certification statement required under this section. In the case of a responsible managing employee qualifier, the application shall also be signed by the owner, partner, or current corporate officer. 
(e) The application shall be accompanied by a blanket bond that complies with the provisions of Section 858.1 of this Article and is underwritten by a surety that has been admitted in the State of California. 
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7068, 7068.1, 7124.6, 7159 and 7159.5, Business and Professions Code. 
HISTORY

1. New section filed 11-22-2011; operative 12-22-2011 (Register 2011, No. 47).
§858.3. Minimum Standards for Blanket Performance and Payment Bond Approval -- Cause for Denial.
Note     •     History

(a) For each of the year-end financial statements for which a report is required under Section 858.2, the following standards must be met in order to qualify for blanket bond approval: 
(1) The quick ratio shall not be less than 1:1, or, in lieu thereof, the current ratio shall not be less than 2:1. 
(b) In addition to any other cause for denial, the Registrar may deny or rescind approval of the blanket bond based on information in the reviewed report or the information contained in the supplemental information required under subparagraph (a)(3) of Section 858.2 if the information demonstrates the licensee will be unable to meet current liabilities. 
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Section 7159.5, Business and Professions Code. 
HISTORY

1. New section filed 11-22-2011; operative 12-22-2011 (Register 2011, No. 47).
§858.4. Blanket Performance and Payment Bond Biennial Certification and Financial Reporting Requirements.
Note     •     History

(a) Except as otherwise provided under this Article, a licensee that maintains a blanket bond under this Article shall comply with the following: 
(1) A certification statement as specified in Section 858.2 of this Article, signed under penalty of perjury by the member of the personnel of record who is listed as the qualifier for the license in accordance with Section 7068 of the Code, shall be submitted biennially to the Registrar as specified under subsection (b). 
(2) With each application to renew the license for which the blanket bond has been posted, reviewed year-end financial statements and a report prepared in accordance with the provisions of Section 858.2(a)(3) shall be submitted to the Registrar as follows: 
(A) If it has been one calendar year or more since the Registrar's approval of the blanket bond, the licensee shall submit a copy of a review report and the accompanying financial statements covering the entire period that is subsequent to the approval, but not more than the two fiscal years immediately preceding the license renewal date. 
(B) If it has been less than one calendar year since the Registrar's initial approval of the blanket bond, the reviewed report required by this subsection shall be submitted at next renewal period that is more than one calendar year subsequent to the initial approval of the blanket bond. 
(b) The due date for the qualifier's certification statement and any reports required under this section shall coincide with the license renewal period of the license for which blanket bond approval has been granted. For each subsequent renewal cycle, the certification statement and reports of financial statements shall be submitted to the Registrar no later than the date the license is due to expire. 
(c) The Registrar may rescind approval of the blanket bond based on information in the reviewed report or in the supplemental information that demonstrates the licensee's business may not be able to meet its current liabilities. 
(d) If a licensee fails to submit the certification statement or comply with the financial reporting requirements as specified by this section, the Registrar may rescind approval of the blanket bond in accordance with the provisions of Section 858.8 of this Article. 
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7068, 7068.1 and 7159.5, Business and Professions Code. 
HISTORY

1. New section filed 11-22-2011; operative 12-22-2011 (Register 2011, No. 47).
§858.5. Blanket Performance and Payment Bond Audit Authorization and Procedures.
Note     •     History

(a) The Registrar may order an audit of a licensee that has an approved blanket bond on file if he or she deems an audit is necessary to ensure that the sum for which the blanket bond has been filed is sufficient to protect the public. 
(1) The Registrar shall provide a licensee with not less than 30 days written notification that an audit is to be conducted pursuant to this section. The notice shall specify the period to be covered by the audit and set a date for the audit to begin. The audit period shall not exceed the period that is specified for the retention of licensee records under Section 7111 of the Code. Delivery of the notice shall be by certified mail to the current business address of record listed on the license record. Upon written request, the Registrar may grant the licensee an additional 30 days to prepare for the audit. 
(2) For any audit conducted pursuant to this section, the licensee shall, pursuant to the receipt of the audit notice, provide access to the licensee's books, business records, and documents in accordance with the provisions of Section 7111 of the Code. 
(b) Upon completion and review of the audit and all relevant information, the Registrar shall determine if the licensee is in compliance with the 100% rule specified under Section 858.1. 
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7111 and 7159.5, Business and Professions Code. 
HISTORY

1. New section filed 11-22-2011; operative 12-22-2011 (Register 2011, No. 47).
§858.6. Authorization and Procedures for Ordering the Amount of Blanket Performance and Payment Bond to Be Increased.
Note     •     History

(a) Pursuant to an audit conducted in accordance with Section 858.5 of this Article, the Registrar is authorized to order an increase in the dollar amount of the blanket bond to an amount that meets the requirements specified in Section 858.1 of this Article. The adjustment determination shall be based on the information contained in records of the licensee that are required to be made available for an audit as specified under this Article. 
(b) An order to increase the sum of the blanket bond pursuant to this section shall be sent by certified and regular mail to the licensee's address of record. The order shall include a notice that failure to increase the dollar amount of the blanket bond within 30 days of the date of the order is cause for rescission of approval of the blanket bond. 
(c) If a licensee fails to comply within 30 days of the date of an order that is issued pursuant to this section, the Registrar shall rescind approval of the blanket bond in accordance with the provisions of Section 858.8 of this Article. 
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Section 7159.5, Business and Professions Code. 
HISTORY

1. New section filed 11-22-2011; operative 12-22-2011 (Register 2011, No. 47).
§858.7. Maintenance of the Blanket Performance and Payment Bond.
Note     •     History

(a) In order for any licensee to maintain the Registrar's approval of a blanket bond in accordance with this Article, all provisions of this section are applicable: 
(1) No member of the personnel of record of the licensee, nor home improvement salesperson registered to the licensee, shall have been found to have been responsible for, participated in, or otherwise culpable relative to any acts or omissions that resulted in any discipline that is subject to disclosure under Section 7124.6(e)(2) or 7124.6(e)(3) of the Code. The approval of the blanket bond posted by a licensee found to be in violation of this section is subject to rescission in accordance with the provisions of Section 858.8 of this Article. In determining whether or not to rescind approval of the blanket bond for violations of this section, the Registrar shall give due consideration to protection of the public as set forth in Section 7000.6 of the Code. 
(2) No member of the personnel of record of the licensee, nor home improvement salespersons registered to the licensee, shall be named on a license that is suspended pursuant to Section 7071.17 of the Code. The approval of the blanket bond posted by a licensee found to be in violation of this section is subject to rescission in accordance with the provisions of Section 858.8 of this Article. In determining whether or not to rescind approval of the blanket bond for violations of this section, the Registrar shall give due consideration to protection of the public as set forth in Section 7000.6 of the Code. 
(3) Whenever any qualifier who has executed and filed the qualifier's certification statement required under this Article disassociates from the licensee, a subsequent qualifier for the licensee shall complete, execute, and file the qualifier's certification statement contained in the application form specified under Section 858.2 of this Article. The qualifier's certification statement required by this paragraph must be filed within 90 days of the date that the former qualifier who executed the qualifier's certification statement disassociated from the license, as noted on the official license record of the Board. 
(4) The failure to file an acceptable qualifier's certification statement within 90 days as specified under subdivision (3) of this subsection is cause for rescission of approval of the bond in accordance with the provisions of Section 858.8 of this Article. If a licensee files a written request prior to the date the qualifier's certification statement is due, the Registrar may grant an additional 30 days within which to file the certification statement. The licensee's request shall clearly state the reason(s) why additional time is needed to file the qualifier's certification statement. 
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7000.6, 7071.17, 7124.6 and 7159.5, Business and Professions Code. 
HISTORY

1. New section filed 11-22-2011; operative 12-22-2011 (Register 2011, No. 47).
§858.8. Rescission of Blanket Performance and Payment Bond Approval.
Note     •     History

(a) The Registrar may rescind the approval of any blanket bond (also referenced as “approval rescission” under this section) if any provision or condition specified under this Article is not satisfied. 
(b) To rescind the approval of a blanket bond, the Registrar shall send written notice by certified and regular mail to the licensee's address of record that specifies the date of and the reasons for the Registrar's decision to rescind approval of the blanket bond. When appropriate, the notice shall also contain the conditions that must be met to prevent the rescission. 
(c) The rescission shall, as of the date specified, extinguish the licensee's authorization to use the blanket bond in satisfaction of the provisions under subsection (a)(8) of Section 7159.5 of the Code. 
(d) The licensee shall be given not less than 30 days notice prior to the effective date of the rescission of the blanket bond. Prior to the effective date of the rescission, the licensee may file a written appeal of the rescission of the blanket bond with the Registrar. A written appeal is considered timely if it is postmarked prior to the date the rescission would otherwise become effective. Where a rescission is not appealed timely, the blanket bond shall be rescinded on the effective date specified by the Registrar. If the rescission is appealed timely, the effective date of the rescission shall be delayed until a decision on the appeal is issued, and a notice regarding the appeal and the pending decision of the Registrar shall be posted as specified under subsection (b) of Section 858.9. 
(e) Upon cancellation of the blanket bond, the Registrar's approval shall be automatically rescinded effective on the date of the cancellation. 
(f) Upon the effective date of the Registrar's approval rescission, the licensee shall be subject to and comply with the provisions of subsections (a)(3), (4), and (5) of Section 7159.5 of the Code and shall, in addition to complying with all other requirements specified under Section 7159 of the Code, include the Mechanics' Lien Warning disclosure as part of all home improvement contracts that are subject to that section. 
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7159 and 7159.5, Business and Professions Code. 
HISTORY

1. New section filed 11-22-2011; operative 12-22-2011 (Register 2011, No. 47).
§858.9. Posting of Blanket Performance and Payment Bond Information to License Records.
Note     •     History

(a) Upon approval of a blanket bond by the Registrar, regardless of the effective date of the blanket bond, the following information shall be posted to the public license record of the licensee named as principal on the blanket bond: 
(1) A statement indicating that the licensee has an approved blanket performance and payment bond on file with the Board. 
(2) The date that the blanket bond was approved. 
(3) The number of the blanket bond. 
(4) The dollar amount for which the blanket bond has been filed. 
(5) The name and address of the surety company on the blanket bond. 
(b) Whenever a licensee is notified of a decision to rescind the approval of the licensee's blanket bond, the Registrar shall post a notice on the public license record indicating that the rescission is pending. The notice shall be posted to the license record no earlier than 5 calendar days and no later than 10 calendar days after the date that written notification of the rescission is sent to the licensee. If the rescission is appealed timely by the licensee, the Registrar shall also post a notice that an appeal has been filed and indicate that the decision to rescind the approval of the blanket bond is delayed pending the outcome of the licensee's appeal. 
(c) Upon rescission of approval of a blanket bond or its cancellation, the statement specified in paragraph (1) of subsection (a) shall be changed to indicate the disposition of the blanket bond and the effective date thereof. The information in paragraphs (2), (3), (4), and (5) of subsection (a) shall remain on the license record for not less than five years after the date the blanket bond was rescinded or cancelled. 
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Section 7159.5, Business and Professions Code. 
HISTORY

1. New section filed 11-22-2011; operative 12-22-2011 (Register 2011, No. 47).
Article 7. Special Provisions
§860. Penalty for Failure to Comply with Rules.
Note

Licensees and applicants for licenses shall comply with all rules and regulations of the Board and regulations issued by the Registrar. Violation of such rules and regulations shall constitute grounds for disciplinary action, or for the denial of a license.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Section 7008, Business and Professions Code.
§861. “Advertising” Defined.
Note     •     History

As used in Section 7030.5 of the Code, the term “advertising” includes but is not limited to the following: any card, contract proposal, sign, billboard, lettering on vehicles registered in this or any other state, brochure, pamphlet, circular, newspaper, magazine, airwave or any electronic transmission, and any form of directory under any listing denoting “Contractor” or any word or words of a similar import or meaning requesting any work for which a license is required by the Contractors License Law.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Section 7030.5, Business and Professions Code.
HISTORY

1. Editorial correction filed 7-19-84 (Register 84, No. 29).
2. Amendment of section heading and section filed 11-30-2009; operative 12-30-2009 (Register 2009, No. 49).
§861.5. Definition of “Structural Defect”.
Note     •     History

For the purposes of subdivision (b) of Section 7091 of the Code, “structural defect” is defined as meaning:
(1) A failure or condition that would probably result in a failure in the load bearing protions of a structure,
(2) which portions of the structure are not constructed in compliance with the codes in effect at the time for the location of the structure, provided that,
(3) such failure or condition results in the inability to reasonably use the affected portion of the structure for the purpose for which it was intended.
NOTE

Authority cited: Sections 7008 and 7091, Business and Professions Code. Reference: Section 7091, Business and Professions Code.
HISTORY

1. New section filed 8-28-96; operative 9-27-96 (Register 96, No. 35).
§862. Notice to Owner. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7008 and 7018.5, Business and Professions Code. Reference: Sections 7018.5 and 7159, Business and Professions Code.
HISTORY

1. Amendment filed 3-6-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 9).
2. Change without regulatory effect repealing section filed 11-9-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 45).
§863. Public Access to Information.
Note     •     History

The Registrar shall establish a system whereby members of the public may obtain from board records information regarding complaints made against licensed contractors, their history of legal actions taken by the board, and license status, as hereafter specified. For purposes of this section, “complaint” means a written allegation which has been investigated and has been referred for legal action against the licensee. For purposes of this section, “legal action” means referral of the complaint for the issuance of a citation, accusation, statement of issues, or for the initiation of criminal action or injunctive proceedings.
(a) The Registrar shall maintain records showing the complaints received against licensees and, with respect to such complaints, shall make available to members of the public, upon request, the following information:
(1) The nature of all complaints on file against a licensee which have been investigated by a Deputy Registrar and referred for legal action against the licensee by the District Office. Information regarding complaints which are in the process of being screened, mediated, arbitrated or investigated shall not be disclosed.
(2) Such general cautionary statements as may be considered appropriate regarding the usefulness of complaint information to individual consumers in their selection of a contractor.
(3) Whenever complaint information is requested, the information disclosable under subsections (c) and (d) below shall also be released.
(b) If a complaint results in a legal action and is subsequently determined by the registrar, the Office of the Attorney General or a court of competent jurisdiction not to have merit, it shall be deleted from the complaint disclosure system.
(c) The Registrar shall maintain records showing a history of any legal actions taken by the board against all current license holders and shall make available to members of the public, upon request, all the following information:
(1) Whether any current license holder has ever been disciplined by the registrar and, if so, when and for what offense; and
(2) Whether any current licensee has ever been cited, and, if so, when and for what offense, and, whether such citation is on appeal or has been complied with;
(3) Whether any current license holder is named as a respondent in any currently pending disciplinary or legal action.
(d) The Registrar shall maintain records showing certain licensing and bonding information for all current license holders and shall make available to members of the public, upon request, all the following information regarding current license holders:
(1) The name of the licensee as it appears in the board's records; and
(2) The license number; and
(3) The classification(s) held; and
(4) The address of record; and
(5) The personnel of the licensee; and
(6) The date of original licensure; and
(7) Whether a bond or cash deposit is maintained and, if so, its amount; and
(8) If the licensee maintains a bond, the name and address of the bonding company and the bond's identification number, if any.
(e) Limitation of access to information. Further, the Registrar may set reasonable limits upon the number of requests for information responded per month from any one requestor.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7124.5 and 7124.6, Business and Professions Code.
HISTORY

1. Editorial correction filed 7-19-84 (Register 84, No. 29).
2. Amendment filed 4-10-92; operative 5-11-92 (Register 92, No. 18).
§864. Continuance of License Under Section 7068.2.
Note

When a notice of disassociation of the responsible managing officer or responsible managing employee is given within the time and in the manner prescribed by Section 7068.2 of the code, the license shall remain in force for a period of 90 days from the date of such disassociation.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Section 7068.2, Business and Professions Code.
§865. Continuance of License Under Section 7076.
Note     •     History

(a) An application for the continuation of a business under an existing license may be submitted to the Registrar within 90 days of:
(1) the death of a person licensed as an individual,
(2) the death or the disassociation of a partner of a licensed partnership, or
(3) the death of an individual member or the disassociation of any entity of a licensed joint venture. If the application is approved by the Registrar, the license shall remain in force for a period of up to one year from the date of death or disassociation.
(b) The Registrar may approve an extension to the one-year provision outlined in subsection (a) if additional time is necessary to complete projects contracted for or commenced before the disassociation or death.
(c) A license so extended is subject to all the provisions of the Contractors License Law including those relating to renewal and bond requirements.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Section 7076, Business and Professions Code.
HISTORY

1. Amendment of subsections (a)and (b) filed 6-6-86; effective thirtieth day thereafter (Register 86, No. 23).
§866. Procedure to Inactivate License. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Section 7076.5, Business and Professions Code.
HISTORY

1. Repealer filed 6-6-86; effective thirtieth day thereafter (Register 86, No. 23).
§867. Procedure to Reactivate an Inactive License.
Note     •     History

(a) A reactivation of an inactive license shall be effective on the date on which an acceptable form is received by the Registrar, on the date on which the full renewal fee provided for in Section 7137(d) of the code is paid, or on the date, if any, requested by the licensee, whichever last occurs.
(b) When an inactive license is reactivated, the Registrar shall issue to the licensee an active pocket license.
(c) The name, address, license number and classification of the reactivated licensee shall be posted publicly as prescribed by the Registrar.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Section 7076.5, Business and Professions Code.
HISTORY

1. Amendment filed 6-6-86; effective thirtieth day thereafter (Register 86, No. 23).
§868. Criteria to Aid in Determining if Crimes or Acts Are Substantially Related to Contracting Business.
Note     •     History

For the purposes of denial, suspension, or revocation of a license pursuant to Division 1.5 (commencing with Section 475) of the code, a crime or act, as defined in Section 480 of the code, shall be considered to be substantially related to the qualifications, functions, or duties of a licensee (under Division 3, Chapter 9 of the code) if it evidences present or potential unfitness of an applicant or licensee to perform the functions authorized by the license in a manner consistent with the public health, safety, and welfare. The crimes or acts shall include, but not be limited to, the following:
(a) Any violation of the provisions of Chapter 9 of Division 3 of the code.
(b) Failure to comply with the provisions of the California Administrative Code, Chapter 8, Title 16.
(c) Crimes or acts involving dishonesty, fraud, deceit, or theft with the intent to substantially benefit oneself or another or to substantially harm another.
(d) Crimes or acts involving physical violence against persons.
(e) Crimes or acts that indicate a substantial or repeated disregard for the health, safety, or welfare of the public.
NOTE

Authority cited: Sections 481 and 7008, Business and Professions Code. Reference: Sections 480, 481, 490, 7066, 7069, 7073, 7090, 7123 and 7124, Business and Professions Code.
HISTORY

1. Amendment of section heading, section and Note filed 5-31-2006; operative 6-30-2006 (Register 2006, No. 22).
§869. Criteria for Rehabilitation.
Note     •     History

(a) When considering the denial, suspension, or revocation of a license pursuant to Division 1.5 (commencing with Section 475) of the code, the Board in evaluating the applicant's or licensee's rehabilitation and present eligibility for a license will consider the following criteria:
(1) Subject to the provisions of subsection (a)(2), an applicant or licensee may be determined to be rehabilitated if he or she meets the following criteria:
(A) For felony convictions that are substantially related to the qualifications, functions, or duties of a licensee as defined in Section 868, seven (7) years have passed from the time of release from incarceration or completion of probation if no incarceration was imposed, without the occurrence of additional criminal activity or substantially-related acts.
(B) For misdemeanor convictions that are substantially related to the qualifications, functions, or duties of a licensee as defined in Section 868, three (3) years have passed from the time of release from incarceration or completion of probation if no incarceration was imposed, without the occurrence of additional criminal activity or substantially-related acts.
(C) For acts that are substantially related to the qualifications, functions, or duties of a licensee as defined in Section 868, three (3) years have passed from the time of commission of the act(s), without the occurrence of criminal activity or additional substantially-related acts.
(2) The amount of time needed to demonstrate rehabilitation under subsection (a)(1) may be increased or decreased by taking into account the following:
(A) The nature and severity of the crime(s) or act(s) that are under consideration as, or that were, the grounds for denial, suspension, or revocation.
(B) Evidence of any crime(s) or act(s) committed subsequent to the crime(s) or act(s) that are under consideration as, or that were, the grounds for denial, suspension, or revocation, which also could be considered as grounds for denial, suspension, or revocation.
(C) The time that has elapsed since commission of the crime(s) or act(s) that are under consideration as, or that were, the grounds for denial, suspension, or revocation.
(D) The extent to which the applicant or licensee has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant or licensee.
(E) Consistent work history subsequent to the release from incarceration, or the completion of probation if no incarceration was imposed, or subsequent to the time of commission of the act(s).
(F) Documents or testimony from credible individuals who have personal knowledge of the applicant's or licensee's life and activities subsequent to the time of commission of the crime(s) or act(s) who can attest to the applicant's or licensee's present fitness for licensure.
(G) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(H) Other relevant evidence, if any, of rehabilitation submitted by the applicant or licensee. For example, relevant evidence may include evidence of recovery from drug and/or alcohol addiction or abuse or completion of a drug and/or alcohol aversion program if the crime(s) or act(s) related to or involved drug and/or alcohol use; or evidence of completion of an anger management program if the crime(s) or act(s) demonstrated the applicant's or licensee's inability to control one's temper.
(b) When considering a petition for reinstatement of the license of a contractor, the Board shall evaluate evidence of rehabilitation submitted by the petitioner, considering those criteria specified in subsection (a).
NOTE

Authority cited: Sections 482 and 7008, Business and Professions Code. Reference: Sections 480, 482, 490, 496, 7066, 7069, 7073, 7123 and 7124, Business and Professions Code.
HISTORY

1. Amendment of section and Note filed 5-31-2006; operative 6-30-2006 (Register 2006, No. 22).
§869.1. Applicant Defined.
Note     •     History

(a) All applicants for licensure shall furnish a full set of fingerprints for purposes of the board conducting a criminal history record check. The fingerprints will be used to allow the California Department of Justice and the Federal Bureau of Investigation to provide criminal history to the Board.
(b) For purposes of fingerprinting, “applicant” means any individual applying to be a member of the personnel of record.
(c) For purposes of fingerprinting, “applicant” means an individual applying for a home improvement registration.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7069 and 7153.1, Business and Professions Code.
HISTORY

1. New section filed 3-17-2005; operative 4-16-2005 (Register 2005, No. 11).
§869.2. Exemptions.
Note     •     History

(a) Applicants for a joint venture license, who hold a current, active license in good standing are not subject to fingerprinting.
(b) Individuals already fingerprinted as required by Section 869.1 and for whom subsequent arrest information remains available at the Board need not submit fingerprints when submitting a subsequent application.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7069 and 7153.1, Business and Professions Code.
HISTORY

1. New section filed 3-17-2005; operative 4-16-2005 (Register 2005, No. 11).
§869.3. Methods for Submitting Fingerprints.
Note     •     History

(a) Applicants residing inside the State of California shall submit their fingerprints through the electronic format certified by the California Department of Justice but, with approval of the Registrar, may submit their fingerprints on hard copy forms provided by the Registrar.
(b) Applicants residing outside the State of California may submit their fingerprints using the electronic format certified by the California Department of Justice but also may submit their fingerprints on hard copy forms provided by the Registrar.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7069 and 7153.1, Business and Professions Code.
HISTORY

1. New section filed 3-17-2005; operative 4-16-2005 (Register 2005, No. 11).
§869.4. Subsequent Arrest History.
Note     •     History

(a) Once an applicant has been fingerprinted, the Board will maintain access to the applicant's subsequent arrest history until such time as the individual's license is cancelled, revoked or no longer renewable.
(b) Once the Board no longer receives subsequent arrest information, an individual seeking to apply for a license must be fingerprinted as required in Section 869.1.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7069 and 7153.1, Business and Professions Code.
HISTORY

1. New section filed 3-17-2005; operative 4-16-2005 (Register 2005, No. 11).
§869.5. Inquiry into Criminal Convictions.
Note     •     History

The Board may conduct an inquiry into the circumstances surrounding the commission of a crime in order to fix the degree of discipline or to determine if the crime is substantially related to the qualifications, functions, and duties of an applicant or licensee by requiring the applicant or licensee to provide documents including, but not limited to, certified court documents, certified court orders or sentencing documents.
NOTE

Authority cited: Sections 480, 481 and 7008, Business and Professions Code. Reference: Sections 480, 481, 493, 7066, 7069 and 7073, Business and Professions Code.
HISTORY

1. New section filed 3-17-2005; operative 4-16-2005 (Register 2005, No. 11).
§869.9. Criteria to Aid in Determining Earliest Date a Denied Applicant May Reapply for Licensure.
Note     •     History

(a) For an applicant who is denied licensure pursuant to subdivision (a) of Section 480 of the Business and Professions Code, the date of reapplication shall be set by the registrar at not less than one year nor more than five years after the denial. When computing the date for reapplication, the time shall commence from the effective date of the decision if an appeal is made or from the service of the notice under Section 485(b) if a request for hearing is not made. The registrar will consider the following criteria when setting the reapplication date of an individual who was denied a license:
(1) For felony convictions that are substantially related to the qualifications, functions, or duties of a licensee as defined in Section 868, seven (7) years have passed from the time of release from incarceration or completion of probation if no incarceration was imposed, without the occurrence of additional criminal activity or substantially-related acts.
(2) For misdemeanor convictions that are substantially related to the qualifications, functions, or duties of a licensee as defined in Section 868, three (3) years have passed from the time of release from incarceration or completion of probation if no incarceration was imposed, without the occurrence of additional criminal activity or substantially-related acts.
(3) For acts that are substantially related to the qualifications, functions, or duties of a licensee as defined in Section 868, three (3) years have passed from the time of commission of the act(s), without the occurrence of criminal activity or additional substantially-related acts.
(4) The nature and severity of the crime(s) or act(s) that were the grounds for denial.
(5) Evidence of any crime(s) or act(s) committed subsequent to the crime(s) or act(s) that were the grounds for denial, which also could be considered as grounds for denial.
(6) The time that has elapsed since commission of the crime(s) or act(s) that were the grounds for denial.
(7) The extent to which the applicant or licensee has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(8) Consistent work history subsequent to the release from incarceration, or the completion of probation if no incarceration was imposed, or subsequent to the time of commission of the act(s).
(9) Documents or testimony from credible individuals who have personal knowledge of the applicant's life and activities subsequent to the time of commission of the crime(s) or act(s) who can attest to the applicant's present fitness for licensure.
(10) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(11) Other relevant evidence, if any, of eligibility for reapplication submitted by the applicant. For example, relevant evidence may include evidence of recovery from drug and/or alcohol addiction or abuse or completion of a drug and/or alcohol aversion program if the crime(s) or act(s) related to or involved drug and/or alcohol use; or evidence of completion of an anger management program if the crime(s) or act(s) demonstrated the applicant's or licensee's inability to control one's temper.
(b) Nothing in this section shall preclude the registrar from denying the license of an applicant who was previously denied a license and who is eligible for reapplication in accordance with this section.
NOTE

Authority cited: Sections 482, 7008 and 7073, Business and Professions Code. Reference: Sections 480, 482, 486, 496, 7066, 7069, 7073 and 7124, Business and Professions Code.
HISTORY

1. New section filed 5-31-2006; operative 6-30-2006 (Register 2006, No. 22).
§870. Factors to Apply in Determining Earliest Date a Revoked Licensee May Apply for Licensure.
Note     •     History

(a) The Registar shall have exclusive authority in setting the earliest date a revoked licensee may reapply for reissuance or reinstatement of a license.
(b) when extending the minimum one year period, the Registrar shall give due consideration to the gravity of the violation, the history of previous violations and criminal convictions and evaluate the application based on the following criteria:

Reapplication Dates:
5 years	License has been revoked:
		(1)	one or more times or
		(2)	for committing fraudulent acts or
		(3)	committing acts which have seriously 
			endangered the public welfare and safety or
		(4)	for being convicted of a construction-related
			crime. (For the purposes of determining if a
			crime is construction-related, CCR Title 16,
			Chapter 8, Section 868 shall apply.)
4 years	License has been revoked:
		(1)	for committing violations on multiple
			construction projects; or
		(2)	for committing multiple violations of law for
			reasons other than fraud, danger to the public
			welfare and safety and for conviction of a
			construction-related crime.
3 years	License has been revoked and revoked licensee:
		(1) has been issued more than one citation which
			has become final within one year immediately
			preceding the date of revocation or
		(2)	has been previously suspended by the Register
			as the result of a disciplinary action.
2 years	License has been revoked and revoked licensee has been
	issued a citation, which has become final within one year
	immediately preceding the date of revocation.
1 year	Licensee has been revoked for the first time and revoked
	licensee has no previous legal action history with the
	Board.
NOTE

Authority cited: Sections 7008 and 7059, Business and Professions Code. Reference: Sections 7058 and 7059, Business and Professions Code.
HISTORY

1. New section filed 5-11-89; operative 6-10-89 (Register 89, No. 19).
§871. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), the board shall consider the disciplinary guidelines entitled “Disciplinary Guidelines” (rev. 12/11/96) which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the board in its sole discretion determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Section 7008, Business and Professions Code; and Sections 11400.20 and 11400.21, Government Code. Reference: Sections 7090 and 7095, Business and Professions Code; and Section 11425.50(e), Government Code.
HISTORY

1. New section filed 5-29-97; operative 5-29-97 pursuant to Government Code 11343.4(d) (Register 97, No. 22).
§872. Disclosure of General Liability Insurance.
Note     •     History

(a) As used in this regulation, ”home improvement contract” is defined in Code Section 7151.2. The following statement, must accompany every estimate (bid) intended to result in a home improvement contract and every home improvement contract. The heading shall be printed in at least 14-point type, the questions in at least 12-point type, and the comments in italics of at least 11-point type. The text should be bold where indicated. This is 14-point type. This is 12-point type. This is 11-point type in italics.

View Graphic
(b) The following statement must accompany every contract described in Code Section 7164. The heading shall be printed in at least 14-point type, the questions in at least 12-point type, and the comments in italics of at least 11-point type. The text should be bold where indicated. This is 14-point type. This is 12-point type. This is 11-point type in italics.

View Graphic
NOTE

Authority cited: Sections 7008, 7159.3 and 7164, Business and Professions Code. Reference: Section 7151.2, Business and Professions Code.
HISTORY

1. New section filed 11-28-2001; operative 2-26-2002 (Register 2001, No. 48).
§872.1. Checklist for Homeowners.
Note     •     History

(a) As used in this regulation, home improvement is defined in Code Section 7151.2.
(b) The following statement, must accompany every estimate (bid) intended to result in a home improvement contract and every home improvement contract that does not include a swimming pool. The heading shall be printed in at least 14-point type, the questions in at least 12-point type, and the comments in italics of at least 11-point type. The text should be bold where indicated. This is 14-point type. This is 12-point type. This is 11-point type in italics.

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(c) The following statement, must accompany every estimate (bid) intended to result in a home improvement contract and every home improvement contract that includes a swimming pool. The heading shall be printed in at least 14-point type, the questions in at least 12-point type, and the comments in italics of at least 11-point type. The text should be bold where indicated. This is 14-point type. This is 12-point type. This is 11-point type in italics.
Checklist for Homeowners (Swimming Pools)

View Graphic
NOTE

Authority cited: Sections 7008 and 7159.3, Business and Professions Code. Reference: Sections 7151.2 and 7159, Business and Professions Code.
HISTORY

1. New section filed 11-28-2001; operative 2-26-2002 (Register 2001, No. 48).
Article 8. Citation
§880. Order of Correction--Practical Feasibility.
Note

Before including an order of correction in a citation, due consideration shall be given to the practical feasibility of correction in accordance with, but not limited to, the following criteria:
(a) An order of correction is appropriate where it would not result in excessive destruction of or substantial waste of existing acceptable construction.
(b) An order of correction is appropriate where the owner of the construction project is willing to allow the cited licensee to correct.
(c) An order of correction is appropriate where it appears to the Registrar that the cited licensee has competence or ability to correct.
NOTE

Authority cited: Sections 7008 and 7099.1, Business and Professions Code. Reference: Sections 7099 and 7099.1, Business and Professions Code.
§881. Order of Correction--Alternative Compliance.
Note

A cited licensee may comply with an order of correction by having and paying for another licensee to do the corrective work. The cited licensee remains responsible, however, for any failure to fully comply with the order of correction.
An order of correction may, but need not, contain the alternative that the cited person may pay a specified sum to the owner of the construction project in lieu of correcting.
NOTE

Authority cited: Sections 7008 and 7099.1, Business and Professions Code. Reference: Sections 7099 and 7099.1, Business and Professions Code.
§882. Order of Correction--Time Required to Correct.
Note

Where an order of correction is included in a citation, due consideration shall be given to the time required to correct in accordance with, but not limited to, the following criteria:
(a) Accepted industry practice in that area relating to performance of such work under certain climate or weather conditions.
(b) A reasonable time in which to obtain necessary materials.
(c) The number of working days the construction project will be made accessible by the owner for corrections.
NOTE

Authority cited: Sections 7008 and 7099.1, Business and Professions Code. Reference: Sections 7099 and 7099.1, Business and Professions Code.
§883. Order of Correction--Extension of Time to Correct.
Note

If the cited person, after exercising substantial efforts ad reasonable diligence, is unable to complete the correction within the time allowed because of conditions beyond his control, he may request an extension of time in which to correct. Such request must be made in writing, and must be made prior to the expiration of the time allowed in the order of correction. An extension may be granted upon showing of good cause which determination is within the discretion of the Registrar. If a request for extension of time is not made prior to the expiration of time allowed in the order of correction, failure to correct within the time allowed shall constitute a violation of the order of correction whether or not good cause for an extension of time existed.
NOTE

Authority cited: Sections 7008 and 7099.1, Business and Professions Code. Reference: Sections 7099 and 7099.1, Business and Professions Code.
§884. Assessments of Civil Penalties.
Note     •     History

(a) Civil penalties against persons who have been cited for violation of the Contractors License Law shall be assessed in accordance with the following ranges of penalties.

Section	Minimum	Maximum
Violated	Civil Penalty	Civil Penalty

7027.1	$100	$1000
7028	200	5,000
7028.1	1,000	5,000
7028.5	200	5,000
7028.7	200	15,000
7029.1	200	2,500
7029.5	100	500
7029.6	100	500
7030	500	1,500
7030.1	1,000	5,000
7030.5	100	1,000
7031.5	100	500
7034	100	1,000
7058.7	500	5,000
7068.1	100	5,000
7068.2	100	1,000
7071.11	100	1,000
7071.13	100	500
7075	100	500
7076	100	1,000
7083	100	1,000
7083.1	100	1,000
7099.10	100	1,500
7099.11	100	1,500
7107	200	5,000
7108	200	5,000
7108.5	200	2,000
7108.6	200	2,000
7109	200	5,000
7109.5	500	5,000
7110	200	5,000
7110.1	100	1,000
7111	100	1,000
7111.1	100	1,500
7113	200	5,000
7114	500	15,000
7114.1	200	2,000
7115	100	5,000
7116	100	5,000
7117	100	1,000
7117.5	200	5,000
7117.6	200	5,000
7118	500	15,000
7118.4	3,000	5,000
7118.5	1,000	5,000
7118.6	1,000	5,000
7119	200	2,000
7120	200	2,000
7123	500	5,000
7125	100	500
7125.4	200	5,000
7154	100	1,000
7157	100	1,000
7158	500	5,000
7159	100	1,000
7159.5(a)(1), (a)(3), and 
 (a)(5),	100	5,000
7159.5(a)(2), (a)(4), (a)(6), 
 (a)(7), and (a)(8)	100	1,000
7159.10	100	500
7159.14	100	5,000
7161	100	5,000
7162	100	1,500
7164	100	1,000
(b) When determining the amount of assessed civil penalty, the Registrar shall take into consideration whether one or more of the following or similar circumstances apply:
(1) the citation includes multiple violations;
(2) the cited person has a history of violations of the same or similar sections of the Contractors License Law;
(3) in the judgment of the Registrar, a person has exhibited bad faith;
(4) in the judgment of the Registrar, the violation is serious or harmful;
(5) the citation involves a violation or violations perpetuated against a senior citizen or disabled person; and/or
(6) the citation involves a violation or violations involving a construction project in connection with repairs for damages caused by a natural disaster as described in Section 7158 of the code.
(c) Where a citation lists more than one violation and each of the violations relates to the same construction project, the total penalty assessment in each citation shall not exceed $5,000, except as provided for violations of Sections 7028.7, 7114, or 7118.
(d) Where a citation lists more than one violation, the amount of assessed civil penalty shall be stated separately for each section violated.
NOTE

Authority cited: Sections 7008, 7099.2 and 7115, Business and Professions Code. Reference: Sections 7099, 7099.1 and 7115, Business and Professions Code.
HISTORY

1. Amendment filed 5-23-94; operative 6-22-94 (Register 94, No. 21).
2. Amendment of section and Note filed 1-31-2007; operative 3-2-2007 (Register 2007, No. 5).
§885. Appeal of Citation.
Note

Any person served with a citation pursuant to Section 7099 of the Business and Professions Code may contest the citation by appealing to the Registrar within 15 working days from the receipt of such citation. The 15 day period may be extended upon showing of good cause which determination is within the discretion of the Registrar.
The cited person may contest any or all of the following aspects of the citation:
1. The occurrence of a violation of the Contractors License Law; 2. The reasonableness of the order of correction, if an order of correction is included in the citation;
3. The period of time allowed for correction, if an order of correction is included in the citation;
4. The amount of the civil penalty, if a civil penalty is assessed in the citation.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7099.3, 7099.4 and 7099.5, Business and Professions Code.
§886. Service of Citation.
Note

Service of a citation shall be made in accordance with the provisions of Section 11505(c) of the Government Code, and, further, that a copy of the citation be sent by regular mail.
NOTE

Authority cited: Section 7008, Business and Professions Code. Reference: Sections 7099.3, 7099.4 and 7099.5, Business and Professions Code.
§887. Criteria to Evaluate the Gravity of a Violation of Business and Professions Code Section 7028.7.
Note

Before assessing a civil penalty under Section 7028.7 of the Business and Professions Code, the Registrar shall give due consideration to the gravity of the violation, including, but not limited to, a consideration of whether the cited person did one or more of the following:
1. Falsely represented that he/she was licensed.
2. Failed to perform work for which money was received.
3. Executed or used any false or misleading documents in order to induce a person to enter into a contract or to pay money.
4. Made false or misleading statements in order to induce a person to enter into a contract or pay money.
5. Failed to apply funds which were received for the purpose of obtaining or paying for services, labor, materials, or equipment.
6. Performed work that was potentially hazardous to the health, safety, or general welfare of the public.
7. Performed work in violation of the building laws, safety laws, labor laws, compensation insurance laws, or unemployment insurance laws.
8. Performed work that did not meet acceptable trade standards for good and workmanlike construction.
9. Was convicted of a crime in connection with the violation.
10. Committed any act which would be cause for disciplinary action against a licensee.
11. Committed numerous or repeated violations.
NOTE

Authority cited: Sections 7008 and 7028.7, Business and Professions Code. Reference: Section 7028.7, Business and Professions Code.
Article 9. Arbitration
§890. Minimum Qualification Standards for Arbitrators.
Note     •     History

For the purposes of Section 7085.5 of the Code, regardless of the method of appointment or selection, arbitrators shall possess the following minimum qualifications:
(a)(1) Five (5) years of experience in the construction industry as a licensed contractor or a professional in a construction related field, such as an architect or engineer, or
(2) Five (5) years of experience as an attorney, judge, administrative law judge, arbitrator, or a combination thereof, handling a minimum of 8 construction related matters.
(b) Completion of an arbitrator's course on construction arbitration within the last 5 years including, but not limited to, training on the process, the ethics and the laws relating to arbitration. The training on the process of arbitration may include such topics as the role of the arbitrator, the use of effective questioning techniques, and the role of an expert in an arbitration proceeding.
(c) Completion of 8 hours of continuing education on construction arbitration every 5 years, including, but not limited to, the topics set forth in subsection (b).
(d) Completion of a training program related specifically to the Board's arbitration procedures, laws and policies.
NOTE

Authority cited: Sections 7008 and 7085.5(b)(3), Business and Professions Code. Reference: Section 7085 et seq., Business and Professions Code.
HISTORY

1. New article 9 (section 890) and section filed 10-31-2001; operative 11-30-2001 (Register 2001, No. 44).
2. Editorial correction of first paragraph (Register 2002, No. 25).
Division 9. Board of Barbering and Cosmetology
Article 1. Administration
§900. Location of Office.
Note     •     History

NOTE

Authority cited for §§ 900 to 961, inclusive, and 986: Section 7310 of the Business and Professions Code. Authority cited for §§ 965 to 984, inclusive: Section 7311 of the Business and Professions Code. Reference: Section 7321.1, Business and Professions Code.
HISTORY

1. Amendment filed 7-13-67; effective thirtieth day thereafter (Register 67, No. 28). For prior history see Register 62, No. 25.
2. Amendment filed 3-29-72; effective thirtieth day thereafter (Register 72, No. 14).
3. Repealer and new division 9 and article 1 filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
4. Editorial correction amending division 9 heading (Register 2001, No. 20).
5. Editorial correction amending division 9 heading (Register 2004, No. 35).
6. Editorial correction amending History 5 (Register 2004, No. 36).
§901. Processing Times for Examination Applications and Licenses.
Note     •     History

(a) Evaluation and Scheduling. The board shall inform every person applying for licensure as a barber, cosmetologist, esthetician, manicurist, electrologist, or instructor, in writing, within sixty (60) days of receipt of the application (Form # F-34555-BOC, Application for Examination, Rev. 7/92), whether the application is complete and has been referred for examination or is deficient and what specific information is required.
(1) When the supplemental information regarding a deficient application is returned to the board, the board shall decide, within five (5) days of receipt, whether the application is complete.
(2) If the application remains deficient, the board shall inform the applicant, in writing, within five (5) days of receipt, of what specific information is required.
(b) Examination. The Board shall decide on the same day the applicant is examined whether the applicant meets the requirements for licensure.
(c) License Issuance. The Board shall issue the license to the applicant on the same day the applicant passes the examination.
(d) Processing Times. The minimum, median and maximum times for processing an application requiring examination for licensure as a barber, cosmetologist, esthetician, manicurist, electrologist or instructor, from the time of receipt of the application until the Board of Barbering and Cosmetology decided to issue licenses based upon actual performance of the board during the two years preceding the proposal of this section, were as follows:
(1) Minimum: 4 days
(2) Median: 49 days
(3) Maximum: 397 days
NOTE

Authority cited: Section 15376, Government Code; and Section 7312, Business and Professions Code. Reference: Section 15376, Government Code; and Sections 7321, 7321.5, 7324, 7326, 7330, 7337, 7342 and 7391, Business and Professions Code.
HISTORY

1. New section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 84, No. 28.
2. Amendment of subsections (b) and (c) filed 5-10-2001 as an emergency; operative 5-10-2001 (Register 2001, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-7-2001 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of subsections (b) and (c) as they existed prior to 5-10-2001 amendment by operation of Government Code section 11346.1(f) (Register 2004, No. 32).
4. Change without regulatory effect amending subsection (d) filed 8-23-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 35).
§902. Processing Times for Apprentice Applications.
Note     •     History

(a) Evaluation. The Board shall inform every person applying for licensure as an apprentice, in writing, within ten (10) days of receipt of the application (Form #35A-03, Application for Licensure as a Licensed Apprentice and for Approval of Trainers and Establishments, Rev. 5/94), whether the application is complete or deficient and what specific information is required.
(1) When the information for a deficient application is returned to the board, the board shall decide within five (5) days of receipt whether the application is complete.
(A) If the application remains deficient, the board shall inform the applicant in writing, within five (5) days of receipt, of what specific information is required.
(b) Notification of Licensure. The Board shall notify the applicant, in writing, within thirty-five (35) days after the fee and completed application have been received, whether the applicant meets the requirements for licensure.
(c) Processing Times. The minimum, median and maximum times for processing an application for licensure as an apprentice, from the time of receipt of the application until the Board of Barbering and Cosmetology decided to issue the license based upon actual performance of this section, were as follows:
(1) Minimum: 1 day
(2) Median: 15 days
(3) Maximum: 48 days
NOTE

Authority cited: Section 15376, Government Code; and Section 7312, Business and Professions Code. Reference: Section 15376, Government Code; and Section 7334, Business and Professions Code.
HISTORY

1. New section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 84, No. 28.
2. Change without regulatory effect amending subsection (c) filed 8-23-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 35).
§903. Processing Times for Establishment Applications.
Note     •     History

(a) Evaluation. The Board shall inform every person applying for an establishment license in writing, within thirty (30) days of receipt of the application (Form #03M-201, Application for Establishment License, Rev. 7/92), whether the application is complete or deficient and what specific information is required.
(1) When the information for a deficient application is returned to the board, the board shall decide, within five (5) days of receipt, whether the application is complete.
(A) If the application remains deficient, the board shall inform the applicant in writing, within five (5) days of receipt, of what specific information is required.
(b) Processing Times. The minimum, median and maximum times for processing an application for an establishment, from the time of receipt of the application until the board decided to issue the license based upon the actual performances of the board during the two years preceding the proposal of this section, were as follows:
(1) Minimum: 11 day
(2) Median: 52 days
(3) Maximum: 265 days
NOTE

Authority cited: Section 15376, Government Code; and Section 7312, Business and Professions Code. Reference: Section 15376, Government Code; and Section 7347, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
2. Change without regulatory effect amending subsection (b) filed 8-23-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 35).
§904. Enforcement.
Note     •     History

(a) A copy of the board's Health and Safety Rules, as specified in Article 12 of the Rules and Regulations, shall be conspicuously posted in:
(1) Reception areas of both schools and establishments, and
(2) Theory rooms of schools.
(b) The holder or holders of an establishment license or a mobile unit license, and the person in charge of any such establishment or mobile unit, shall be responsible for implementing and maintaining the Heath and Safety Rules in such establishment or mobile unit individually and jointly with all persons in or employed by or working in or on the premises of such establishment or mobile unit.
(c) All licensed barbers, cosmetologists, estheticians, manicurists, electrologists, instructors, or apprentices shall be held individually responsible for implementation and maintenance of the Health and Safety Rules.
(d) All persons performing acts of a barber, cosmetologist, esthetician, manicurist or electrologist, except students in schools, shall, upon request of an authorized representative of the board, present satisfactory proof of identification. Satisfactory proof shall be in the form of a photographic driver's license or photographic identification card issued by any state, federal, or other recognized government entity.
(e) Failure to present valid proof of identification shall be grounds for disciplinary action.
NOTE

Authority cited: Section 7312, Government Code. Reference: Sections 7312, 7313, 7317 and 7404, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 61, No. 2.
§905. Posting of Consumer Information Message.
Note     •     History

(a) The following consumer information message shall be included at the bottom of the front page of a copy of the Health and Safety Rules, which must be conspicuously posted in accordance with Section 904, in all establishments:

MESSAGE TO THE CONSUMER
This establishment is licensed by the California State Board of Barbering and Cosmetology. The Board can address the following problems:
- Health and Safety (including unsanitary conditions and failure to disinfect instruments after each use)
- Incompetence and Negligence
- Misrepresentation or False Advertising of Services
- Unlicensed Practice of Barbering, Cosmetology or Electrology

If you would like to receive a Consumer Complaint Guide or if you have any unresolved questions regarding services provided in this establishment, please call or write the Board of Barbering and Cosmetology at (800) 952-5210; P.O. Box 944226, Sacramento, California 94244-2260.
(b) The heading of the consumer information message, “Message to the Consumer,” shall be printed in at least 36 point boldface type. The body of the consumer information message must be printed in at least 14 point boldface type.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Sections 129(e) and 7404(b), Business and Professions Code.
HISTORY

1. New section filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
2. Change without regulatory effect amending subsection (a) filed 8-23-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 35).
3. Change without regulatory effect amending last paragraph of subsection (a) filed 5-20-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 21).
Article 2. Qualifications for Examination
§909. Proof of Training.
Note     •     History

(a) Every application for examination in which the applicant is using training received in a school in this state approved by the board in order to qualify for examination must be accompanied by proof of that training.
(b) Proof of training shall be a document, prepared by the school where the applicant completed the qualifying training, that includes all of the following:
(1) The course title.
(2) The student's name, address, and date of birth.
(3) The school's name, address, and school code issued by the board.
(4) The date training started and the date training was completed at the school completing the training.
(5) The total number of hours of training the student received.
(6) If the applicant has done any one of the following, the document shall also include the information as specified for each:
(A) If the applicant has received any of the training at another school, the document must specify, for each school attended, the school's name and school code, the number of hours of training received, the date training started, and the last date of attendance.
(B) If the applicant has received credit from a course transfer, the document must specify the course and the number of hours of training received, the date training started and the last date of attendance before transferring, and the number of hours of credit received.
(C) If the applicant has received credit for holding a manicurist or cosmetician license issued by the board, the document must specify the type of license, the license number, its date of expiration, and the number of hours of credit received.
(D) If the applicant has received credit for out-of-state training and/or experience, a copy of the letter from the board granting that credit shall be attached to the document.
(7) A statement confirming that the student has met the course curriculum requirements as specified by regulation.
(8) A statement, dated and signed under penalty of perjury by the school and the student, that all the information on the document is true and correct. The statement shall be worded as follows:
“We, the undersigned, certify under penalty of perjury under the laws of the state of California, that all the information contained herein is true and correct.”
(9) The document must include the name and title of the individual signing for the school clearly printed or typed.
(c) The information contained in any proof of training document prepared by an approved school in this state must be clearly identified by the number and presented in the order specified in subdivision (b).
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Sections 7321, 7321.5, 7324, 7326, 7330, 7331, 7337 and 7391, Business and Professions Code.
HISTORY

1. New article 2 and section filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§910. Out-of-State Applicants.
Note     •     History

(a) An applicant who desires to establish eligibility for examination for a license in this state upon the basis of practice, study or training outside this state, or supplementary training in a licensed school in this state, or any combination thereof, shall furnish proof of his or her qualifications to the board as follows:
(1) An applicant who desires credit for practices in another state or country shall file with the board, on the form prescribed by it (Form #03E-145, Affidavit of Experience-Form C, Rev1/91), an affidavit from a disinterested person verifying such practice, together with an authenticated statement from the licensing agency in the state or country where such practice took place showing that the applicant was licensed to engage in such practice, if a license was required therefor.
(2) An applicant who has completed any number of hours of study and training in a school in another state or country, and who desires credit for such hours toward study and training in this state, shall file with the board, on the form prescribed by it (Form #03B-144, Out-of-State Beauty School Training Record-Form B, Rev. 8/94), an authenticated statement from the school or the training took place showing the number of hours of study and training completed in each subject and when such study and training occurred.
(3) An applicant who desires credit for supplementary training completed in a licensed school in this State shall file with the board an authenticated statement from such school showing the number of hours of such training successfully completed in each subject.
(b) An applicant for examination who is employed on a military reservation to practice any profession licensed under Chapter 10 of Division 3 of the Business and Professions Code must present an authenticated statement from the military reservation verifying the employment and may use the practice obtained to qualify for examination.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Sections 7321, 7321.5, 7324, 7326, 7330, 7331, 7337 and 7391, Business and Professions Code.
HISTORY

1. Repealer of article 2 and section and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 92, No. 22.
Article 2.5. Applicant Verification Pursuant to the PRWORA
§911. Nondiscrimination Clause.
Note     •     History

NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Sections 7321, 7321.5, 7324, 7326, 7330, 7334, 7337, 7347, 7355 and 7391, Business and Professions Code.
HISTORY

1. New article 2.5 (sections 911-911.4) and section filed 12-23-98 as an emergency; operative 12-23-98 (Register 98, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-22-99 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 94, No. 43.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 5).  
§911.1. Applicant Compliance with PRWORA.
Note     •     History

NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Sections 7321, 7321.5, 7324, 7326, 7330, 7334, 7337, 7347, 7355 and 7391, Business and Professions Code.
HISTORY

1. New section filed 12-23-98 as an emergency; operative 12-23-98 (Register 98, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-22-99 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 94, No. 43.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 5).  
§911.2. Requirements for Licensure for Certain Aliens.
Note     •     History

NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Sections 7321, 7321.5, 7324, 7326, 7330, 7334, 7337, 7347, 7355 and 7391, Business and Professions Code.
HISTORY

1. New section filed 12-23-98 as an emergency; operative 12-23-98 (Register 98, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-22-99 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 94, No. 43.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 5).  
§911.3. PRWORA Verification.
Note     •     History

NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Sections 7321, 7321.5, 7324, 7326, 7330, 7334, 7337, 7347, 7355 and 7391, Business and Professions Code.
HISTORY

1. New section filed 12-23-98 as an emergency; operative 12-23-98 (Register 98, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-22-99 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 5).  
§911.4. No Refund of Application Fee.
Note     •     History

NOTE

Authority cites: Sections 200 and 7312, Business and Professions Code. Reference: Section 158, Business and Professions Code; and Section 13142, Government Code.
HISTORY

1. New section filed 12-23-98 as an emergency; operative 12-23-98 (Register 98, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-22-99 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 94, No. 43.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 5).  
§912. Equipment for Schools of Cosmetology.
Note     •     History

NOTE

Authority cited: Sections 7310 and 7393, Business and Professions Code. Reference: Sections 7393 and 7395, Business and Professions Code.
HISTORY

1. Amendment filed 2-25-66; effective thirtieth day thereafter (Register 66, No. 6). For prior history, see Register 62, No. 25.
2. Amendment of subsection (a) filed 6-4-69; effective thirtieth day thereafter (Register 69, No. 23).
3. Amendment of subsection (c) and new subsection (d), filed 3-29--72; effective thirtieth day thereafter (Register 72, No. 14).
4. Amendment of subsection (b) filed 12-3-76; effective thirtieth day thereafter (Register 76, No. 49).
5. Amendment of subsection (a) filed 2-15-80; effective thirtieth day thereafter (Register 80, No. 7). 
6. Amendment filed 10-9-86; effective thirtieth day thereafter (Register 86, No. 43).
7. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§912.1. Equipment for Schools Conducting a Course in Electrology.
Note     •     History

NOTE

Authority cited: Sections 7310 and 7391.5, Business and Professions Code. Reference: Sections 7391.5, 7393, and 7395, Business and Professions Code.
HISTORY

1. New section filed 9-26-56; effective thirtieth day thereafter (Register 56, No. 18).
2. Amendment filed 12-3-76; effective thirtieth day thereafter (Register 76, No. 49).
3. Amendment filed 4-10-80; effective thirtieth day thereafter (Register 80, No. 15).
4. Amendment filed 11-24-86; effective thirtieth day thereafter (Register 86, No. 48).
5. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§912.2. Student's Books and Instruments.
Note     •     History

NOTE

Authority cited: Sections 7310 and 7311, Business and Professions Code.
HISTORY

1. New section filed 12-14-61; effective thirtieth day thereafter (Register 62, No. 25).
2. Amendment filed 2-16-71; effective thirtieth day thereafter (Register 71, No. 8).
3. Repealer filed 7-10-84; effective thirtieth day thereafter (Register 84, No. 28).
Article 3. Apprenticeship
§913. Approval of Apprentice Training Programs.
Note     •     History

(a) A joint apprenticeship committee, unilateral management or labor apprenticeship committee, or an individual employer wishing to conduct apprenticeships in barbering, cosmetology, electrology, skin care, or nail care shall be known as apprenticeship program sponsors.
(b) An applicant seeking board approval as an apprenticeship program sponsor to conduct apprenticeships in barbering, cosmetology, skin care, nail care, or electrology shall:
(1) Submit a written request for board approval of its apprenticeship program and identify the subject matter of the apprenticeship.  The request for apprenticeship approval shall be signed by the individual employer or, where the program sponsor is not an individual, by a responsible officer of the organization.
(2) Submit proof that the program sponsor is approved by the California Apprenticeship Council to offer the apprenticeship.
(3) Submit a detailed outline of the proposed training program which demonstrates compliance with the apprenticeship regulations contained in this article.
(4) Submit a copy of the agreement between the program sponsor and the apprentice (hereafter know as the “apprenticeship agreement”).  The apprenticeship agreement shall comply with the provisions of the Shelley-Maloney Apprenticeship Labor Standards Act of 1939 (Labor Code section 3070 et seq.) and the regulations adopted pursuant thereto.
(c) An apprenticeship program sponsor shall notify the board within 10 days of any changes to the information filed with the board in accordance with subsection (b) of this section for board approval.
(d) The board shall inform every person applying for approval to act as an apprenticeship program sponsor in writing, within ten (10) days of receipt of their request for approval whether the application is complete or deficient and what specific information is required.
(1) When the information for a deficient application is returned to the board, the board shall decide within five (5) days of receipt whether the application is complete.
(2) If the application remains deficient, the board shall inform the applicant in writing, within five (5) days of receipt, of what specific information is required.
(e) The board shall notify the applicant, in writing, within thirty-five (35) days after the completed application has been received, whether the applicant meets the requirements for approval.
(f) The minimum, median and maximum times for processing a request for approval of an apprentice training program, from the time of receipt of the application until the Board of Barbering and Cosmetology decided to issue the approval based upon actual performance of the board during the two years preceding the proposal of this section, were as follows:
(1) Minimum: 1 day
(2) Median: 15 days
(3) Maximum: 48 days
NOTE

Authority cited: Section 7312, Business and Professions Code; and Section 15376, Government Code.  Reference: Section 7333, Business and Professions Code;  Sections 3070 and 3078, Labor Code; and Section 15376, Government Code.
HISTORY

1. New article 3 and section filed 5-20-94; operative 6-20-94 (Register 94, No. 20). For prior history, see Register 17, No. 1.
2. Change without regulatory effect amending subsection (f) filed 8-23-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 35).
§913.1. Withdrawal of Approval: Apprenticeship Program Sponsor.
Note     •     History

(a) The board may withdraw or otherwise limit its approval of an apprenticeship program sponsor who is not conducting its apprenticeship program in compliance with the provisions of the laws and regulations of the Barbering and Cosmetology Act (Business and Professions Code sections 7301 et seq.)
(b)(1) A proceeding to withdraw or limit the board's approval of an apprenticeship program sponsor shall be initiated by serving the apprenticeship program sponsor with a notice to show cause. The notice to show cause shall be in writing, shall describe with particularity the nature of the violations, including specific reference to the provisions of law or regulations determined to be violated, and shall contain a proposed order to withdraw or limit the board's approval of the apprenticeship program sponsor.
(2) Where appropriate, a notice to show cause may contain an order of abatement fixing a reasonable time for the abatement of the violations. Where a program sponsor complies with the order of abatement within the time specified, the board shall withdraw its notice to show cause.
(3) In fixing the disciplinary order or order of abatement for a notice to show cause, the board shall give due consideration to the appropriateness of the order with respect to such factors as the gravity of the violations, its impact upon the apprentices participating in the apprenticeship program sponsor's apprenticeship program, its impact on the public, the good faith of the apprenticeship program sponsor, and the history of previous violations.
(c) A notice to show cause shall inform the apprenticeship program sponsor that if it desires a hearing to contest any portion of the notice to show cause, a hearing shall be requested by written notice to the board's executive officer within 30 days of the date of service of the notice to show cause. If a hearing is not requested pursuant to this subsection, the order contained in the notice to show cause shall go into effect on the date specified in the notice to show cause.
(d) A hearing to contest a notice to show cause shall be conducted within 60 days of the board's receipt of the program sponsor's written request for a hearing. Such a hearing shall be before a committee selected by the board. At the conclusion of the hearing, the committee shall prepare or have prepared a written decision of its findings, determinations and order. Such a decision shall be mailed to the program sponsor within 45 days after the conclusion of the hearing.
NOTE

Authority cited: Section 7312, Business and Professions Code.  Reference: Section 7333, Business and Professions Code.
HISTORY

1. New section filed 7-8-97; operative 8-7-97 (Register 97, No. 28). For prior history, see Register 68, No. 33.
§913.2. Supervising Instructor.
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Section 7392.2, Business and Professions Code.
HISTORY

1. Amendment of section and NOTE filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 15). For prior history, see Register 71, No. 8.
2. Amendment filed 2-11-86; effective thirtieth day thereafter (Register 86, No. 7).
3. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§913.3. Instructor Requirements.
Note     •     History

NOTE

Authority cited: Sections 7310 and 7311, Business and Professions Code.
HISTORY

1. New section filed 8-26-68; effective thirtieth day thereafter (Register 68, No. 33).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§914. Filing of Apprenticeship Application; Processing Time.
Note     •     History

(a) A prospective apprentice must file with the board an application for apprenticeship.  Application shall be made on Form 35A-03, Application for Licensure as a Licensed Apprentice and for Approval of Trainers and Establishments, Revised 5/94.
(b) The board shall inform every person applying for licensure as an apprentice, in writing, within ten (10) days of receipt of the application (Form #35A-03, Application for Licensure as a Licensed Apprentice and for Approval of Trainers and Establishments, Revised 5/94), whether the application is complete or deficient and what specific information is required.
(1) When the information for a deficient application is returned to the board, the board shall decide within five (5) days of receipt whether the application is complete.
(2) If the application remains deficient, the board shall inform the applicant in writing, within five (5) days of receipt, of what specific information is required.
(c) The board shall notify the applicant, in writing, within thirty-five (35) days after the completed application has been received, whether the applicant meets the requirements for approval.
(d) The minimum, median and maximum times for processing an application for licensure as an apprentice, from the time of receipt of the application until the Board of Barbering and Cosmetology decided to issue the license based upon actual performance of the board during the two years preceding the proposal of this section, were as follows:
(1) Minimum: 1 day
(2) Median: 15 days
(3) Maximum: 48 days
NOTE

Authority cited: Section 7312, Business and Professions Code; and Section 15376, Government Code.  Reference: Section 7334, Business and Professions Code; and Section 15376, Government Code. 
HISTORY

1. New section filed 5-20-94; operative 6-20-94 (Register 94, No. 20). For  prior history, see Register 68, No. 14. 
2. Change without regulatory effect amending subsection (d) filed 8-23-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 35).
§915. Related Training.
Note     •     History

(a) Every apprenticeship approved by the board shall consist of an on-the-job training component and a classroom component of related training.
(b) Related training for barber apprentices must provide a minimum of 216 hours of instruction over a two year period.  A minimum of 144 of those hours shall cover the theory of barbering and a maximum of 72 hours may be elective training.  The 72 hours of elective training may be conducted by classroom instruction or by a seminar or by demonstrations relating to barbering.  The elective training shall be verified by course completion certificates or registration records.
(c) Related training for cosmetology, skin care, nail care or electrology apprenticeships must provide a minimum of 220 hours of classroom instruction over a two year period.  These hours shall cover the following subjects:
(1) The related training for a cosmetology apprenticeship shall cover the following subjects as they relate to cosmetology: cosmetology chemistry, health and safety and hazardous substances, theory of electricity, disinfection and sanitation, bacteriology, anatomy and physiology, wet hair styling, thermal hair styling, permanent waving, chemical straightening, haircutting, hair coloring and bleaching, scalp and hair treatment, facials, eyebrow arching and hair removal, makeup, manicuring and pedicuring.
(2) The related training for skin care shall cover the following subjects as they relate to skin care: cosmetology chemistry, health and safety and hazardous substances, theory of electricity, disinfection and sanitation, bacteriology, anatomy, physiology, skin analysis and conditions, facials, eyebrow arching and hair removal, and make-up.
(3) The related training for nail care shall cover the following subjects as they relate to nail care: cosmetology chemistry, health and safety and hazardous substances, disinfection and sanitation, bacteriology, anatomy and physiology, water and oil manicures, including hand and arm massage, complete pedicure, and application of artificial nails.
(4) The related training for electrolysis shall cover the following subjects as they relate to electrolysis: health and safety and hazardous substances, disinfection and sanitation and sterilization, bacteriology, anatomy and physiology, electricity, electrolysis, thermolysis, and high frequency and galvanic currents.
NOTE

Authority cited: Section 7312, Business and Professions Code.  Reference: Sections 7333 and 7334, Business and Professions Code.
HISTORY

1. New section filed 5-20-94; operative 6-20-94 (Register 94, No. 20). For  prior history, see Register 68, No. 14. 
§916. Training Hours and Schedule.
Note     •     History

(a) The two years referred to in Section 7335 of the Business and Professions Code means a minimum of thirty-two hundred (3,200) hours of apprenticeship.  Full-time apprenticeship means employment and training in an approved program for at least 32 hours per week.  No more than eight and one-half hours credit will be allowed for any one work day nor will credit be allowed for more than five days in one week. The maximum training hours shall not exceed 42-1/2 hours per week.
(b) The two year apprenticeship program begins with the issuance of an apprenticeship license by the board.
NOTE

Authority cited: Section 7312, Business and Professions Code.  Reference: Sections 7333, 7334 and 7345, Business and Professions Code.
HISTORY

1. New section filed 5-20-94; operative 6-20-94 (Register 94, No. 20). For  prior history, see Register 93, No. 41. 
2. Amendment of subsection (a) filed 4-23-98; operative 5-23-98 (Register 98, No. 17).
§916.1. Credit Allowed on Special License and on Transfer of California Training.
Note     •     History

NOTE

Authority cited: Sections 7310 and 7394.5, Business and Professions Code. Reference: Sections 7394.5 and 7396.8, Business and Professions Code.
HISTORY

1. Amendment of section and NOTE filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Amendment filed 8-1-80; effective thirtieth day thereafter (Register 80, No. 31).
3. Renumbering and amendment of Section 916.1 to Section 916.19 filed 11-24-86; effective thirtieth day thereafter (Register 86, No. 48).
§916.2. Curriculum for Manicurist and Pedicurist Course.
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Section 7351, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 916.2 to section 950.4 filed 10-4-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 41). For prior history, see Register 79, No. 35.
§916.3. Minimum Operations. Manicurist.
History

HISTORY

. 1.New section filed 7-1-49 (Register 17, No. 1).
2. Repealer filed 9-26-56; effective thirtieth day thereafter (Register 56, No. 18).
§916.4. Curriculum for Electrologist Course.
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Section 7394.1, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 916.4 to section 950.5 filed 10-4-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 41). For prior history, see Register 79, No. 35.
§916.5. Minimum Operations. Electrologist.
History

HISTORY

1. New section filed 7-1-49 (Register 17, No. 1).
2. Repealer filed 9-26-56; effective thirtieth day thereafter (Register 56, No. 18).
§916.6. Curriculum. Required Cosmetologist Further Course of Study. Section 7376 of the Cosmetology Act, Second Examination Failure.
History

HISTORY

1. New section filed 7-1-49 (Register 17, No. 1).
2. Amendment filed 12-14-59; effective thirtieth day thereafter (Register 59, No. 21).
3. Amendment filed 10-8-70; effective thirtieth day thereafter (Register 70, No. 41).
4. Repealer filed 4-2-5 as an emergency; effective upon filing (Register 75, No. 14).
5. Certificate of Compliance filed 5-22-75 (Register 75, No. 21).
§916.7. Minimum Operations. Required Further Course of Study--Hairdresser and Cosmetician or Cosmetologist, Second Examination Failure.
History

HISTORY

1. New section filed 7-1-49 (Register 17, No. 1).
2. Repealer filed 9-26-56; effective thirtieth day thereafter (Register 56, No. 18).
§916.8. Curriculum. Required Further Course of Study--Special Manicurist, Section 7376 of the Cosmetology Act, Second Examination Failure.
History

HISTORY

1. New section filed 7-1-49 (Register 17, No. 1).
2. Repealer filed 4-2-75 as an emergency; effective upon filing (Register 75, No. 14).
3. Certificate of Compliance filed 5-22-75 (Register 75, No. 21).
§916.9. Minimum Operations. Required Further Course of Study--Special Manicurist, Second Examination Failure.
History

HISTORY

1. New section filed 7-1-49 (Register 17, No. 1).
2. Repealer filed 9-26-56; effective thirtieth day thereafter (Register 56, No. 18).
§916.10. Curriculum. Required Further Course of Study--Electrologist, Section 7376 of the Cosmetology Act, Second Examination Failure.
History

HISTORY

1. New section filed 7-1-49 (Register 17, No. 1).
2. Amendment filed 9-26-51 as an emergency designated to be effective 9-22-51 (Register 25, No. 6).
3. Repealer filed 10-15-74; effective thirtieth day thereafter (Register 74, No. 42).
§916.11. Minimum Operations. Required Further Course of Study--Electrologist, Second Examination Failure.
History

HISTORY

1. New section filed 7-1-49 (Register 17, No. 1).
2. Repealer filed 9-26-56; effective thirtieth day thereafter (Register 56, No. 18).
§916.12. Classes.
History

HISTORY

1. New section filed 7-1-49 (Register 17, No. 1).
2. Amendment filed 10-8-70; effective thirtieth day thereafter (Register 70, No. 41).
3. Repealer filed 7-10-84; effective thirtieth day thereafter (Register 84, No. 28).
§916.13. Lectures by Staff Physician and Surgeon.
History

HISTORY

1. New section filed 7-1-49 (Register 17, No. 1).
2. Repealer filed 9-20-49 as an emergency designated to be effective 10-1-49 (Register 18, No. 1).
§916.14. Curriculum for Instructor Training.
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Sections 7332.5 and 7394, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 916.14 to section 950.7 filed 10-4-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 41). For prior history, see Register 90, No. 28.
§916.15. Program of Instruction.
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Sections 7392 and 7394, Business and Professions Code.
HISTORY

1. New section filed 7-1-49 (Register 17, No. 1).
2. Renumbering of Section 916.15 to Section 916.20 filed 2-11-86; effective thirtieth day thereafter (Register 86, No. 7).
§916.16. Attendance.
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Sections 7394 and 7397, Business and Professions Code.
HISTORY

1. Amendment filed 2-16-71; effective thirtieth day thereafter (Register 71, No. 8). For prior history, see Register 68, No. 33.
2. Renumbering and amendment of Section 916.16 to Section 916.21 filed 2-11-86; effective thirtieth day thereafter (Register 86, No. 7).
§916.17. Curriculum for Cosmetician Course.
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Sections 7354 and 7394, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 916.17 to section 950.3 filed 10-4-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 41). For prior history, see Register 86, No. 43.
§916.18. Curriculum for Special Cosmetologist Course for Barbers.
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Section 7332, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 916.18 to section 950.9 filed 10-4-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 41). For prior history, see Register 79, No. 50.
§916.19. Credit Allowed on Special License and on Transfer of California Training.
Note     •     History

NOTE

Authority cited: Sections 7310 and 7394.5, Business and Professions Code. Reference: Sections 7394.5 and 7396.8, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 916.19 to section 950.10 filed 10-4-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 41). For prior history, see Register 86, No. 48.
§916.20. Program of Instruction.
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Sections 7392 and 7394, Business and Professions Code.
HISTORY

1. Renumbering of former section 916.15 to section 916.20 filed 2-11-86; effective thirtieth day thereafter (Register 86, No. 7).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§916.21. Attendance.
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Sections 7394 and 7397, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 916.16 to section 916.21 filed 2-11-86; effective thirtieth day thereafter (Register 86, No. 7).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§917. Pre-apprentice Training.
Note     •     History

The minimum hours of pre-apprentice training referred to in Section 7334 of the Business and Professions Code shall be thirty-nine (39) hours of instruction in  the laws and regulations of the board, basic patron protection and sanitation and disinfection procedures.  An applicant for licensure as an apprentice shall complete the pre-apprenticeship training prior to being licensed as an apprentice.
NOTE

Authority cited: Section 7312, Business and Professions Code.  Reference: Section 7334, Business and Professions Code.
HISTORY

1. New section filed  5-20-94; operative 6-20-94 (Register 94, No. 20).
2. Amendment filed 7-8-97; operative 8-7-97 (Register 97, No. 28). For prior history, see Register 94, No. 43.
§918. Educational Qualifications.
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Sections 7332, 7332.5, 7333, 7343, 7351 and 7355, Business and Professions Code.
HISTORY

1. Amendment of section and NOTE filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 15). For prior history, see Register 70, No. 41.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§918. Trainers' Scope of Practice.
Note     •     History

No licensee shall train an apprentice unless his or her license includes the scope of practice of the apprentice's license.
NOTE

Authority cited: Section 7312, Business and Professions Code.  Reference: Sections 7332 and 7336, Business and Professions Code.
HISTORY

1. New section filed  5-20-94; operative 6-20-94 (Register 94, No. 20).
§918.1. Cosmetologist License to Be Filed by Instructor Trainee.
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Section 7396.8, Business and Professions Code.
HISTORY

1. Amendment of section and NOTE filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 15). For prior history, see Register 67, No. 28.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§918.2. Requirements for Admission to Instructors Examination.
History

HISTORY

1. New section filed 7-2-52; effective thirtieth day thereafter (Register 29, No. 2).
2. Repealer filed 12-14-59; effective thirtieth day thereafter (Register 59, No. 21).
§919. Board Approved Trainers and Establishments.
Note     •     History

(a) A licensee who wishes to train an apprentice shall obtain board approval before employing or training an apprentice. An establishment wishing to train an apprentice in multiple location establishments which are under common ownership may request to participate in multiple location training. Common ownership includes corporate chains, individually owned multiple establishments, and franchise groups or partnerships. Application for approval of trainers and establishments shall be made on a form provided by the board (Form #35A-03, Application for Licensure as a Licensed Apprentice and for Approval of Trainers and Establishments, Rev. 5/94).
(1) Establishments participating in training an apprentice in multiple locations under common ownership shall provide as part of the application process, a list of the establishment names, locations, board issued license numbers, names of officers and or owners.
(b) Qualifications for apprentice trainer approval:
(1) Licensee shall possess a current, valid license issued by the board.
(2) Licensee shall have no disciplinary actions pending against him/her nor be on probation resulting from a board disciplinary action nor have completed probation resulting from past disciplinary action within the two year period immediately preceding his or her application to serve as an apprentice trainer.
(3) Licensee is not subject to denial pursuant to Section 480.
(4) The licensee has no unpaid fine issued pursuant to Article 12 of Chapter 10 of Division 3 of the Business and Professions Code.
(c) No apprentice shall work or train in an establishment until it has been approved by the board.  Application for establishment approval shall be made on the same form specified in subdivision (a).
(d) Qualifications for establishment approval are:
(1) Establishment shall possess a current, valid license issued by the board.
(2) Establishment shall have no disciplinary actions pending against it nor be on probation resulting from a board disciplinary action nor have completed probation resulting from past disciplinary action within the two year period immediately preceding its application for establishment approval.
(3) Is not subject to denial pursuant to Section 480.
(4) The licensee has no unpaid fine issued pursuant to Article 12 of Chapter 10 of Division 3 of the Business and Professions Code.
(5) If the establishment is participating to train an apprentice in multiple locations under common ownership, there shall be an agreement between the establishments to employ the apprentice.
(e) The board shall inform every person applying for approval to act as an apprentice trainer or an apprentice establishment in writing, within ten (10) days of receipt of the application (Form #35A-03, Application for Licensure as a Licensed Apprentice and for Approval of Trainers and Establishments, Revised 5/94), whether the application is complete or deficient and what specific information is required.
(1) When the information for a deficient application is returned to the board, the board shall decide within five (5) days of receipt whether the application is complete.
(2) If the application remains deficient, the board shall inform the applicant in writing, within five (5) days of receipt, of what specific information is required.
(f) The board shall notify the applicant, in writing, within thirty-five (35) days after the completed application has been received, whether the applicant meets the requirements for approval.
(g) The minimum, median and maximum times for processing a request for approval, from the time of receipt of the application until the Board of Barbering and Cosmetology decided to issue the license based upon actual performance of the board during the two years preceding the proposal of this section, were as follows: 
(1) Minimum: 1 day
(2) Median: 15 days
(3) Maximum: 48 days
NOTE

Authority cited: Section 7312, Business and Professions Code.  Reference: Sections 7332, 7333, 7334 and 7336, Business and Professions Code.
HISTORY

1. New section filed  5-20-94; operative 6-20-94 (Register 94, No. 20). For prior history, see Register 59, No. 21.
2. New subsections (b)(3), (b)(4), (d)(3) and (d)(4) filed 4-23-98; operative 5-23-98 (Register 98, No. 17).
3. Change without regulatory effect amending subsection (g) filed 8-23-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 35).
4. Amendment of subsection (a) and new subsections (a)(1) and (a)(5) filed 3-26-2007; operative 4-25-2007 (Register 2007, No. 13).
§919.1. Records Required.
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Sections 7332, 7342, 7351, 7355, 7392, 7396.8 and 7397, Business and Professions Code.
HISTORY

1. Amendment filed 10-8-70; effective thirtieth day thereafter (Register 70, No. 41). For prior history, see Register 67, No. 28.
2. Amendment of subsections (b) and (d) filed 3-29-72; effective thirtieth day thereafter (Register 72, No. 14).
3. Amendment of section and NOTE filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 15).
4. Amendment filed 8-1-80; effective thirtieth day thereafter (Register 80, No. 31).
5. Amendment of subsection (e) filed 2-11-86; effective thirtieth day thereafter (Register 86, No. 7).
6. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§919.2. Physician and Surgeon Certificate.
History

HISTORY

1. New section filed 7-1-49 (Register 17, No. 1).
2. Repealer filed 9-20-49 as an emergency designated to be effective 10-1-49 (Register 18, No. 1).
§919.3. Enrollment Certificate.
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference cited: Section 7396.8, Business and Professions Code.
HISTORY

1. New section filed 7-1-49 (Register 17, No. 1).
2. Amendment filed 12-14-62; effective thirtieth day thereafter (Register 62, No. 25).
3. Amendment of subsection (b) filed 12-3-76; effective thirtieth day thereafter (Register 76, No. 49).
4. Amendment filed 10-16-80; effective thirtieth day thereafter (Register 80, No. 42).
5. Amendment filed 7-10-84; effective thirtieth day thereafter (Register 84, No. 28).
6. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§919.4. Daily Record of Applied Effort.
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Sections 7392, 7397 and 7400, Business and Professions Code.
HISTORY

1. New section filed 7-1-49 (Register 17, No. 1).
2. Amendment filed 9-26-56; effective thirtieth day thereafter (Register 56, No. 18).
3. Repealer of subsection (d) filed 11-17-60 as an emergency; effective upon filing (Register 60, No. 23).
4. Amendment filed 10-8-70; effective thirtieth day thereafter (Register 70, No. 41).
5. New subsection (e) filed 7-10-84; effective thirtieth day thereafter (Register 84, No. 28).
6. Amendment of subsection (e) filed 2-11-86; effective thirtieth day thereafter (Register 86, No. 7).
7. Amendment of subsections (a)-(e) and new subsection (f) filed 6-13-90; operative 7-13-90 (Register 90, No. 32).
8. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§919.5. Work Slip.
History

HISTORY

1. New section filed 7-1-49 (Register 17, No. 1).
2. Repealer filed 10-8-70; effective thirtieth day thereafter (Register 70, No. 41).
§919.6. Weekly Summary of Daily Reports.
History

HISTORY

1. New section filed 7-1-49 (Register 17, No. 1).
2. Amendment filed 1-4-50 (Register 19, No. 1).
3. Amendment filed 9-26-56; effective thirtieth day thereafter (Register 56, No. 18).
4. Repealer of subsection (b) filed 7-13-67; effective thirtieth day thereafter (Register 67, No. 28).
5. Repealer filed 10-8-70; effective thirtieth day thereafter (Register 70, No. 41).
§919.7. Record of Completion.
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Sections 7397 and 7398.5, Business and Professions Code. 
HISTORY

1. Amendment filed 7-13-67; effective thirtieth day thereafter (Register 67, No. 28). 
2. Amendment of subsection (a) and repealer of subsection (c) filed 12-3-76; effective thirtieth day thereafter (Register 76, No. 49). 
3. Amendment filed 10-16-80; effective thirtieth day thereafter (Register 80, No. 42). 
4. Amendment filed 7-10-84; effective thirtieth day thereafter (Register 84, No. 28). 
5. Amendment filed 11-21-88; operative 12-21-88 (Register 88, No. 48). 
6. Amendment filed 10-31-90; operative 11-30-90 (Register 90, No. 49).
7. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§919.8. Record of Withdrawal.
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Sections 7397 and 7398.5, Business and Professions Code. 
HISTORY

1. Amendment of section and NOTE filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 15). For prior history, see Register 67, No. 28. 
2. Amendment filed 10-16-80; effective thirtieth day thereafter (Register 80, No. 42). 
3. Amendment filed 7-10-84; effective thirtieth day thereafter (Register 84, No. 28). 
4. Amendment of subsection (b) filed 8-12-87; operative 9-11-87 (Register 87, No. 33). 
5. Amendment filed 11-21-88; operative 12-21-88 (Register 88, No. 48). 
6. Amendment filed 10-31-90; operative 11-30-90 (Register 90, No. 49).
7. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§919.9. Records to Be Retained.
History

HISTORY

1. New section filed 7-1-49 (Register 17, No. 1).
2. Repealer filed 7-13-67; effective thirtieth day thereafter (Register 67, No. 28).
§919.10. Authorization to Destroy Records.
History

HISTORY

1. New section filed 7-1-49 (Register 17, No. 1).
2. Amendment filed 7-13-67; effective thirtieth day thereafter (Register 67, No. 28).
3. Repealer filed 7-10-84; effective thirtieth day thereafter (Register 84, No. 28).
§919.11. Correction of Records.
History

HISTORY

1. New section filed 7-1-49 (Register 17, No. 1).
2. Repealer filed 7-10-84; effective thirtieth day thereafter (Register 84, No. 28).
§919.12. Insignia.
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Sections 7392.2 and 7400, Business and Professions Code.
HISTORY

1. Amendment of section and NOTE filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 15). For prior history, see Register 68, No. 14.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§919.13. Work upon Paying Patrons.
History

HISTORY

1. Change without regulatory effect renumbering former section 916.13 to section 950.12 filed 10-4-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 41). For prior history, see Register 56, No. 18.
§919.14. Badges or Pins.
History

HISTORY

1. New section filed 1-23-61; effective thirtieth day thereafter (Register 61, No. 2).
2. Repealer filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 15).
§919.15. Brush-up Students.
History

HISTORY

1. New section filed 10-8-70; effective thirtieth day thereafter (Register 70, No. 41).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§919.16. Postgraduate Advanced Students.
History

HISTORY

1. New section filed 10-8-70; effective thirtieth day thereafter (Register 70, No. 41).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§919.17. Supplemental Training--Recency Requirements.
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Sections 7332, 7342, 7351, 7355 and 7397, Business and Professions Code.
HISTORY

1. New section filed 2-11-86; effective thirtieth day thereafter (Register 86, No. 7).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§920. Record of Apprentice Training.
Note     •     History

The apprentice trainer shall present a copy of apprentice daily work records to the board or its representatives upon demand. These work records shall include the name of the apprentice employed, the dates the apprentice worked, the number of hours worked and the work processes performed on those dates, and the trainer's name.
NOTE

Authority cited: Section 7312, Business and Professions Code.  Reference: Sections 7333 and 7334, Business and Professions Code.
HISTORY

1. New section filed  5-20-94; operative 6-20-94 (Register 94, No. 20). For prior history, see Register 59, No. 21.
§921. Curriculum for Barber Apprentice Course.
Note     •     History

(a) The curriculum for an apprentice enrolled in a barber apprentice course shall consist of at least thirty-two hundred (3200) clock hours of technical instruction and practical operations covering all practices constituting the art of barbering pursuant to Section 7316 of the Barbering and Cosmetology Act.
(b) For the purpose of this section, technical instruction shall mean instruction by demonstration, lecture, classroom participation, or examination; practical operation shall mean the actual performance by the student of a complete service on another person or on a mannequin.
(c) The course of instruction in the practical phases of barbering required for an apprentice enrolled in a 3200 hour course shall cover not less than 2600 hours including training in basic haircutting and in hairstyling of all textures of hair. The practical training shall include performance of the following minimum practical operations:

Subject	Minimum
	Practical
	Operations

(1) Haircuts and Hairstyles	1500
(2) Shaves	40
(3) Rest Facials	48
(4) Shampoos	160
(5) Scalp Manipulations	80
(6) Hair Waving and Curling	120
(7) Hair Coloring and Tinting	20
(8) Hair Processing and Relaxing	20
(9) Application of chemicals on the hair; hairpieces;	10
measuring, fitting and servicing of hairpieces and
rolling cream massages.

All students shall receive sufficient instruction and training in the subjects listed in this section to prepare them to apply for and take the state barber licensing examination and to provide barber services in an establishment.

(d) Technical Instruction	100 hours
The course of instruction in the theory of barbering required for an apprentice enrolled in a 3,200-hour course shall cover not less than 80 hours of instruction in the subjects listed in Section 7316(a) of the code, including razor cutting, hair processing, blow waving and sales techniques. The theory instruction shall include training in sales techniques which may be completed in theory training or practical training at the discretion of the apprentice trainer.

(e) Health and Safety/Hazardous Substances	20 Hours
The course of instruction shall also include 20 hours of technical instruction in the area of hazardous substances (shall be the course developed by the Board of Barbering and Cosmetology as provided by Section 7389).

(f) Individual Instruction	120 Hours
The course of instruction required for an apprentice enrolled in a 3,200-hour course shall cover not less than 120 hours allotted to the practical and/or the theoretical phases of the course in such manner as the apprentice trainer considers necessary in the individual case.

(g) Additional Instruction	1102 Hours
(h) No credit of any type shall be given for time spent in laundering towels or in washing or scrubbing floors, walls, woodwork, toilets, or windows.
(i) A student shall be properly instructed to cut the hair of and render barber services to all patrons.
NOTE

Authority cited: Sections 7312 and 7334(f), Business and Professions Code.  Reference: Sections 7316(a), 7321.5(d)(1), 7362.5(a) and 7389, Business and Professions Code; and Section 3078, Labor Code.
HISTORY

1. New section filed 4-23-98; operative 5-23-98 (Register 98, No. 17). For prior history, see Register 94, No. 43.
§921.1. Curriculum for Cosmetology Apprenticeship Course.
Note     •     History

(a) The curriculum for an apprentice enrolled in a cosmetology apprenticeship course shall consist of thirty-two hundred (3200) clock hours of technical instruction and practical operations covering all practices constituting the art of cosmetology pursuant to Section 7316 of the Barbering and Cosmetology Act.
(b) For the purpose of this section, technical instruction shall mean instruction by demonstration, lecture, classroom participation, or examination; practical operation shall mean the actual performance by the apprentice of a complete service on another person or on a mannequin. Such technical instruction and practical operations shall include:

	Minimum	
	Hours of	Minimum
	Technical	Practical
 Subject	Instruction	Operations

 (1) The Barbering and Cosmetology Act
and the Board's Rules and Regulations	20
 (2) Cosmetology Chemistry (Shall 
include the chemical composition and
purpose of cosmetic, nail, hair and skin
care preparations, elementary chemical
makeup, chemical skin peels, physical
and chemical changes of matter.)	20

 (3) Health and Safety/Hazardous Substances
(Shall include training in chemicals and health
in establishments, material safety data sheets,
protection from hazardous chemicals and 
preventing chemical injuries, health and
safety laws and agencies, ergonomics, and 
communicable diseases, including 
HIV/AIDS and Hepatitis B.)	20

 (4) Theory of Electricity in Cosmetology
(Shall include the nature of electrical current,
principles of operating electrical devices,
and the various safety precautions used when
operating electrical equipment.)	5

 (5) Disinfection and sanitation (Shall include
procedures to protect the health and safety of
the consumer as well as the technician. The
thirty required minimum operations shall entail
performing all necessary functions for disinfecting
instruments and equipment as specified in
Sections 979 and 980. Disinfection shall be
emphasized throughout the entire training
period and shall be performed before use of
all instruments and equipment)	20	30

 (6) Bacteriology, anatomy and physiology.	15

 (7) Wet Hair Styling (Shall include hair 
analysis, shampooing, fingerwaving, pin 
curling and comb-outs.)	25	300

	Minimum	
	Hours of	Minimum
	Technical	Practical
 Subject	Instruction	Operations

 (8) Thermal Hair Styling (Shall include
hair analysis, straightening, waving, curling
with hot combs and hot curling irons, and 
blower styling.)
 (A) Thermal styling	20	150
 (B) Press and curl	50

 (9) Permanent Waving (Shall include
hair analysis, chemical and heat permanent
waving.)	20	160

 (10) Chemical Straightening (Shall include
hair analysis and the use of sodium hydroxide
and other base solutions.)	20	50

 (11) Haircutting (Shall include hair analysis 
and the use of the razor, scissors, electric clippers,
and thinning shears, for wet and dry cutting.)	20	300

 (12) Haircoloring and Bleaching (Shall include
hair analysis, predisposition tests, safety
precautions, formula mixing, tinting, bleaching,
and the use of dye removers. Shall not include 
any credit for color rinses.)	
 (A) Haircoloring	40	150
 (B) Bleaching	20	50

 (13) Scalp and Hair Treatments (Shall include
hair and scalp analysis, scientific brushing,
electric and manual scalp manipulation, and
other hair treatments.)	5	15

 (14) Facials
 (A) Manual (shall include cleansing, scientific
manipulations, packs, and masks.)	5	15
 (B) Electrical (Shall include the use of electrical
modalities, including dermal lights and electrical
apparatus, for facials and skin care purposes;
however, machines capable of producing an
electrical current shall not be used to stimulate 
so as to contract, or for the purpose of contracting,
the muscles of the body or face)	10	25
 (C) Chemicals (Shall include chemical
skin peels, packs, masks and scrubs. Training 
shall emphasize that only the non-living,
uppermost layers of facial skin, known as
the epidermis, may be removed, and only
for the purpose of beautification. All
practical operations shall be performed in
accordance with Section 992 regarding
skin peeling.)	10	25

 (15) Eyebrow Arching and Hair Removal
(Shall include the use of wax, tweezers, electric
or manual, and depilatories for the removal
of superfluous hair.)	10	30

 (16) Makeup (Shall include skin analysis,
complete and corrective makeup, lash and brow
tinting, and the application of false eyelashes.)	15	25

 (17) Manicuring and Pedicuring
 (A) Water and oil manicure, including nail
analysis, and hand and arm massage.	5	20
 (B) Complete pedicure, including nail
analysis, and foot and ankle massage.	5	14

 (C) Artificial nails
 1. Acrylic: Liquid and powder brush-ons	10	50 Nails
 2. Artificial nail tips	10	50 Nails
 3. Nail wraps and repairs	5	20 Nails

(c) Additional Instruction 	819 hours
(d) No credit of any type shall be given for time spent in laundering towels or in washing or scrubbing floors, walls, woodwork, toilets, or windows.
NOTE

Authority cited: Sections 7312 and 7334(f), Business and Professions Code.  Reference: Sections 7316(b), 7321(d)(1) and 7389, Business and Professions Code; and Section 3078, Labor Code.
HISTORY

1. New section filed 4-23-98; operative 5-23-98 (Register 98, No. 17).
§921.2. Curriculum for Electrolysis Apprenticeship Course.
Note     •     History

(a) The curriculum for an apprentice enrolled in an electrolysis apprenticeship course shall consist of thirty-two hundred (3200) clock hours of technical instruction and practical operations covering all practices of an electrologist pursuant to Section 7316 of the Barbering and Cosmetology Act.
(b) For the purpose of this section, technical instruction shall mean instruction by demonstration, lecture, classroom participation, or examination; practical operation shall mean the actual performance by the student of a complete service on another person. Such technical instruction and practical operations shall include:

	Minimum	
	Hours of	Minimum
	Technical	Practical
 Subject	Instruction	Operations

 (1) The Barbering and Cosmetology Act
and the Board's Rules and Regulations	10

 (2) Health and Safety/Hazardous Substances
(Shall include training in chemicals and health
in establishments, material safety data sheets,
protection from hazardous chemicals and 
preventing chemical injuries, health and
safety laws and agencies, ergonomics, and 
communicable diseases, including 
HIV/AIDS and Hepatitis B.)	10

 (3) Sanitation, disinfection and sterilization
(Shall include procedures to protect the health and
safety of the consumer as well as the technician.
The ten required minimum operations shall 
entail performing all necessary functions for
disinfecting instruments and equipment as 
specified in Sections 979 and 980.
Disinfection shall be emphasized throughout
the entire training period and shall be
performed before use of all instruments
and equipment.)	25	10

 (4) Bacteriology, anatomy and physiology.	25

 (5) Electricity (Shall include the nature of
electrical current, principles of operating 
electrical devices, and the various safety 
precautions used when operating electrical
equipment.)	15

 (6) Electrolysis (Shall include the use and
study of galvanic current.)	25	90

 (7) Thermolysis (Shall include the use and study
of high frequency current automatic
and manual.)	25	120

 (8) A combination of high frequency
and galvanic currents	25	120

(c) Additional Instruction	2,340 Hours
(d) No credit of any type shall be given for time spent in laundering towels or in washing or scrubbing floors, walls, woodwork, toilets, or windows.
NOTE

Authority cited: Sections 7312 and 7334(f), Business and Professions Code.  Reference: Sections 7316(d), 7330(d)(1) and 7389, Business and Professions Code; and Section 3078, Labor Code.
HISTORY

1. New section filed 4-23-98; operative 5-23-98 (Register 98, No. 17).
§922. Student Compensation.
History

HISTORY

1. New section filed 2-16-71; effective thirtieth day thereafter (Register 71, No. 8). For history of former section, see Register 62, No. 25.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§922. Transfers.
Note     •     History

An apprentice may request from the program sponsor, a transfer from one approved related training class to another or from one approved establishment and trainer to another.  The apprentice and the program sponsor shall notify the board within five days of any transfer.
NOTE

Authority cited: Section 7312, Business and Professions Code.  Reference: Sections 7333 and 7336, Business and Professions Code.
HISTORY

1. New section filed  5-20-94; operative 6-20-94 (Register 94, No. 20). For prior history, see Register 71, No. 8.
§923. Surrender of License.
Note     •     History

Apprentices who successfully pass the licensing examination or terminate their enrollment in the apprentice training program or whose apprentice enrollment expires shall return to the board any apprentice license and identification photograph previously issued to them.
NOTE

Authority cited: Section 7312, Business and Professions Code.  Reference: Section 7335, Business and Professions Code.
HISTORY

1. New section filed  5-20-94; operative 6-20-94 (Register 94, No. 20). 
§924. Completion of Apprentice Training Program.
Note     •     History

(a) Upon successful completion or discontinuance of an apprenticeship program, the apprenticeship program sponsor shall issue to the apprentice a certificate of apprenticeship completion or discontinuance.  The certificate of apprenticeship completion or discontinuance shall be signed by the instructor, the apprentice and the apprenticeship program sponsor.
(b) The certificate of apprenticeship completion or discontinuance shall be a document prepared by the program sponsor that contains all of the following:
(1) Course title.
(2) The apprentice's name, address, telephone number and date of birth.
(3) The apprentice license number and social security number.
(4) The program sponsor name and sponsor code issued by the board.
(5) The total number of related training hours completed.
(6) The date the apprentice training was completed or discontinued.
(7) The total number of hours of on-the-job training the apprentice has completed designated by subject matter.
(8) Any training received in a prior board-approved apprenticeship program.
(9) A statement confirming that the apprentice has or has not met the course curriculum requirements.
(10) A statement, dated and signed under penalty of perjury that all the information on the document is true and correct. The statement shall be worded as follows:
“We, the undersigned, certify under penalty of perjury under the laws of the state of California, that all the information contained herein is true and correct.”
(c) Apprentices shall submit the certificate of apprenticeship completion and all other qualifying documents with their application to take the licensing examination.
NOTE

Authority cited: Section 7312, Business and Professions Code.  Reference: Sections 7321, 7321.5, 7324, 7326, 7330, 7333 and 7337, Business and Professions Code.
HISTORY

1. New section filed  5-20-94; operative 6-20-94 (Register 94, No. 20). 
2. Amendment of subsection (a), new subsections (b)-(b)(10), subsection relettering, and amendment of newly designated subsection (c) filed 4-23-98; operative 5-23-98 (Register 98, No. 17).
§925. Application for an Establishment License.
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Section 7381, Business and Professions Code.
HISTORY

1. Amendment of section and NOTE filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Repealer of article 3 and section filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§925. Statement of Trainer Responsibilities.
Note     •     History

The owner of the establishment where the apprenticeship is being conducted shall inform, in writing, an employee who is an apprentice trainer of the employee's responsibilities as a trainer.  The statement of trainer responsibilities shall include, but not be limited to, those provisions specified in subdivisions (a), (b), (c), (d) and (e) of Section 3078 of the Labor Code.  The statement of trainer responsibilities shall be signed by the establishment owner and the apprentice trainer and maintained on the premises of the establishment.  The statement of trainer responsibilities shall be presented to the board or its representative upon request.
NOTE

Authority cited: Section 7312, Business and Professions Code.  Reference: Sections 7332, 7333 and 7336, Business and Professions Code.
HISTORY

1. New section filed  5-20-94; operative 6-20-94 (Register 94, No. 20). 
§926. Apprenticeship Credit for Prior Training.
Note     •     History

(a) An apprentice who desires to establish eligibility for examination pursuant to Sections 7321 through 7330 of the Business and Professions Code for a license in this state based in part on training received in a prior California apprenticeship program shall furnish proof of his or her qualifications as follows:
(1) The prior training must have taken place in an apprenticeship program approved by the board.
(2) The prior training must have taken place within three years immediately preceding re-enrollment in an apprenticeship program approved by the board.
(3) A valid Certificate of Completion or Discontinuance signed by the apprentice, trainer, school representative and program sponsor must be presented to the enrolling program sponsor before prior credit can be granted.
(4) Upon completion of the thirty-two hundred (3,200) hour apprenticeship training course, a valid Certificate of Completion or Discontinuance for each enrollment period must accompany the application for examination.
(b) An apprentice must leave the approved program in good standing to obtain credit for the training received. Good standing is defined as:
(1) Has not been terminated from employment for inappropriate activity.
(2) Has returned the apprentice license to the program sponsor for forwarding to the board.
(3) Has attended related and supplemental training classes pursuant to section 915 CCR.
NOTE

Authority cited: Section 7312, Business and Professions Code.  Reference: Sections 7333, 7334 and 7345, Business and Professions Code.
HISTORY

1. New section filed 4-23-98; operative 5-23-98 (Register 98, No. 17). For prior history, see Register 68, No. 14.
§927. Interior, Fixtures, and Furniture.
History

HISTORY

1. Amendment filed 3-4-49 as an emergency (Register 15, No. 6).
2. Repealer filed 7-1-49 as an emergency (Register 17, No. 1). See Article 7.
Article 4. Examinations
§928. Preapplication for Examination.
Note     •     History

(a) A preapplication for examination must be submitted to the board postmarked within 7 calendar days from the day the applicant completed 75 percent of the required course hours and curriculum requirements (60 percent for students of the manicurist course) from an approved barbering, cosmetology or electrology school, or any person licensed as an apprentice in barbering, cosmetology, skin care, or nail care who has completed at least 75 percent of the required apprenticeship training hours.
(b) A preapplication for examination shall be in writing, on a form prepared by the board (Form PRE1, Request for Pre-Application, Rev. 1/05).
(c) The preapplication form shall be submitted with the following:
(1) The required preapplication fee specified in Section 998;
(2) The application for examination, including the required fee and all proof of qualifications of the applicant for examination, except the proof of training document specified in Section 909 or (for apprentices) the certificate of apprenticeship completion specified in Section 924.
(3) A stamped envelope, addressed to the school from which the applicant completed training or to the apprentice program sponsor from which the applicant completed training.
(d) The preapplication form shall include an anticipated date that the student/apprentice shall complete his/her course of study/apprenticeship, and a statement, signed by the student/apprentice and the school/apprentice program sponsor and certified to under penalty of perjury, that the student/apprentice has completed the curriculum requirements and number of clock hours required to submit a preapplication.
(e) Within 30 calendar days of receipt of the preapplication the board shall notify the applicant in writing, at the school/apprentice program sponsor from which the applicant completed training, that the preapplication is either complete or is deficient and what information or documentation is required to complete the application.
(1) If the application is complete, the notification (that portion of form PRE1 filled out by the board) shall also contain the applicant's scheduled examination date.
(2) If a preapplication is deficient, the applicant shall not be scheduled for examination with the pre application population until the deficiencies are corrected and the application is resubmitted.
(f) The proof of training document/certificate of apprenticeship completion and the portion of form PRE1 filled out by the board must be mailed to the board, postmarked within three working days after the applicant's anticipated date of course/apprenticeship completion. If this requirement is not met, the applicant will not be permitted to be examined on the scheduled date and the applicant will be scheduled for examination with the general application population.
(g) Within ten working days of receipt of the proof of training document/certificate of apprenticeship completion, the board shall notify the applicant in writing or documentation is required to complete the document.
(1) If the proof of training document/certificate of apprenticeship completion is complete, the board will mail an examination admission letter to the applicant.
(2) If the proof of training document/certificate of apprenticeship completion is deficient, the applicant will not be permitted to be examined on the scheduled date and will be rescheduled for examination at the time of receipt of a complete proof of training document/certificate of apprenticeship completion.
NOTE

Authority cited: Sections 7312 and 7337.5, Business and Professions Code.  Reference: Section 7337.5, Business and Professions Code.
HISTORY

1. Repealer of article 3.5 and section and new article 4 and section filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
2. Amendment filed 10-17-2006; operative 11-16-2006 (Register 2006, No. 42).
§929. Good Cause for Failure to Appear for Examination. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7312 and 7343, Business and Professions Code.  Reference: Section 7343, Business and Professions Code.
HISTORY

1. New section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 68, No. 14.
2. Change without regulatory effect repealing section filed 10-25-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 43).
§930.1. Application for License as a Junior Operator or Junior Electrologist. [Repealed]
History

HISTORY

1. Repealer of article 4 ( 930 through 939) and new article 4 (§§ 930 through 942.1) filed 7-2-52; effective thirtieth day thereafter (Register 29, No. 2).
2. Amendment filed 12-16-53; effective thirtieth day thereafter (Register 53, No. 23).
3. Repealer of subsections (b) and (c) filed 10-8-70; effective thirtieth day thereafter (Register 70, No. 41).
4. Repealer of article 4 and section filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
5. Editorial correction restoring section heading (Register 94, No. 43).
§930.2. Application for Authority to Engage a Junior Operator or Junior Electrologist. [Repealed]
Note     •     History

NOTE

Authority cited: Chapter 718 of 1959 Statutes.
HISTORY

1. Amendment filed 12-16-53; effective thirtieth day thereafter (Register 53, No. 23).
2. Amendment filed 12-14-59; effective thirtieth day thereafter (Register 59, No. 21).
3. Amendment filed 1-23-61; effective thirtieth day thereafter (Register 61, No. 2).
4. Amendment filed 12-14-62; effective thirtieth day thereafter (Register 62, No. 25).
5. Amendment filed 10-8-70; effective thirtieth day thereafter (Register 70, No. 41).
6. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§930.3. Inspection of Establishment. [Repealed]
History

HISTORY

1. Amendment filed 12-16-53; effective thirtieth day thereafter (Register 53, No. 23).
2. Amendment filed 1-23-61; effective thirtieth day thereafter (Register 61, No. 2).
3. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§930.4. Hearing on Applications. [Repealed]
History

HISTORY

1. Amendment filed 12-16-53; effective thirtieth day thereafter (Register 53, No. 23).
2. Amendment filed 9-26-56; effective thirtieth day thereafter (Register 56, No. 18).
3. Repealer filed 1-23-61; effective thirtieth day thereafter (Register 61, No. 2).
§930.5. Equipment in Establishment Engaging a Junior Operator. [Repealed]
Note     •     History

NOTE

Authority cited: Chapter 718 of 1959 Statutes.
HISTORY

1. Amendment filed 6-4-69; effective thirtieth day thereafter (Register 69, No. 23). For prior history, see Register 66, No. 6.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§931. Interpreter and Interpreter/Model.
Note     •     History

(a) An applicant for the barber, cosmetologist, esthetician, manicurist, or electrologist examination may use an Interpreter or an Interpreter/Model during examination if the applicant is unable to speak, read, or write in the English language at a 10th grade level.
(b) The applicant shall file with the application for examination, or not later than thirty (30) days prior to the date of the examination, a notice of permission to use an Interpreter or Interpreter/Model on a form prescribed by the board (Form #03B-125, Form G, Request for Use of an Interpreter or Interpreter/Model, Rev. 8/94) and executed by the applicant under penalty of perjury.
(c) The person designated by the applicant to act as an Interpreter or an Interpreter/Model shall file with the board, not later than fifteen (15) days prior to the date of the examination and on a form prescribed by the board (Form #03A-126, Form H, Rev 8/94) and executed by the person under oath or penalty of perjury, a request to act as an interpreter or an interpreter/model, along with two 1 1/2 x 1 1/2 inch signed photographs of himself or herself.
(d) The Interpreter or Interpreter/Model shall be a person who is fluent both in English and in the native language of the applicant and must certify to this fact in writing under penalty of perjury.
(e) An Interpreter may interpret only for the written portion of the examination.
(f) An Interpreter/Model may interpret for the written and practical portions of the examination and shall serve as the model for the practical examination.
(g) A person shall be allowed to act as an Interpreter or Interpreter/Model only once in two (2) years in any examination.
(h) An Interpreter shall not be used in the barber or cosmetology instructor examinations.
(i) Disabled persons are entitled to access to examination activities in a manner that is equal to that offered non-disabled persons and reasonable accommodation will be provided all such persons with medically-certified documentation.
(j) The following persons are prohibited from acting as Interpreter or Interpreter/Models:
(1) Persons less than 15 years of age.
(2) Persons who are current or former students in barbering or any of the branches of cosmetology.
(3) Persons who are currently or have been formerly licensed as an operator or an instructor by this state or any other state in barbering or any of the branches of cosmetology.
(4) Persons who are currently or have been formerly enrolled in a barber apprentice training program.
(5) Persons who are currently or have been formerly enrolled in a cosmetologist apprentice training program.
(6) Persons who have been formerly Junior Operators or Junior Electrologists.
(7) Persons who are currently or have been formerly owners or employees of any school of barbering, cosmetology or electrology.
(k) For a period of one (1) year from the date that any person served as an Interpreter or Interpreter/Model, that person shall be ineligible to apply to the Board of Barbering and Cosmetology for a license in barbering or any of the branches of cosmetology from which he or she provided Interpreter or Model services.
(l) If the board determines that any of the information furnished pursuant to this section is false in a material respect, it may void the applicant's examination, if any.
(m) Persons who are only reading the examination to the applicant, but not interpreting to another language, will not be permitted.
(n) If the board determines that an Interpreter or Interpreter/Model is providing answers during the examination or any other material assistance to the applicant other than translating during the conduct of the examination, it shall disqualify the Interpreter or Interpreter/Model and void the applicant's examination.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Sections 7338 and 7340, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 86, No. 7.
2. Repealer of subsection (g) and subsection relettering filed 6-4-2008; operative 7-4-2008 (Register 2008, No. 23).
§931.1. Textbooks for Junior Operator. [Repealed]
History

HISTORY

1. Amendment filed 9-26-56; effective thirtieth day thereafter (Register 56, No. 18).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§931.2. Credit for Training in School of Cosmetology. [Repealed]
History

HISTORY

1. New section filed 12-16-53; effective thirtieth day thereafter (Register 53, No. 2).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§931.3. Credit to Holder of Manicurist License. [Repealed]
History

HISTORY

1. New section filed 12-16-53; effective thirtieth day thereafter (Register 53, No. 23).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§931.4. Credit to Holder of Permanent Waver License. [Repealed]
History

HISTORY

1. New section filed 12-16-53; effective thirtieth day thereafter (Register 53, No. 23).
2. Repealer filed 6-25-58; effective thirtieth day thereafter (Register 58, No. 11).
§931.5. Time for Granting Credit. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7310, 7311, 7342, 7372, 7394, Business and Professions Code. Reference: Section 7362.1, Business and Professions Code.
HISTORY

1. New section filed 12-16-53; effective thirtieth day thereafter (Register 53, No. 23).
2. Amendment filed 6-25-58; effective thirtieth day thereafter (Register 58, No. 11).
3. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§931.6. Equipment in Establishment Engaging Junior Electrologist. [Repealed]
History

HISTORY

1. New section filed 12-16-53; effective thirtieth day thereafter (Register 53, No. 23).
2. Amendment filed12-3-76; effective thirtieth day thereafter (Register 76, No. 49.)
3. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§931.7. Instruction of Junior Electrologist. [Repealed]
History

HISTORY

1. New section filed 12-16-53; effective thirtieth day thereafter (Register 53, No. 23).
2. Amendment filed 12-14-62; effective thirtieth day thereafter (Register 62, No. 25).
3. Amendment filed 10-8-70; effective thirtieth day thereafter (Register 70, No. 41).
4. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§931.8. Textbooks for Junior Electrologists. [Repealed]
History

HISTORY

1. New section filed 12-16-53; effective thirtieth day thereafter (Register 53, No. 23).
2. Amendment filed 9-26-56; effective thirtieth day thereafter (Register 56, No. 18).
3. Repealer filed 10-8-70; effective thirtieth day thereafter (Register 70, No. 41).
§932. Passing Grades in Examinations.
Note     •     History

An overall average of 75 percent shall be the passing grade for examinations.
(a) Examinations consist of two parts: a practical part and a written part.
(b) If the applicant fails to receive a passing grade for the barbering examination, the applicant will be required to be reexamined in the practical part and the written part of the examination.
(c) The total possible examination score for the barbering exam consists of 100 points: The practical part is valued at 80 points and the written portion is valued at 20 points.
(d) If the applicant fails to receive a passing grade but only fails one part of any cosmetology or electrology examination, the applicant will be required to be re-examined only in the part failed, provided the re-examination takes place within one year after the notice of the results of the examination in which the applicant failed one part has been delivered.
(e) The total possible examination score for any cosmetology or electrology exam consists of 400 points: The practical part is valued at 300 points and the written portion is valued at 100 points.
(f) To pass any of the cosmetology or electrology examinations, the applicant must achieve at least 300 points overall including a score of at least 225 in the practical part and at least 70 in the written part.
NOTE

Authority cited: Sections 7312 and 7340, Business and Professions Code. Reference: Sections 7338, 7340, 7341 and 7342, Business and Professions Code.
HISTORY

1. New section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 59, No. 21.
§932.1. Records Required. [Repealed]
History

HISTORY

1. Amendment filed 12-16-53; effective thirtieth day thereafter (Register 53, No. 23).
2. Amendment filed 9-26-56; effective thirtieth day thereafter (Register 56, No. 18).
3. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§932.2. Time Record and Daily Report. [Repealed]
History

HISTORY

1. Amendment filed 12-16-53; effective thirtieth day thereafter (Register 53, No. 23).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§932.3. Record of Applied Effort for Junior Operator and Junior Electrologist. [Repealed]
History

HISTORY

1. Amendment filed 12-16-53; effective thirtieth day thereafter (Register 53, No. 23).
2. Amendment filed 10-8-70; effective thirtieth day thereafter (Register 70, No. 41)
3. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§932.4. Weekly Summary of Hours of Applied Effort. [Repealed]
History

HISTORY

1. Amendment filed 12-16-53; effective thirtieth day thereafter (Register 53, No. 23).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§933. Inspection of Examination Papers.
Note     •     History

(a) An applicant who has failed the written examination may inspect his or her answer sheet for that examination by making a written request to the board within ninety (90) days after notification of the examination result. Such an inspection shall be conducted in the city where the examination was taken or, at the election of the applicant, in the board office.
(b) At the time of such inspection, no one other than the applicant and a representative of the board shall have access to the written examination papers. Only the applicant's answer sheet for the written examination shall be available for inspection to an applicant.
NOTE

Authority cited: Sections 7312 and 7340, Business and Professions Code. Reference: Sections 496 and 7341, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 59, No. 21.
§934. Examination Appeal.
Note     •     History

(a) An applicant who has received a fail score on the written or practical examination shall be eligible to appeal to the board for a review of his or her examination results.
(b) The appeal shall be filed with the board within fifteen (15) days after the date of notification of his or her examination results. The appeal shall be made in writing, and it shall state the reason for appeal. The board shall only consider appeals regarding significant procedural error in or adverse environmental conditions during the test administration.
(c)  The review of the appeal shall be conducted by one or more board members, or the board's designee, to determine if there is clear and convincing evidence to sustain the applicant's appeal. Such findings shall be subject to the approval of the board.
(d) Within thirty (30) days after the board has approved the determination on appeal, the applicant shall be notified in writing of the results of his or her appeal. In acting on appeals, the board may take such action as it deems appropriate, including the issuance of a license where the board has determined that the applicant has demonstrated the required competence.
NOTE

Authority cited: Sections 7312 and 7340, Business and Professions Code. Reference: Sections 7340 and 7341, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 86, No. 7.
§935. Records to Be Retained. [Repealed]
History

HISTORY

1. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§935.1. Authorization to Destroy Records. [Repealed]
History

HISTORY

1. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§935.2. Correction of Records. [Repealed]
History

HISTORY

1. Amendment filed 12-16-53; effective thirtieth day thereafter (Register 53, No. 23).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§936. Freshman Insignia. [Repealed]
History

HISTORY

1. Amendment filed 12-16-53; effective thirtieth day thereafter (Register 53, No. 23).
2. Repealer filed 4-4-68; effective thirtieth day thereafter (Register 68, No. 14).
Article 5. Mobile Units
§937. Licensing and Operation.
Note     •     History

(a) An application for a license to operate a mobile unit shall be on a form prescribed and provided by the board (Form #03A-202, Application for License to Operate A Mobile Unit, Rev 1/93), accompanied by such evidence, statements, or documents as required by Section 7355(b) of the Business and Professions Code.
(b) The geographical boundaries within which the mobile unit is licensed to operate shall include only the cities and counties within which the mobile unit has permits to provide services, and shall extend no further than a 50 mile radius from the permanent base address from which the mobile unit operates.
(c) All Health and Safety Rules governing barbering and cosmetology establishments (as contained in Article 12 of these regulations) shall apply to mobile units unless otherwise specified.
(d) All storage cabinet doors shall have safety catches.
(e) All equipment which is not stored in storage cabinets shall be securely anchored to the mobile unit.
(f) No services shall be performed while the mobile unit is in motion.
(g) A ramp or lift shall be provided for access to the mobile unit if providing services for disabled individuals.
(h) The owners of mobile units shall be responsible for adherence to all local, state and federal laws and regulations regarding the operation of vehicles to be used as mobile units.
(i) An itinerary showing dates, locations, and times of service shall be made available, upon request, to an authorized representative of the board.
(j) The board shall inform the applicant in writing that the application is either complete and accepted for filing or that it is deficient and what specific information or documentation is required to complete the application within 10 calendar days of receipt of an application for a license to operate a mobile unit.
(k) The board shall inform the applicant in writing of its decision regarding an application within 21 calendar days from the date of filing of a completed application. The decision is contingent upon the applicant scheduling an appointment with the board, or its representative, for an inspection of the mobile unit for final approval, pursuant to section 7355(a) of the Business and Professions Code, within seven calendar days of receipt of the notice of a completed application.
(l) The inspection for final approval shall be conducted to ensure compliance with Sections 7345 and 7357(b) of the Business and Professions Code.
NOTE

Authority cited: Sections 7312 and 7357, Business and Professions Code. Reference: Sections 7345, 7355 and 7357, Business and Professions Code.
HISTORY

1. New article 5 and repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 59, No. 21.
§938. Interrupted Training of Junior Operator or Junior Electrologist. [Repealed]
History

HISTORY

1. Amendment filed 12-16-53; effective thirtieth day thereafter (Register 53, No. 23).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§939. Change in Establishment Ownership. [Repealed]
History

HISTORY

1. Amendment filed 12-16-53; effective thirtieth day thereafter (Register 53, No. 23).
2. Amendment filed 1-23-61; effective thirtieth day thereafter (Register 61, No. 2).
3. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
Article 5.5. Wig Stylist
NOTE

Authority cited: Sections 7310, 7311 and 7321.1, Business and Professions Code. Reference: Section 7321.1, Business and Professions Code.
HISTORY

1. New Article 5.5(§§ 945-948, 948.1, 948.2, 949, 950, 950.1-950.4, 985, 985.5) filed 3-29-72; effective thirtieth day thereafter (Register 72, No. 14).
2. Repealer of Article 5.5 (Sections 945-950.4) filed 8-1-80; effective thirtieth day thereafter (Register 80, No. 31). For prior history, see Registers 75, No. 21 and 75, No. 14.
Article 6. Schools
§940. Equipment for Schools of Cosmetology.
Note     •     History

The minimum equipment for a school of cosmetology shall be as follows:
(a) Sufficient electrical equipment and dermal lights for giving instruction in skin care and electrical facials.
NOTE: Equipment shall not be used to stimulate so as to contract, or for the purpose of contracting, the muscles of the body or face.

(b) Mannequins, with full head of hair	10

(c) Time clocks	1

(d) Shampoo bowls	5
(When the average daily attendance exceeds 50 students, additional shampoo bowls shall be added at the ratio of one for each 25 students in average daily attendance in excess of 50)

(e) Dryers	12
(When the average daily attendance exceeds 50 students, additional dryers shall be added at the ratio of one for each 10 students in average daily attendance in excess of 50)

(f) Facial chairs or facial couches	4
(When the average daily attendance excess 50 students, additional facial chairs or facial couches shall be added at the ratio of one for each 25 students in average daily attendance in excess of 50)

(g) Manicure stations	6
(When the average daily attendance exceeds 50 students, additional manicure tables shall be added at the ratio of one for each 10 students in average daily attendance in excess of 50)

(h) Electrical cap	1
(When the average daily attendance exceeds 50 students, additional electrical caps shall be added at the ratio of one for each 25 students in average daily attendance in excess of 50)
(i) Thermal hair straighteners

(1) Electric comb	1

(2) Non-electric comb	3

(3) Stove (for non-electric combs)	1

(4) Electric curling iron	1

(5) Non-electric curling iron (at least two sizes)	3

(6) Stove (for non-electric curling irons)	1
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7362.1(a), Business and Professions Code.
HISTORY

1. New article 6 and repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 53, No. 23.
§941. Approval of Schools.
Note     •     History

(a) To obtain board approval, a private postsecondary school shall submit to the board a request for approval that shall consist of the following:
(1) A document, signed by the owner or owners of the school and certified under penalty of perjury, stating that the school will provide a course of instruction approved by the board and, for cosmetology schools, that all requirements of section 7362.1 of the Business and Professions Code relative to school approval have been met.
(2) A copy of the valid, current Institutional Approval Certificate issued to the school by the Bureau for Private Postsecondary and Vocational Education.
(b) Within ten working days after receipt of the request for approval as specified in subdivision (a), the board shall notify the school in writing that either the approval is granted or that the request for approval is deficient and what information is required to make the request for approval complete.
(c) The provisions of subdivision (a) must be met for all new schools and schools that have changed ownership or location.
(d) If an approved school no longer meets the requirements of sections 7362 or 7362.1 of the Business and Professions Code, it must notify the board in writing within seven calendar days of what provisions it does not meet.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Sections 7362 and 7362.1, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 68, No. 14.
2. Change without regulatory effect amending subsection (a)(2) filed 8-23-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 35).
Article 7. Continuing Education
§942. Requirements for Instructors. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7312 and 7392, Business and Professions Code. Reference: Sections 7392, 7393 and 7394, Business and Professions Code.
HISTORY

1. New article 7 and section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 69, No. 23.
2. Change without regulatory effect repealing section filed 3-19-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 12).
§942.1. Number of Junior Operators in An Establishment. [Repealed]
History

HISTORY

1. Amendment filed 12-16-53; effective thirtieth day thereafter (Register 53, No. 23).
2. Amendment filed 2-16-71; effective thirtieth day thereafter (Register 71, No. 8).
3. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§943. Approved Providers. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7312 and 7392, Business and Professions Code. Reference: Section 7392, Business and Professions Code.
HISTORY

1. New section filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
2. Change without regulatory effect repealing section filed 3-19-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 12).
§944. Course Provider Responsibilities. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7312 and 7392, Business and Professions Code; and  Section 15376, Government Code. Reference: Section 7392, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New section filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
2. Change without regulatory effect repealing section filed 3-19-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 12).
§945. Course Approval. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7312 and 7392, Business and Professions Code. Reference: Section 7392, Business and Professions Code.
HISTORY

1. Repealer of article 5 and section and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 87, No. 43.
2. Change without regulatory effect repealing section filed 3-19-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 12).
§946. Provider Advertising. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7312 and 7392, Business and Professions Code. Reference: Section 7392, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 87, No. 43.
2. Change without regulatory effect repealing section filed 3-19-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 12).
§947. Continuing Education Hours. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7312 and 7392, Business and Professions Code. Reference: Section 7392, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 87, No. 43.
2. Change without regulatory effect repealing section filed 3-19-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 12).
§948. Provider Instructor Qualifications. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7392, Business and Professions Code. Reference: Section 7392, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 87, No. 43.
2. Change without regulatory effect repealing section filed 3-19-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 12).
§949. Authority to Audit Records and Rescind Provider Status. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7312 and 7392, Business and Professions Code. Reference: Sections 7392 and 7395, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 87, No. 43.
2. Change without regulatory effect repealing section filed 3-19-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 12).
§950. Continuing Education Hours. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Sections 7332.5 and 7436, Business and Professions Code.
HISTORY

1. New section filed 10-20-87; operative 11-19-87 (Register 87, No. 43).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§950.1. Curriculum for Barbering Course.
Note     •     History

(a) The curriculum for students enrolled in a barbering course shall consist of fifteen hundred (1500) hours of technical instruction and practical training covering all practices of a barber pursuant to Section 7316 of the Barbering and Cosmetology Act. 
(b) For the purpose of this section, technical instruction shall mean instruction by demonstration, lecture, classroom participation, or examination; practical operations shall mean the actual performance by the student of a complete service on another person or on a mannequin. Practical training shall mean the time it takes to perform a practical operation. Technical instruction and practical training shall include the following hours:
(1) 1100 Hours of Technical Instruction and Practical Training in Hair Dressing
The required subjects of instruction in Hair Dressing shall be completed with the minimum hours of technical instruction and practical operations for each subject-matter as follows: 
Hairstyling (65 hours of Technical Instruction and 240 Practical Operations):
The subject of Hairstyling shall include, but is not limited to, the following techniques and procedures: Hair analysis, shampooing, finger waving, pin curling, comb outs, straightening, waving, curling with hot combs and hot curling irons and blower styling.
Permanent Waving and Chemical Straightening (40 hours of Technical Instruction and 105 Practical Operations): 
The subject of Permanent Waving and Chemical Straightening shall Include, but is not limited to, the following techniques and procedures: Hair analysis, acid and alkaline permanent waving, chemical straightening including the use of sodium hydroxide and other base solutions. 
Hair Coloring and Bleaching (60 hours of Technical Instruction and 50 Practical Operations): 
The subject of Hair Coloring and Bleaching shall include, but is not limited to, the following techniques and procedures (also including, the use of semi-permanent, demi-permanent and temporary colors): Hair analysis, predisposition and strand tests, safety precautions, formula mixing, tinting, bleaching, high and low lights, and the use of dye removers. 
Hair Cutting (20 hour of Technical Instruction and 80 Practical Operations):
The subject of Hair Cutting shall include, but is not limited to, the following techniques and procedures: Use of scissors, razor (shaper), electrical clippers/trimmers, and thinning (tapering) shears for wet and dry cutting. 
(2) 200 Hours of Technical Instruction and Practical Training in Shaving 
The required subjects of instruction in Shaving shall be completed with the minimum hours of technical instruction and practical operations for each subject-matter as follows:
Preparation and Performance (100 hours of Technical Instruction and 40 Practical Operations)
The subject of Preparation and Performance shall include, but is not limited to the following techniques and procedures: Preparing the client's hair for shaving, assessing the condition of the client's skin, performing shaving techniques, applying after-shave antiseptic following facial services, massaging the client's face, rolling cream massages. 
(3) 200 Hours of Technical Instruction in Health and Safety 
The required subjects of instruction in Health and Safety shall be completed with the minimum hours of technical instruction for each subject-matter as follows:
Laws and Regulations (20 hours of Technical Instruction)
The subjects of Laws and Regulations shall include, but is not limited to, the following issues: The Barbering and Cosmetology Act and the Board's Rules and Regulations. 
Health and Safety Considerations (45 hours of Technical Instruction)
Health and Safety/hazardous substances including training in chemicals and health in establishments, material safety data sheets, protection from hazardous chemicals and preventing chemical injuries, health and safety laws and agencies, bacteriology and preventing communicable diseases including HIV/AIDS and Hepatitis B. 
Disinfection and Sanitation (20 hours of Technical Instruction)
The subject of Disinfection and Sanitation shall include, but is not limited to the following techniques and procedures: Disinfection and sanitation including proper procedures to protect the health and safety of the consumer as well as the technician, proper disinfection procedures for equipment used in establishments.
Disinfection shall be emphasized throughout the entire training period and must be performed before use of all instruments and equipment.
Anatomy and Physiology (15 hours of Technical Instruction)
The subjects of Anatomy and Physiology shall include, but is not limited to the following issues: Human Anatomy, Human Physiology. 
(c) The Board recommends that schools provide training in the area of communication skills that includes professional ethics, salesmanship, client record-keeping, decorum, basic tax information relating to booth renters, independent contractors, employees, and employers.
NOTE

Authority cited: Sections 7312 and 7362(b), Business and Professions Code. Reference: Sections 7316, 7321.5(d)(1), 7362.5(a) and 7389, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-18-94; operative 11-17-94 (Register 94, No. 42). For prior history, see Register 93, No. 41.
2. Amendment of subsection (f) filed 4-23-98; operative 5-23-98 (Register 98, No. 17).
3. Repealer and new section filed 11-16-2011; operative 12-16-2011 (Register 2011, No. 46).
§950.2. Curriculum for Cosmetology Course.
Note     •     History

(a) The curriculum for students enrolled in a cosmetology course shall consist of sixteen hundred (1600) hours of technical instruction and practical training covering all practices constituting the art of cosmetology pursuant to Section 7316 of the Barbering and Cosmetology Act.
(b) For the purpose of this section, technical instruction shall mean instruction by demonstration, lecture, classroom participation, or examination; practical operation shall mean the actual performance by the student of a complete service on another person or on a mannequin. Practical training shall mean the time it takes to perform a practical operation. Technical and practical training shall include the following hours and/or operations:
(1) 1100 Hours of Technical Instruction and Practical Training in Hair Dressing 
The required subjects of instruction in Hair Dressing shall be completed with the minimum hours of technical instruction and practical operations for each subject-matter as follows: 
Hairstyling (65 hours of Technical Instruction and 240 Practical Operations)
The subject of Hairstyling shall include, but is not limited to, the following techniques and procedures: Hair analysis, shampooing, finger waving, pin curling, comb outs, straightening, waving, curling with hot combs and hot curling irons and blower styling.
Permanent Waving and Chemical Straightening (40 hours of Technical Instruction and 105 Practical Operations)
The subject of Permanent Waving and Chemical Straightening shall include, but is not limited to, the following techniques and procedures: Hair analysis, acid and alkaline permanent waving, chemical straightening including the use of sodium hydroxide and other base solutions. 
Hair Coloring and Bleaching (60 hours of Technical Instruction and 50 Practical Operations)
The subject of Hair Coloring and Bleaching shall include, but is not limited to, the following techniques and procedures (also including, the use of semi-permanent, demi-permanent and temporary colors): Hair analysis, predisposition and strand tests, safety precautions, formula mixing, tinting, bleaching, high and low lights, and the use of dye removers 
Hair Cutting (20 hours of Technical Instruction and 80 Practical Operations)
The subject of Hair Cutting shall include, but is not limited to, the following techniques and procedures: Use of scissors, razor (shaper), electrical clippers/trimmers, and thinning (tapering) shears for wet and dry cutting. 
(2) 200 Hours of Technical Instruction in Health and Safety 
The required subjects of instruction in Health and Safety shall be completed with the minimum hours of technical instruction for each subject-matter as follows:
Laws and Regulations (20 hours of Technical Instruction)
The subjects of Laws and Regulations shall include, but is not limited to, the following issues: The Barbering and Cosmetology Act and the Board's Rules and Regulations. 
Health and Safety Considerations (45 hours of Technical Instruction)
The subject of Health and Safety shall include, but is not limited to, the following techniques and procedures: Cosmetology chemistry including the chemical composition and purpose of cosmetic, nail, hair and skin care preparations. Elementary chemical makeup, chemical skin peels and chemical and physical changes of matter. Hazardous substances including training in chemicals and health in establishments, protection from hazardous chemicals and preventing chemical injuries, ergonomics, theory of electricity in cosmetology, bacteriology, communicable diseases, including HIV/AIDS, Hepatitis B, and staph and Material Safety Data Sheets. 
Disinfection and Sanitation (20 hours of Technical Instruction)
The subject of Disinfection and Sanitation shall include, but is not limited to the following techniques and procedures: Disinfection and sanitation including proper procedures to protect the health and safety of the consumer as well as the technician. Proper disinfection procedures for equipment used in establishments.
Disinfection shall be emphasized throughout the entire training period and must be performed before use of all instruments and equipment.
Anatomy and Physiology (15 hours of Technical Instruction)
The subjects of Anatomy and Physiology shall include, but is not limited to the following issues: Human Anatomy, Human Physiology. 
(3) 200 Hours of Technical Instruction and Practical Training in Esthetics 
The required subjects of instruction in Esthetics shall be completed with the minimum hours of technical instruction and practical operations for each subject-matter as follows:
Manual, Electrical and Chemical Facials (25 hours of Technical Instruction and 40 Practical Operations) 
The subject of manual, electrical and chemical facials shall include, but is not limited to the following techniques and procedures: Manual Facials including cleansing, scientific manipulations, packs, and masks. Electrical Facials include the use of electrical modalities, dermal lights and electrical apparatus, for facials and skin care purposes; however, machines capable of producing an electrical current shall not be used to stimulate so as to contract, or for the purpose of contracting, the muscles of the body or face. Chemical Facials include chemical skin peels, packs, masks and scrubs. Training shall emphasize that only the non-living, uppermost layers of facial skin, known as the epidermis, may be removed, and only for the purpose of beautification. All practical operations must be performed in accordance with Section 992 regarding skin peeling. 
Eyebrow Beautification and Make-up (25 hours of Technical Instruction and 30 Practical Operations)
The subject of Eyebrow Beautification shall include, but is not limited to, the following issues: Eyebrow Arching and Hair Removal, including the use of wax, tweezers, electric or manual, and depilatories for the removal of superfluous hair. 
The subject of Makeup shall include, but is not limited to, the following issues: skin analysis, complete and corrective makeup, lash and brow tinting, and the application of false eyelashes.
(4) 100 Hours of Technical Instruction and Practical Training in Manicuring and Pedicuring 
The required subjects of instruction in Manicuring and Pedicuring shall be completed with the minimum hours of technical instruction and practical operation for each subject-matter as follows:
Manicuring and Pedicuring (10 hours of Technical Instruction and 25 Practical Operations)
The subject of Manicuring and Pedicuring shall include, but are not limited to, the following issues: Water and oil manicure, including nail analysis, and hand/foot and arm/ankle massage. 
Artificial Nails and Wraps (25 hours of Technical Instruction and 120 (nails) Practical Operations)
Artificial nails including acrylic: liquid and powder brush-ons, artificial nail tips and nail wraps and repairs 
(c) The Board recommends that schools provide training in the area of communication skills that includes professional ethics, salesmanship, decorum, record keeping, and client service records.
NOTE

Authority cited: Sections 7312, 7362 and 7362.1(c), Business and Professions Code. Reference: Sections 7316(b), 7321(d)(1), 7362, 7362.5(b) and 7389, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-18-94; operative 11-17-94 (Register 94, No. 42). For prior history, see Register 93, No. 41.
2. Repealer and new section filed 1-28-2009; operative 2-27-2009 (Register 2009, No. 5).
3. Change without regulatory effect amending section and Note filed 3-4-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 10).
§950.3. Curriculum for Skin Care Course.
Note     •     History

(a) The curriculum for students enrolled in a skin care course shall consist of six hundred (600) hours of technical instruction and practical training covering all practices of an esthetician pursuant to Section 7316 of the Barbering and Cosmetology Act. 
(b) For the purpose of this section, technical instruction shall mean instruction by demonstration, lecture, classroom participation, or examination; practical operations shall mean the actual performance by the student of a complete service on another person or on a mannequin. Practical training shall mean the time it takes to perform a practical operation. Technical instruction and practical training shall include the following hours: 
(1) 350 Hours of Technical Instruction and Practical Training in Facials 
The required subjects of instruction in Facials shall be completed with the minimum hours of technical instruction and practical operations for each subject-matter as follows: 
Manual, Electrical and Chemical Facials 70 Hours of Technical Instruction and 140 Practical Operations)
The subject of manual, electrical and chemical facials shall include, but is not limited to the following techniques and procedures: Manual Facials including cleansing, scientific manipulations, packs, and masks. Electrical Facials include the use of electrical modalities, dermal lights and electrical apparatus, for facials and skin care purposes; however, machines capable of producing an electrical current shall not be used to stimulate so as to contract, or for the purpose of contracting, the muscles of the body or face. Chemical Facials include chemical skin peels, packs, masks and scrubs. Training shall emphasize that only the non-living, uppermost layers of facial skin, known as the epidermis, may be removed, and only for the purpose of beautification. All practical operations must be performed in accordance with Section 992 regarding skin peeling. 
Preparation (15 hours of Technical Instruction)
The subject of Preparation shall include, but not be limited to the following issues: Client consultation, intake procedures, contraindications, professionalism, client record keeping, pre and post operative care, CPR/AED, salon and spa skills. 
(2) 200 Hours of Technical Instruction in Health and Safety
The required subjects of instruction in Health and Safety shall be completed with the minimum number of hours of technical instruction for each subject-matter as follows:
Laws and Regulations (10 hours of Technical Instruction)
The subject of Laws and Regulations shall include, but is not limited to, the following issues: The Barbering and Cosmetology Act and the Board's Rules and Regulations. 
Health and Safety Considerations (40 hours of Technical Instruction)
The subject of Health and Safety shall include, but is not limited to, the following techniques and procedures: Training in chemicals and health in establishments, material safety data sheets, protection from hazardous chemicals and preventing chemical injuries, health and safety laws and agencies, communicable diseases including HIV/AIDS and Hepatitis B. Chemical composition and purpose of cosmetic and skin care preparation. Elementary chemical makeup, chemical skin peels, physical and chemical changes of matter. Electrical current, principles of operating electrical devices, and the various safety precautions used when operating electrical equipment. 
Disinfection and Sanitation (10 hours of Technical Instruction)
The subject of Disinfection and Sanitation shall include, but is not limited to, the following techniques and procedures: Procedures to protect the health and safety of the consumer as well as the technician. Proper disinfection procedures. 
Disinfection shall be emphasized throughout the entire training period and must be performed before use of all instruments and equipment. 
Anatomy and Physiology (15 Hours of Technical Instruction)
The subjects of Anatomy and Physiology shall include, but is not limited to the following issues: Human Anatomy, Human Physiology, Bacteriology, skin analysis and conditions. 
(3) 50 Hours of Technical Instruction and Practical Training in Hair Removal and Make-up 
The required subjects of instruction in Hair Removal shall be completed with the minimum hours of technical instruction and practical operations for each subject-matter as follows: 
Eyebrow Beautification (25 hours of Technical Instruction and 50 Practical Operations)
The subject of Eyebrow Beautification shall include, but is not limited to, the following issues: Eyebrow shaping and hair removal techniques, hair analysis, waxing, tweezing, manual or electrical depilatories. 
Make-up (20 hours of Technical Instruction and 40 Practical Operations)
The subject of Make-up shall include, but is not limited to, the following issues: Skin analysis, basic and corrective application, application of false eyelashes. 
(c) The Board recommends that schools provide training in the area of communication skills that includes professional ethics, salesmanship, decorum, record keeping, client service records, basic tax information relating to booth renters, independent contractors, employees, and employers. 
NOTE

Authority cited: Sections 7312, 7362 and 7364, Business and Professions Code. Reference: Sections 7316(c)(1), 7324(d)(1), 7362, 7364 and 7389, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-18-94; operative 11-17-94 (Register 94, No. 42). For prior history, see Register 93, No. 41.
2. Change without regulatory effect amending subsection (b)(9) filed 11-18-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
3. Repealer and new section filed 2-11-2009; operative 3-13-2009 (Register 2009, No. 7).
§950.4. Curriculum for Nail Care Course.
Note     •     History

(a) The curriculum for students enrolled in a nail care course shall consist of not less than four hundred (400) hours of technical instruction and practical training covering all practices of a manicurist, pursuant to Section 7316 of the Barbering and Cosmetology Act.
(b) For the purpose of this section, technical instruction shall mean instruction by demonstration, lecture, classroom participation, or examination; practical operations shall mean the actual performance by the student of a complete service on another person or on a mannequin. Practical training shall mean the time it takes to perform a practical operation. Technical instruction and practical training shall include the following hours:
(1) 300 Hours of Technical Instruction and Practical Training in Nail Care
The required subjects of instruction in Nail Care shall be completed with the minimum hours of technical instruction and practical operations for each subject matter as follows:
Manicures and Pedicures (60 hours of Technical Instruction, 60 Practical Operations and 180 nails)
The subject of Manicures and Pedicures shall include, but is not limited to, the following techniques and procedures: Water and oil manicures including hand and arm massage, complete pedicure including foot and ankle massage, application of artificial nails including liquid, gel, and powder brush-ons, nail tips, nail wraps and repairs, and nail analysis. 
(2) 100 Hours of Technical Instruction and Practical Training in Health and Safety
The required subjects of instruction in Health and Safety shall be completed with the minimum number of hours of technical instruction and practical operations for each subject-matter as follows:
Laws and Regulations (10 hours of Technical Instruction)
The subject of Laws and Regulations shall include, but is not limited to, the following issues: The Barbering and Cosmetology Act and the Board's Rules and Regulations.
Health and Safety Considerations (25 hours of Technical Instruction)
The subject of Health and Safety shall include, but is not limited to, the following techniques and procedures: Chemistry pertaining to the practices of a manicurist including the chemical composition and purpose of nail care preparations. Health and Safety/Hazardous Substances, including training in chemicals and health in establishments, material safety data sheets, protection from hazardous chemicals and preventing chemical injuries, health and safety laws and agencies, ergonomics, and communicable diseases, including HIV/AIDS and Hepatitis B. 
Disinfection and Sanitation (20 hours of Technical Instruction and 10 Practical Operations)
The subject of Disinfection and Sanitation shall include, but is not limited to, the following techniques and procedures: Procedures to protect the health and safety of the consumer as well as the technician. 
The ten required minimum operations shall entail performing all necessary functions for disinfecting instruments and equipment as specified in Sections 979 and 980. Disinfection shall be emphasized throughout the entire training period and must be performed before use of all instruments and equipment, with special attention given to pedicure foot spa and basin disinfection procedures detailed in Sections 980.1, 980.2 and 980.3.
Bacteriology, Anatomy and Physiology (10 hours of Technical Instruction)
The subjects of Anatomy and Physiology shall include, but is not limited to the following issues: Bacteriology, anatomy, physiology, and nail analysis and conditions. 
(c) The Board recommends that schools provide training in the area of communication skills that includes professional ethics, salesmanship, decorum, record-keeping, client service record cards, basic tax responsibilities related to independent contractors, booth renters, employees, and employers.
NOTE

Authority cited: Sections 7312, 7362 and 7365, Business and Professions Code. Reference: Sections 7316(c)(2), 7326(d)(1), 7362, 7365 and 7389, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-18-94; operative 11-17-94 (Register 94, No. 42). For prior history, see Register 93, No. 41.
2. Repealer and new section filed 11-16-2011; operative 12-16-2011 (Register 2011, No. 46).
§950.5. Curriculum for Electrolysis Course.
Note     •     History

(a)The curriculum for students enrolled in an electrology course shall consist of six hundred (600) hours of technical instruction and practical training covering all practices constituting the art of electrology pursuant to section 7316 of the Barbering and Cosmetology Act. 
(b) For the purpose of this section, technical instruction shall mean instruction by demonstration, lecture, classroom participation, or examination; practical operations shall mean the actual performance by the student of a complete service on another person. Practical training shall mean the time it takes to perform a practical operation. Technical instruction and practical training shall include the following hours:
(1) 400 Hours of Technical Instruction and Practical training in Electrolysis, Thermolysis, Blend/Dual Modality and Electricity
The required subjects of instruction in electrolysis, thermolysis, blend/dual modality and electricity shall be completed with the minimum hours of technical instruction and practical operations for each subject-matter as follows:
Electrolysis (45 hours of Technical Instruction and 60 Practical Operations)
The subject of Electrolysis shall include the study of epilation using single and multiple-needle insertion techniques, the use of galvanic current, skin reactions and anaphoresis and cataphoresis, and evaluating a client's health history for compatibility with electrolysis treatments.
Thermolysis (45 hours of Technical Instruction and 60 Practical Operations)
The subject of Thermolysis shall include the study of epilation using automatic and manual thermolysis equipment, insertion techniques, the use of high frequency current in both high and low intensities, skin reactions, and evaluating a client's health history for compatibility with thermolysis treatments.
Blend/Dual Modality (45 hours of Technical Instruction and 60 Practical Operations)
The subject of Blend/Dual Modality shall include the study of epilation using a combination of high frequency and galvanic currents, insertion techniques, skin reactions and anaphoresis and cataphoresis, and evaluating a client's health history for compatibility with Blend/Dual Modality treatments.
Electricity (15 hours of Technical Instruction)
The subject of Electricity shall include the nature of electrical current; principles of operating electrical devices; various safety precautions to be applied when operating electrical equipment, and proper maintenance of equipment.
(2) 200 Hours of Technical Instruction in Health and Safety
The required subjects of instruction in Health and Safety shall be completed with the minimum hours of technical instruction for each subject-matter as follows:
Laws and Regulations (20 Hours of Technical Instruction)
The subject of Laws and Regulations shall include, but is not limited to, the following issues: The Barbering and Cosmetology Act and the Board's Rules and Regulations. 
Health and Safety Considerations (45 Hours of Technical Instruction)
The subject of Health and Safety shall include, but is not limited to, bacteriology, and HIV/AIDS, hepatitis, herpes, staphylococcal infections and other communicable diseases and their prevention, ergonomics, electrical safety and material safety data sheets. 
Sterilization (20 Hours of Technical Instruction)
The subject of Sterilization shall include, but is not limited to, the study of proper procedures and techniques for protecting the health and safety of the consumer as well as the technician, and sanitizing equipment used in establishments.
Sterilization and sanitation shall be emphasized throughout the entire training period and must be performed on all instruments and equipment before use. Sterilization times and dates should be monitored and be recorded. 
Anatomy and Physiology (20 Hours of Technical Instruction)
The subjects of Anatomy and Physiology shall include but is not limited to human anatomy and physiology, dermatology and the analysis of skin and hair, and the study of the circulatory, nervous, and endocrine systems.
(c) The Board recommends that schools provide training in the area of communication skills that includes professional ethics, consultation, pre- and post-treatment care, salesmanship, decorum, record keeping, client service records, business skills, and basic tax information relating to independent contractors, employees and employers.
NOTE

Authority cited: Sections 7312 and 7362, Business and Professions Code. Reference: Sections 7316(f), 7330(d)(1), 7362, 7366, and 7389, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-18-94; operative 11-17-94 (Register 94, No. 42). For prior history, see Register 93, No. 41.
2. Repealer and new section and amendment of Note filed 11-16-2011; operative 12-16-2011 (Register 2011, No. 46).
§950.6. Curriculum for Barber Instructor Course. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7312, 7362 and 7390, Business and Professions Code. Reference: Sections 7362, 7390 and 7391(d)(1), Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-18-94; operative 11-17-94 (Register 94, No. 42). For prior history, see Register 93, No. 41.
2. Change without regulatory effect repealing section filed 3-19-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 12).
§950.7. Curriculum for Cosmetology Instructor Course. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7312, 7362 and 7390, Business and Professions Code. Reference: Sections 7362, 7390 and 7391(d)(1), Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-18-94; operative 11-17-94 (Register 94, No. 42). For prior history, see Register 93, No. 41.
2. Change without regulatory effect repealing section filed 3-19-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 12).
§950.8. Curriculum for Barber Crossover Course for Cosmetologists.
Note     •     History

(a) The curriculum for students enrolled in a barber crossover course for cosmetologists shall consist of a minimum of four hundred (400) clock hours of technical instruction and practical operations covering those barber practices that are not a part of the required training or practice of a cosmetologist.
(b) For the purpose of this section, technical instruction shall mean instruction by demonstration, lecture, classroom participation, or examination; practical operation shall mean the actual performance by the student of a complete service on another person or on a mannequin.
(c) A barber school desiring to teach a barber crossover course as prescribed in Section 7321.5 of the code shall apply to the board for approval of such program. Such barber school shall include with its request for approval a copy of the curriculum it proposes to offer. Such curriculum shall include sufficient training in the various aspects of barbering to prepare the student properly for the barber examination and to provide barber services in an establishment. Hazardous substances shall be the course developed by the Board of Barbering and Cosmetology as provided by Section 7389.
(d) A barber school  which offers a 400-hour course shall provide a completion notice to each student who completes that course. Such notice shall be included with a proof of training document pursuant to Section 909.
NOTE

Authority cited: Sections 7312 and 7362, Business and Professions Code. Reference: Sections 7316(a), 7321.5(d)(5) and 7362, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-18-94; operative 11-17-94 (Register 94, No. 42). For prior history, see Register 93, No. 41.
§950.9. Curriculum for Cosmetology Crossover Course for Barbers.
Note     •     History

(a) The curriculum for students enrolled in a cosmetology crossover course for barbers shall consist of a minimum of four hundred (400) clock hours of technical instruction and practical operations covering those cosmetological practices that are not a part of the required training or practice of a barber.
(b) For the purposes of this section, technical instruction shall mean instruction by demonstration, lecture, classroom participation, or examination; practical operation shall mean the actual performance by the student of a complete service on another person or on a mannequin. Such instruction shall include:

		Minimum
		Hours of	Minimum
		Technical	Practical
	Subject	Instruction	Operations

	(1) The Barbering and Cosmetology Act
	and the Board's Rules and Regulations.		10

	(2) Cosmetology Chemistry
	(Shall include the chemical composition
	and purpose of cosmetic, nail, hair and
	skin care preparations. Shall also
	include the elementary chemical makeup,
	chemical skin peels, physical and chemical
	changes of matter.)		5

	(3) Health and Safety/Hazardous Substances
	(Shall include training in chemicals and
	health in establishments, material safety
	data sheets, protection from hazardous
	chemicals and preventing chemical injuries,
	health and safety laws and agencies,
	ergonomics, and communicable diseases,
	including HIV/AIDS and Hepatitis B.)		20

	(4) Theory of Electricity in Cosmetology
	(Shall include the nature of electrical
	current, principles of operating electrical
	devices, and the various safety precautions
	used when operating electrical equipment.)		5

	(5) Disinfection and sanitation
	(Shall include procedures to protect the
	heath and safety of the consumer as well
	as the technician. The ten required minimum
	operations shall entail performing all
	necessary functions for disinfecting
	instruments and equipment as specified in
	Sections 979 and 980. Disinfection should
	be emphasized throughout the entire training
	period and must be performed before use of
	all instruments and equipment.)		10	10

	(6) Bacteriology, anatomy and physiology.		5

	(7) Wet Hair Styling
	(Shall include hair analysis, fingerwaving,
	pin curling and comb-outs.)		10	35

	(8) Thermal Hair Styling
	(Shall include hair analysis, straightening,
	waving, curling with hot combs and hot
	curling irons.)		5	15

	(9) Permanent Waving
	(Shall include hair analysis, sectioning
	patterns, chemical and heat permanent
	waving.)		10	35

	(10) Chemical Straightening
	(Shall include hair analysis and the use of

sodium hydroxide and other base solutions.)		5	10

		Minimum
		Hours of	Minimum
		Technical	Practical
	Subject	Instruction	Operations

	(11) Haircutting
	(Shall include hair analysis, basic guideline
	and sectioning, the use of the razor,
	scissors for wet and dry cutting.)		2	10

	(12) Haircoloring and Bleaching
	(Shall include hair analysis, predisposition
	tests, safety precautions, formula mixing,
	tinting, bleaching, and the use of dye
	removers. Shall not include any credit for
	color rinses.)

	(A) Haircoloring		20	15

	(B) Bleaching			5

	(13) Scalp and Hair Treatments
	(Shall include hair analysis, scientific
	brushing.)		2	5

	(14) Facials

	(A) Manual
	(Shall include cleansing, scientific manipulations,
	packs, and masks.)		2	5

	(B) Electrical
	(Shall include the use of all electrical
	modalities, including dermal lights and
	electrical apparatus for facials and skin
	care purposes.)		7	5

	(C) Chemicals
	(Shall include chemical skin peels, packs,
	masks and scrubs. Training shall emphasize
	that only the non-living, uppermost layers of
	facial skin, known as the epidermis, may be
	removed, and only for the purpose of beautification.
	All practical operations must be performed
	in accordance with Section 992 regarding
	skin peeling.)		10	15

	(15) Eyebrow Arching and Hair Removal
	(Shall include the use of wax, tweezers,
	electric or manual, and depilatories for the
	removal of superfluous hair.)		5	5

	(16) Makeup
	(Shall include skin analysis, complete and
	corrective makeup, lash and brow tinting,
	and the application of false eyelashes.)		5	10

	(17) Manicuring and Pedicuring

	(A) Water and oil manicure, including nail
	analysis, and hand and arm massage.		5	15

	(B) Complete pedicure, including nail
	analysis, and foot and ankle massage.		1	3

	(C) Artificial nails

	1. Acrylic: Liquid and powder brush-ons		5	10 Nails

	2. Artificial nail tips		3	10 Nails

	3. Nail wraps and repairs		2	5 Nails
(c) The board recommends that schools provide training in the area of communication skills that includes professional ethics, salesmanship, decorum, record keeping, and client service record cards.
(d) No credit of any type shall be given for time spent in laundering towels or in washing or scrubbing floors, walls, woodwork, toilets, or windows.
NOTE

Authority cited: Sections 7312, 7362 and 7390, Business and Professions Code. Reference: Sections 7316(b), 7321(d)(4), 7362, 7389 and 7390, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-18-94; operative 11-17-94 (Register 94, No. 42). For prior history, see Register 93, No. 41.
§950.10. Credit for Special License and Transfer of Training.
Note     •     History

(a) A student transferring from one course of study to another, or a holder of a special license (e.g., manicurist or esthetician) who enrolls in a general course of study (e.g., cosmetologist), shall receive credit for total clock hours completed and credit for and a balance of the minimum hours of technical instruction and the minimum practical operations required in each applicable subject as follows:
(1) Total Clock Hours Credit.
(A) Cosmetologist course to esthetician course. A student transferring from the cosmetologist course to the esthetician course shall receive a credit of 35 percent of the total clock hours earned while enrolled in the cosmetologist course.
(B) Cosmetologist course to manicurist course. A student transferring from the cosmetologist course to the manicurist course shall receive a credit of 20 percent of the total clock hours earned while enrolled in the cosmetologist course.
(C) Esthetician course to cosmetologist course. A student transferring from the esthetician course to the cosmetologist course shall receive a credit of 65 percent of the total clock hours earned while enrolled in the esthetician course. A holder of a esthetician license enrolling in the cosmetologist course shall receive a credit of 65 percent of the total clock hours required for the esthetician course. 
(D) Manicurist course to cosmetologist course. A student transferring from the manicurist course to the cosmetologist course shall receive a credit of 70 percent of the total clock hours earned while enrolled in the manicurist course. A holder of a manicurist license enrolling in the cosmetologist course shall receive a credit of 70 percent of the total clock hours required for the manicurist course.
(2) Credit and balance for the minimum hours of technical instruction and minimum practical operations required. A student transferring from one course of study to another, or a holder of a special license who enrolls in a general course of study, shall receive a credit and balance for the minimum hours of technical instruction and minimum practical operations required by subtracting the number of hours and operations earned by the student or licensee while enrolled in the prior course from the minimum hours of technical instruction and minimum practical operations required for the new course in each applicable subject. If the student has earned more hours or operations in the prior course than are required in a specific subject of the new course, then that student's balance of hours and operations required in that subject shall be zero.
(b) Credit for a special course shall not be given to a student in the cosmetologist course until completion of the number of hours of instruction and training in a school of cosmetology which, when added to the number of hours for which the student is entitled to credit for the special course, will equal the minimum number of hours required for completion of the cosmetologist course.
(c) Effective until January 1, 2009, training received as an apprentice may be credited toward a course of training in a school. The maximum amount of hours that can be transferred from an apprenticeship program to a course of training in school shall not exceed 800 hours as reasonably determined by the school to which the apprentice is transferring and shall not exceed 50% credit for each hour earned as an apprentice. After January 1, 2009, training received as an apprentice shall not be credited toward a course of training in a school.
(d) Training received in a school shall not be credited toward training in an apprenticeship program.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7367, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-18-94; operative 11-17-94 (Register 94, No. 42). For prior history, see Register 93, No. 41.
2. Amendment of subsection (c) and new subsection (d) filed 9-11-2007; operative 10-11-2007 (Register 2007, No. 37).
§950.11. Passing Grades in Examinations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7310 and 7372.1, Business and Professions Code. Reference: Sections 7371 and 7372, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 961 to section 950.11 filed 10-4-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 41).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§950.12. Work upon Paying Patrons.
Note     •     History

(a) A student enrolled in a school shall not be permitted to work upon a patron paying for services until he or she has completed the freshman period of training and instruction. The freshman period shall be 10 percent of the total training hours specified for each course.
(b) A student enrolled in a school shall not be permitted to work upon a patron paying for a service until the student has completed technical instruction and practical training in the service for which a patron is paying.
(c) For the purpose of this section, technical instruction shall mean instruction by demonstration, lecture, classroom participation, or examination; practical training shall mean the actual performance by the student of a complete service on another person or on a mannequin.
NOTE

Authority cited: Sections 7312 and 7362, Business and Professions Code. Reference: Sections 7362(b), 7362.5, 7364, 7365, and 7366, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-18-94; operative 11-17-94 (Register 94, No. 42). For prior history, see Register 93, No. 41.
§951. Instructor Qualifications. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Sections 7332.5 and 7436, Business and Professions Code.
HISTORY

1. New section filed 10-20-87; operative 11-19-87 (Register 87, No. 43).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§952. Authority to Audit Records and Rescind Provider Status. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Sections 7332.5 and 7436, Business and Professions Code.
HISTORY

1. New section filed 10-20-87; operative 11-19-87 (Register 87, No. 43).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§959. Failure to Appear for Examination--Good Cause Defined. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7310 and 7376.5, Business and Professions Code. Reference: Section 7376.5, Business and Professions Code.
HISTORY

1. Amendment filed 6-4-69; effective thirtieth day thereafter (Register 69, No. 23). For prior history, see Register 62, No. 25.
2. Amendment of subsection (a) filed 3-29-72; effective thirtieth day thereafter (Register 72, No. 14).
3. Amendment filed 4-2-75 as an emergency; effective upon filing (Register 75, No. 14).
4. Certificate of Compliance filed 5-22-75 (Register 75, No. 21).
5. Amendment filed 2-11-86; effective thirtieth day thereafter (Register 86, No. 7).
6. Repealer of article 6 and section filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§959.1. Experience Requirements for Cosmetology Instructors. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Section 7346, Business and Professions Code.
HISTORY

1. Amendment filed 2-16-71; effective thirtieth day thereafter (Register 71, No. 8). For prior history, see Register 61, No. 2.
2. Amendment of subsection (a) filed 3-29-72; effective thirtieth day thereafter (Register 72, No. 14).
3. Amendment filed 4-10-80; effective thirtieth day thereafter (Register 80, No. 15).
4. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§959.2. Experience Requirements for Electrology Instructors. [Repealed]
History

HISTORY

1. New section filed 2-16-71; effective thirtieth day thereafter (Register 71, No. 8).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§960. Practical Examinations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7310 and 7372.1, Business and Professions Code. Reference: Section 7372.1, Business and Professions Code.
HISTORY

1. Amendment filed 1-23-61; effective thirtieth day thereafter (Register 61, No. 2).
2. Amendment filed 12-14-62; effective thirtieth day thereafter (Register 62, No. 25).
3. Amendment of subsection (b) filed 2-16-71; effective thirtieth day thereafter (Register 71, No. 8).
4. Amendment filed 2-11-86; effective thirtieth day thereafter (Register 86, No. 7).
5. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§960.5. Use of Interpreter and Interpreter/Model. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Sections 7371 and 7372.1, Business and Professions Code.
HISTORY

1. New section filed 2-11-86; effective thirtieth day thereafter (Register 86, No. 7).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§961. Text and Reference Books for Students.
Note     •     History

(a) In teaching, schools shall use text and reference books approved by the board. They may use other teaching material to supplement the approved text and reference books.
(b) Each student shall possess the following:
(1) At least one (1) of the textbooks approved by the board.
(2) The Performance Criteria developed by the board.
(3) The Barbering and Cosmetology Act and the Rules and Regulations of the Board of Barbering and Cosmetology.
(c) There shall be available for the use of students in the school:
(1) A list of the text and reference books approved by the board.
(2) Any two approved texts other than the one text possessed by the student. (Shall not apply to barber schools if there are less than three approved texts.)
NOTE

Authority cited: Sections 7312 and 7362, Business and Professions Code. Reference: Section 7362, Business and Professions Code.
HISTORY

1. New section filed 10-18-94; operative 11-17-94 (Register 94, No. 42). For prior history, see Register 93, No. 41.
§961.1. Inspection of Examination Papers. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Sections 496 and 7372.5, Business and Professions Code.
HISTORY

1. Renumbering of former section 964 to section 961.1 filed 2-11-86; effective thirtieth day thereafter (Register 86, No. 7).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§961.5. Examination Failure. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Sections 7371 and 7372.2, Business and Professions Code.
HISTORY

1. New section filed 2-16-71; effective thirtieth day thereafter (Register 71, No. 8).
2. Amendment of section and NOTE filed 4-8-77; effective thirtieth day thereafter (Register 77, No. 15).
3. Repealer filed 7-10-84; effective thirtieth day thereafter (Register 84, No. 28).
Article 8.5. Externship
§962. Definitions.
Note     •     History

(a) For purposes of Section 7395.1 as specified in subdivision (c)(3) of the Business and Professions Code, the term “good standing” means the following:
(1) The licensee maintains a valid, current barber, cosmetology, esthetician, or manicurist license issued by the Board of Barbering and Cosmetology.
(2) There is no current or pending discipline against the license pursuant to Article 11 of the Barbering and Cosmetology Act.
(3) The licensee has no unpaid fine issued pursuant to Article 12 of the Barbering and Cosmetology Act.
(b) For purposes of Section 7395.1 as specified in subdivision (g)(3) of the Business and Professions Code, the term “appropriate training” means the student extern has completed 60% of the required minimum practical operations and minimum hours of technical instruction set forth in Sections 950.2-950.4 of this division.
(c) For purposes of Section 7395.1 as specified in subdivision (g)(3) of the Business and Professions Code, the term “chemical treatment” means any product or procedure, including the preparation and/or application of the product, that alters or changes the molecular structure of the hair, skin or nails through the chemical treatments. These treatments may include, but are not limited to the following:
(1) permanent waving
(2) soft permanent waving
(3) chemical straightening
(4) sodium hydroxide and other base solutions
(5) hair coloring and bleaching (semi-permanent and permanent)
(6) chemical skin peel products
(7) depilatory products
(8) lash and brow tinting products
(d) For purposes of Section 7395.1 subdivision (g)(3) of the Business and Professions Code, the term “direct and immediate supervision” means the student extern may work on a paying client, only in an assisting capacity, when a designated licensee is present to oversee the work process. The tasks performed by the student extern must be within the scope of practice of the designated licensee who is supervising the student extern.
(e) For purposes of Section 7395.1 subdivision (g)(3) of the Business and Professions Code, the term “directly supervised” means the student extern may not use or apply chemical treatments unless a designated licensee is present to oversee the work process. The tasks performed by the student extern must be within the scope of practice of the designated licensee who is supervising the student extern.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7395.1, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 3-29-72; effective thirtieth day thereafter (Register 72, No. 14).
2. Amendment filed 8-1-80; effective thirtieth day thereafter (Register 80, No. 31).
3. Repealer filed 2-11-86; effective thirtieth day thereafter (Register 86, No. 7).
4. New article 8.5 and section filed 12-19-95; operative 1-18-96 (Register 95, No. 51).
§962.1. Notification of Participation in the Cosmetology Externship Program.
Note     •     History

(a) It is the responsibility of each participating school to ensure that the establishments and licensees participating in the cosmetology externship program remain in good standing as defined in Section 962. Any change in “good standing” status of a participating establishment or licensee will require the establishment or licensee to withdraw from the program.
(b) Board notification by schools and establishments participating in the Cosmetology Externship Program shall be submitted to the board in writing. Notification of participation shall be updated annually to allow for continued participation in the program. The notification shall be prepared by the school and shall include the following information:
(1) The school's name, address, telephone number, and school code issued by the board.
(2) The establishment's name, address, telephone number, and license number issued by the Board.
(3) The establishment owner's name.
(4) A statement, dated and signed under penalty of perjury by the school, and the establishment that all information on the document is true and correct and that the school and establishment have complied with all requirements of this Article and Section 7395.1 of the Business and Professions Code. The statement shall be worded as follows: “We the undersigned, certify under penalty of perjury under the laws of the State of California, that all the information contained herein is true and correct. We have complied with all requirements of Article 8.5 of Division 9 of Title 16 of the California Code of Regulations and Section 7395.1 of the Business and Professions Code”.
(5) The document must include the name and title of the individual signing for the school clearly printed or typed.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7395.1, Business and Professions Code.
HISTORY

1. New section filed 12-19-95; operative 1-18-96 (Register 95, No. 51).
§962.2. Laminated School Identification.
Note     •     History

(a) While working in an approved establishment, all students participating in the externship program shall have in their possession a school laminated photographic identification card.
(b) The school laminated photographic identification card shall be at least 2 1/2” x 3 1/2” in size and contain the following information: the student extern's full name (first, middle initial, last); a current, color, full face photograph of the extern at least 1 1/2” by 1 1/2” in size; the term “STUDENT EXTERN” in type at least 14 point; and the name of the school of cosmetology where the student extern is enrolled.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7395.1, Business and Professions Code.
HISTORY

1. New section filed 12-19-95; operative 1-18-96 (Register 95, No. 51).
§962.3. Externship Curriculum for Cosmetology Students. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7395.1, Business and Professions Code.
HISTORY

1. New section filed 12-19-95; operative 1-18-96 (Register 95, No. 51).
2. Repealer filed 11-16-2011; operative 12-16-2011 (Register 2011, No. 46).
§962.4. Externship Curriculum for Skin Care Students. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7395.1, Business and Professions Code.
HISTORY

1. New section filed 12-19-95; operative 1-18-96 (Register 95, No. 51).
2. Repealer filed 11-16-2011; operative 12-16-2011 (Register 2011, No. 46).
§962.5. Externship Curriculum for Nail Care Students. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7395.1, Business and Professions Code.
HISTORY

1. New section filed 12-19-95; operative 1-18-96 (Register 95, No. 51).
2. Repealer filed 11-16-2011; operative 12-16-2011 (Register 2011, No. 46).
§962.6. Externship Curriculum for Cosmetology Crossover Course for Barber Students. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7395.1, Business and Professions Code.
HISTORY

1. New section filed 12-19-95; operative 1-18-96 (Register 95, No. 51).
2. Repealer filed 11-16-2011; operative 12-16-2011 (Register 2011, No. 46).
§963. Proof of Eligibility for Examination, Out-of-State Applicants. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Sections 7332, 7342, 7351, 7355 and 7394, Business and Professions Code.
HISTORY

1. New section filed 6-25-58; effective thirtieth day thereafter (Register 58, No. 11). For history of former section, see Register 56, No. 18.
2. Amendment filed 1-23-61; effective thirtieth day thereafter (Register 61, No. 2).
3. Amendment filed 2-11-86; effective thirtieth day thereafter (Register 86, No. 7).
4. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§963.6. Preapplication for Examination. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7310 and 7377, Business and Professions Code. Reference: Section 7377, Business and Professions Code.
HISTORY

1. New section filed 5-29-92; operative 6-29-92 (Register 92, No. 22).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§964. Inspection of Examination Papers. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Sections 496 and 7372.5, Business and Professions Code.
HISTORY

1. New section filed 12-16-53; effective thirtieth day thereafter (Register 53, No. 23).
2. Amendment filed 9-26-56; effective thirtieth day thereafter (Register 56, No. 18).
3. Amendment filed 12-14-59; effective thirtieth day thereafter (Register 59, No. 21).
4. Amendment filed 6-4-69; effective thirtieth day thereafter (Register 69, No. 23).
5. Renumbering of Section 964 to Section 961.1 filed 2-11-86; effective thirtieth day thereafter (Register 86, No. 7).
Article 9. Licenses
§965. Display of Licenses.
Note     •     History

(a) All operators' licenses shall be conspicuously posted at their primary work stations.
(b) All establishment licenses shall be conspicuously posted in the reception areas.
(c) No license which has expired or become invalid for any reason whatever shall be displayed by any person in connection with the practices as defined in Section 7316 of the Business and Professions Code. Any license so displayed shall be surrendered to the board upon its request.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Sections 7316, 7317, 7332, 7342, 7397, 7414, 7415, 7417, 7418, 7419 and 7420, Business and Professions Code.
HISTORY

1. Repealer of article 7 and new article 9 and section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 59, No. 21.
§966. Inactive Barber and Cosmetology Instructor License Status. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7312, Business and Professions Code. Reference: Sections 7392, 7393 and 7394, Business and Professions Code.
HISTORY

1. Repealer and new article 9 and section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 87, No. 33.
2. Change without regulatory effect repealing section filed 3-19-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 12).
§967. Consumer Information. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7310 and 7311, Business and Professions Code. Reference: Section 7411, Business and Professions Code.
HISTORY

1. Amendment filed 3-28-80; effective thirtieth day thereafter (Register 80, No. 13).
2. Amendment filed 7-10-84; effective thirtieth day thereafter (Register 84, No. 28).
3. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§968. Physical Facilities of Schools and Establishments. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7310 and 7311, Business and Professions Code. Reference: Sections 7311, 7380, 7384.5, 7384.6, 7392 and 7395, Business and Professions Code.
HISTORY

1. Amendment of subsection (b)(2) filed 10-8-70; effective thirtieth day thereafter (Register 70, No. 41). For prior history see Register 69, No. 33.
2. Amendment of subsection (d), new subsection (e) and relettering of subsections (e), (f) and (g) to (f), (g) and (h) filed 2-16-71; effective thirtieth day thereafter (Register 71, No. 8).
3. Amendment of subsection (b) filed 3-29-72; effective thirtieth day thereafter (Register 72, No. 14).
4. Amendment filed 3-28-80; effective thirtieth day thereafter (Register 80, No. 13).
5. Amendment filed 7-10-84; effective thirtieth day thereafter (Register 84, No. 28).
6. Amendment of subsections (b)-(f) filed 2-11-86; effective thirtieth day thereafter (Register 86, No. 7).
7. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
Article 10. Disciplinary Proceedings
§969. Delegation of Certain Functions.
Note     •     History

The power and discretion conferred by law upon the board to receive and file accusations; issue notices of hearing, statements to respondent and statements of issues; receive and file notices of defense; determine the time and place of hearings under Section 11508 of the Government Code; issue subpoenas and subpoenas duces tecum; set and calendar cases for hearing and perform other functions necessary to the business-like dispatch of the business of the board in connection with proceedings under the provisions of Sections 11500 through 11528 of the Government Code, prior to the hearing of such proceedings; and the certification and delivery or mailing of copies of decisions under Section 11518 of said code are hereby delegated to and conferred upon the executive officer, or, in the executive officer's absence from the office of the board, the acting executive officer.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Sections 7310 and 7403, Business and Professions Code.
HISTORY

1. New article 10 and section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 84, No. 28.
§970. Substantial Relationship Criteria.
Note     •     History

For the purpose of denial, suspension, or revocation of a license issued under Chapter 10 of Division 3 of the Business and Professions Code pursuant to Division 1.5 (commencing with Section 475) of that same code, a crime or act shall be considered substantially related to the qualifications, functions, and duties of the licensee if to a substantial degree it evidences present or potential unfitness of the licensee to perform the functions authorized by the licensee in a manner consistent with the public health, safety or welfare. The crimes or acts shall include, but not be limited to, those involving the following:
(a) Any violation of the provisions of Chapter 10 of Division 3 of the Business and Professions Code.
(b) Criminal offenses, including but not limited to, lewd conduct, or use or sale of drugs or narcotics, committed in the course of or in association with the performance of the functions or duties authorized by such license.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Sections 135, 163.5, Division 1.5 (Section 475, et seq.), 7321, 7321.5, 7324, 7326, 7330, 7333 and 7404, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§971. Criteria for Rehabilitation.
Note     •     History

(a) When considering the denial of a licensee, pursuant to section 480 of the Business and Professions Code, for which application has been made under Chapter 10, Division 3 of the Business and Professions Code, the board, in evaluating the rehabilitation of the applicant and his or her present eligibility for a license, shall consider the following criteria:
(1) The nature and the severity of the act(s) or crime(s) under consideration as grounds for denial.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the Business and Professions Code.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(5) Evidence, if any, or rehabilitation submitted by the applicant.
(b) When considering the suspension or revocation of a license, issued under Chapter 10, Division 3 of the Business and Professions Code under Section 490 of that same code, the board, in evaluating the rehabilitation of such person and his or her present eligibility for a license, shall consider the following criteria:
(1) Nature and severity of the act(s) or offense(s).
(2) Total criminal record.
(3) The time that has elapsed since commission of the act(s) or or offense(s).
(4) Whether the licensee has complied with any terms of parole, probation, restitution or any other sanctions imposed against the licensee.
(5) If applicable, evidence of expungement proceedings pursuant to section 1203.4 of the Penal Code.
(6) Evidence, if any, of rehabilitation submitted by the licensee.
(c) When considering a petition for reinstatement of a license, the board shall evaluate evidence of rehabilitation submitted by the petitioner, considering those criteria of rehabilitation specified in subsection (b).
NOTE

Authority cited: Sections 7312, Business and Professions Code. Reference: Division 1.5 (Sections 475, et seq.),  7321, 7321.5, 7324, 7326, 7330, 7333 and 7404, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 84, No. 28.
§972. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), the board shall consider the disciplinary guidelines entitled “Disciplinary Guidelines” (October 2010 Edition) which are hereby incorporated by reference. Deviation from these guidelines, including the standard terms of probation, is appropriate where the board in its sole discretion determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Sections 7403 and 7404, Business and Professions Code.
HISTORY

1. New section filed 6-26-97; operative 7-1-97 (Register 97, No. 26). This interim regulation is exempt from most of the procedural requirements of the Administrative Procedure Act (specifically, from Articles 5 and 6 of Chapter 3.5, Division 3, Title 2, Government Code) and from review by the Office of Administrative Law pursuant to Government Code sections 11400.20 and 11400.21 and will expire on December 31, 1998, unless earlier terminated or replaced by, or readopted as, permanent following the procedures of the Administrative Procedure Act. For prior history, see Register 94, No. 43.
2. Expired by its own terms on 12-31-98 (Register 99, No. 6).
3. Permanent regulation and amendment of “Disciplinary Guidelines” (incorporated by reference) filed 2-3-99; operative 2-3-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 6).
4. Amendment of “Disciplinary Guidelines” (incorporated by reference) and amendment of section and Note filed 10-4-2011; operative 11-3-2011 (Register 2011, No. 40).
§973. Grounds for Immediate Suspension.
Note     •     History

Pursuant to Business and Professions Code section 7403.2, a representative of the board shall make a request to the board's executive officer or his/her designee for an order to immediately suspend temporarily a license and place the license on probation on the grounds that the licensee has any of the following conditions at the licensed establishment or school: 
(a) Pedicure foot spas, basins, or tubs that are not visibly clean;
(b) Pedicure foot spas in which debris has been found upon the removal of screens, jets, foot-plates, or impellers; 
(c) Inadequate cleaning material for the proper disinfection and sanitation of manicuring and/or pedicuring equipment found on-site at the establishment; 
(d) No pedicure cleaning logs; 
(e) A history of repeated health and safety violations pertaining to manicuring or pedicuring equipment; or 
(f) Manicure and/or pedicure implements that are not visibly clean.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7403.2, Business and Professions Code.
HISTORY

1. New section filed 9-17-2007 as an emergency; operative 9-17-2007 (Register 2007, No. 38). A Certificate of Compliance must be transmitted to OAL by 3-17-2008 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 94, No. 43.
2. Certificate of Compliance as to 9-17-2007 order transmitted to OAL 3-4-2008 and filed 4-16-2008 (Register 2008, No. 16).
§973.1. Procedures for Issuing Immediate Suspension.
Note     •     History

The board's executive officer or his/her designee shall render an opinion based upon an inspection conducted by a board representative. The representative shall transmit photographic evidence to the executive officer or his/her designee by means of immediate electronic transmission. Upon receipt of the photographic evidence, the executive officer or his/her designee shall make a determination if action is necessary to protect the public's health and safety. The executive officer or his/her designee shall issue a written notice of immediate suspension. 
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7403.2, Business and Professions Code.
HISTORY

1. New section filed 9-17-2007 as an emergency; operative 9-17-2007 (Register 2007, No. 38). A Certificate of Compliance must be transmitted to OAL by 3-17-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-17-2007 order transmitted to OAL 3-4-2008 and filed 4-16-2008 (Register 2008, No. 16).
§973.2. Content of Immediate Suspension Notice.
Note     •     History

The immediate suspension notice shall contain all of the following:
(a) A statement that describes with particularity the nature of the violation, including a reference to the specific provision that has been violated; 
(b) A statement that the suspension is immediately stayed and the license is placed on probation for one year;
(c) The effective dates of probation; and 
(d) A description of the appeal process. 
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7403.2, Business and Professions Code.
HISTORY

1. New section filed 9-17-2007 as an emergency; operative 9-17-2007 (Register 2007, No. 38). A Certificate of Compliance must be transmitted to OAL by 3-17-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-17-2007 order transmitted to OAL 3-4-2008 and filed 4-16-2008 (Register 2008, No. 16).
§973.3. Terms and Conditions of Probation.
Note     •     History

A licensee that has been subject to immediate suspension and placed on probation pursuant to Business and Professions Code section 7403.2 and regulation section 973, shall comply with the following terms and conditions:
(a) A licensee on probation must submit to the board on a monthly basis a report that indicates the following, and is signed under penalty of perjury:
(1) A copy of all pedicure cleaning logs; and
(2) Proof, if any, of completion of board approved remedial training as defined by regulation section 973.4.
(b) An establishment of a licensee that has been placed on probation shall be inspected on a quarterly basis and may be inspected more frequently. The owner of the establishment is responsible for paying all fees required to cover the costs for inspection. The fee for inspection shall be $42 for each workstation at the establishment. A workstation is a pedicure station or a manicure station. 
(c) A licensee on probation shall pay all administrative fines. In a case of economic hardship, the licensee may request to have a payment plan established by the board. 
(d) A licensee who has been subject to suspension and placed on probation in accordance with section 7403.2 of the Business and Professions Code shall complete an 8-hour board approved remedial training course.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7403.2, Business and Professions Code.
HISTORY

1. New section filed 9-17-2007 as an emergency; operative 9-17-2007 (Register 2007, No. 38). A Certificate of Compliance must be transmitted to OAL by 3-17-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-17-2007 order transmitted to OAL 3-4-2008 and filed 4-16-2008 (Register 2008, No. 16).
§973.4. Remedial Training Defined.
Note     •     History

Remedial training shall be a course of instruction approved by the board that focuses on the disinfection and sanitation of pedicure and manicure equipment. The remedial training course shall specifically address the board's health and safety laws and regulations. 
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7403.2, Business and Professions Code.
HISTORY

1. New section filed 9-17-2007 as an emergency; operative 9-17-2007 (Register 2007, No. 38). A Certificate of Compliance must be transmitted to OAL by 3-17-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-17-2007 order transmitted to OAL 3-4-2008 and filed 4-16-2008 (Register 2008, No. 16).
§973.5. Approval of Remedial Training Course.
Note     •     History

(a) In order for a remedial training course to be approved by the board, a provider shall complete an application for course approval that provides the following information to the board:
(1) Description of course contents. The course content shall be pertinent to the health and safety laws and regulations of the board. The course shall focus on the safety and sanitation of pedicure and manicure equipment. 
(2) Method of instruction of course offered. Teaching methods for each course shall be described, e.g. lecture, seminar, audiovisual, etc.
(3) Proof that instructors are qualified to teach the specified course content by virtue of their prior education, training, and experience. A resume of each instructor shall be forwarded with the application for approval.
(4) The application for course approval shall state the name of the provider and location where instruction will be given.
(b) Any modifications or subsequent changes to an approved remedial training course shall meet the requirements provided in this section and are subject to approval of the board.
(c) The board shall withdraw the approval of any course for failure to comply with any provisions of this section. The withdrawal for approval shall continue until such time as the training course provider meets the requirements of this section and obtains written approval from the board. 
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7403.2, Business and Professions Code.
HISTORY

1. New section filed 9-17-2007 as an emergency; operative 9-17-2007 (Register 2007, No. 38). A Certificate of Compliance must be transmitted to OAL by 3-17-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-17-2007 order transmitted to OAL 3-4-2008 and filed 4-16-2008 (Register 2008, No. 16).
§973.6. Appeal Process.
Note     •     History

(a) A licensee that has received an immediate suspension and has been placed on probation may, within 30 calendar days of the date the suspension notice was served, notify the board in writing of his/her request for an informal review hearing before the board's disciplinary review committee.
(b) Upon receipt of the timely request, the board shall schedule a hearing to be held in either Northern or Southern California, whichever is closest to the suspended/probationary licensee. Appeals requested under this section shall be heard at the next regularly scheduled disciplinary review hearing. 
(c) Board staff shall, at least 30 calendar days before the date of the hearing, mail written notice to the probationary licensee of the date, time, and location of the hearing. To expedite the scheduling of a disciplinary review hearing, a licensee that has been placed on probation may waive the 30-day notice by agreeing to do so in writing.
(d) The probationary licensee shall appear at the hearing and may bring legal counsel or an authorized representative to the hearing. The probationary licensee may present written information and/or oral testimony to the disciplinary review committee. The probationary licensee may contest or appeal any of the following aspects of the immediate suspension/probationary license:
(1) The occurrence of a violation of the Barbering and Cosmetology Act or the regulations adopted by the board;
(2) The period of time for correction, if any; or 
(3) The amount of the fine.
(e) The disciplinary review committee may affirm, modify, or dismiss an order of immediate suspension and imposition of probation. A written decision based on findings of fact and legal conclusions shall be mailed to the suspended/probationary licensee and his/her legal counsel, if any, within 30 days from the date of the disciplinary review hearing. Any modification to an order of immediate suspension and probation made by the disciplinary review committee shall be a final decision of the committee and only subject to appeal as provided in subdivision (h) of this section. 
(f) In the event that the disciplinary review committee has determined that there are no facts to sustain the immediate suspension and probationary license, the disciplinary review committee shall dismiss the order of immediate suspension and imposition of probation. A decision of dismissal shall be effective immediately at the conclusion of the hearing. This decision shall be deemed final.
(g) If the suspended/probationary licensee fails to appear for the disciplinary review hearing and fails to show good cause for failure to appear, as defined in section 975, for failure to appear, the suspension/probationary license shall become final and effective as of the date of issuance. There shall be no administrative appeal.
(h) If the disciplinary review committee affirms or modifies the order of immediate suspension and imposition of probation, the licensee may request in writing a hearing before an administrative law judge pursuant to section 7411 of the Business and Professions Code. If the disciplinary review committee dismisses the order of immediate suspension and imposition of probation, any request before an administrative law judge shall be deemed withdrawn.
(i) The board shall notify in writing each licensee subject to immediate suspension and imposition of probation when the probation period terminates.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7403.2, Business and Professions Code.
HISTORY

1. New section filed 9-17-2007 as an emergency; operative 9-17-2007 (Register 2007, No. 38). A Certificate of Compliance must be transmitted to OAL by 3-17-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-17-2007 order transmitted to OAL 3-4-2008 and filed 4-16-2008 (Register 2008, No. 16).
Article 11. Administrative Fines and Citations
§974. Schedule of Administrative Fines.
Note     •     History

(a) An administrative fine may be assessed for violations of the specified sections of the Business and Professions Code and of Division 9 of TItle 16 of the California Code of Regulations as follows:

		1st	2nd	3rd	
	Section	Violation	Violation	Violation	Waivable

7313. Access to Establishment for Inspection	250	500	750	No
7317. Unlicensed Establishment		500	1,000	1,000	No
7317. Unlicensed Individual		1,000	1,000	1,000	No
7317. Expired Establishment License	250	300	500	No
7317. Expired Individual License		250	300	500	No
7317. Individual Working in an Expired Establishment	25	50	100	No
7317. Individual Working in an Unlicensed Establishment	250	300	500	No
7320. Practice of Medicine		1,000	1,000	1,000	No
7320.1. Use of Illegal Metal Instruments	250	500	500	No
7320.2. Illegal Treatment Methods	500	500	500	No
7336. No Supervision of Apprentice	100	150	200	No
7348. No Licensee in Charge of Establishment	100	150	200	No
7349. Employing Unlicensed Persons	1,000	1,000	1,000	No
7349.1. Illegal Use of a Barber Pole	25	50	100	No
7350. Establishment -- Residential Use/Entrance/Prohibited Use	50	100	150	No
7351. Restroom Requirement -- Clean/Storage/Floor/Vented	50	100	150	No
7352. No Soap/Towels or Air Hand Dryers in Hand Washing 
 Facilities		50	100	150	No
7358. No Licensee in Charge of Mobile Unit	100	150	200	No
7359. Employing Unlicensed Person in Mobile Unit	1,000	1,000	1,000	No
7360. Mobile Unit -- Residential/Prohibited Use	50	100	150	No
7400. No Change of Address Notice Filed	50	100	150	No
7404(l). Interference with Inspection	200	300	500	No
904(d). No Photographic Identification Available	50	100	150	No
905. Consumer Info. Not Posted/Incorrect Size of Print 
 (Health & Safety)		50	100	150	No
920. Apprentice Training Records Not Available/Incomplete	100	150	200	No
965. Display of Licenses		50	100	150	No
978(a)(1), (a)(2), (a)(3), (a)(4). Receptacles, Cabinets, and Containers	50	100	150	No
978(a)(5). Insufficient Disinfectant in Container for Total Immersion	100	150	200	No
978(a)(6). No Steam/Dry Heat Sterilizer for Electrology Instruments	500	1,000	1,500	No
978(b). No Disinfectant Solution Available for Use	250	300	500	No
978(c). No Manufacturer-Labeled Container for Disinfectant	250	300	500	No
979. Disinfecting Non-Electrical Instruments and Equipment	100	250	500	No
980(a). Incorrect Disinfection of Electrical Items	100	250	500	No
980(b). Incorrect Storage of Electrical Disinfected Items	50	100	150	No
980.1. Incorrect Disinfection of Pedicure Spas (Per Chair)	500	500	500	No
980.1(c)(7).
980.1(d)(8). Incorrect/Missing Log	100	150	200	No
980.1(e)(4)
980.2. Incorrect Disinfection of “Pipeless” Footspas (Per Unit)	500	500	500	No
980.2(b)(7).
980.2(c)(6). Incorrect/Missing Log	100	150	200	No
980.2(d)(3).
980.3. Incorrect Disinfection of “Non-Whirlpool Foot Basin” 
 (Per Unit)		100	150	200	No
980.3(b)(6). Incorrect/Missing Log	50	100	150	No
981(a). No Disposal of Non-Disinfected Items	100	150	200	No
981(b). Carry Instruments or Supplies in or on Garments	50	100	150	No
982. Incorrect Sterilization of Electrology Instruments	100	150	200	No
983. Personal Cleanliness		50	100	150	No
984. Work on Person with Infectious/Communicable Disease	100	250	500	No
985. No Use of Neck Strips or Towel	50	100	150	No
986. Neck Dusters/Brushes Not Clean or Sanitary	50	100 	150	No
987. Towels		50	100	150	No
988. Liquids, Creams, Powders, and Cosmetics	50	100	150	No
989. Prohibited Hazardous Substance/Use of Product	500	500	500	No
990. Headrests and Treatment Tables	50	100	150	No
991. Performing Invasive Procedures	500	500	500	No
992. Performing Invasive Skin Peeling/Dermis	500	500	500	No
993. Prohibited Instruments		300	400	500	No
994. Cleanliness and Repair		50	100	150	No
995(b), (c), (d), (e). Plumbing Standards-1-00	50	100	150	No
(b) A violation indicated in subdivision (a) as not waivable means that the Board, in its discretion, has determined that the violation cannot be corrected pursuant to Business and Professions Code Section 7407, and therefore that the fine for the first violation may not be avoided as provided for in Section 7409 of the Business and Professions Code.
NOTE

Authority cited: Sections 7312, 7406 and 7407, Business and Professions Code. Reference: Sections 7406, 7407 and 7409, Business and Professions Code.
HISTORY

1. New article 11 and repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 84, No. 28.
2. Amendment of table filed 12-19-95; operative 1-18-96 (Register 95, No. 51).
3. Amendment of subsection (a) filed 12-2-96; operative 1-1-97 (Register 96, No. 49).
4. Editorial correction of Note (Register 98, No. 2).
5. New footnote to subsection (a) filed 1-7-98; operative 2-6-98 (Register 98, No. 2).
6. Amendment of table and addition of second footnote to subsection (a) filed 4-23-98; operative 5-23-98 (Register 98, No. 17).
7. Amendment of table filed 5-16-2001 as an emergency; operative 5-16-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-13-2001 or emergency language will be repealed by operation of law on the following day.
8. Amendment of table refiled 9-13-2001 as an emergency; operative 9-13-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-11-2002 or emergency language will be repealed by operation of law on the following day.
9. Reinstatement of section as it existed prior to 5-16-2001 emergency amendment by operation of Government Code section 11346.1(f) (Register 2002, No. 3).  
10. Amendment of table refiled 1-14-2002 as an emergency; operative 1-14-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-14-2002 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 1-14-2002 order transmitted to OAL 4-16-2002 and filed 5-29-2002 (Register 2002, No. 22).
12. Amendment of table and repeal of footnotes filed 1-10-2007; operative 2-9-2007 (Register 2007, No. 2).
13. Amendment of subsection (a) filed 3-24-2008; operative 4-23-2008 (Register 2008, No. 13).
14. Amendment of section and Note filed 8-17-2011; operative 9-16-2011 (Register 2011, No. 33).
§974.1. Disciplinary Review Committee.
Note     •     History

(a) The disciplinary review committee of the Board shall be composed of three (3) members of the board.
(b) The board president, in his or her discretion, may appoint multiple disciplinary review committees.
(c) The board president shall annually appoint members of the disciplinary review committee; the appointment will be made concurrently with the annual election of the Board President.
(d) The board president shall select the dates and locations of the informal citation review hearings held before the disciplinary review committee.
NOTE

Authority cited: Sections 7312 and 7410, Business and Professions Code. Reference: Section 7410, Business and Professions Code.
HISTORY

1. New section filed 11-7-95; operative 12-7-95 (Register 95, No. 45).
§974.2. Appeal to Disciplinary Review Committee.
Note     •     History

(a) In addition to requesting a hearing provided for in Section 7411 of the Business and Professions Code, the cited person may within thirty (30) days of the date the notice of violation or citation was issued, notify the Board in writing of his or her request for an informal citation review hearing before the disciplinary review committee.
(b) Upon receipt of a timely written request, the board staff shall schedule the cited person for the next hearing to be held in the general vicinity of the cited person's address of record and which is at least forty five (45) days after the board's receipt of the request for the hearing. The board staff shall, at least thirty (30) days before the date of the hearing, mail written notice to the cited person of the date, time, and location of the hearing.
(c) The cited person shall appear and may bring legal counsel or an authorized representative to the hearing and may present written information and/or oral testimony to the disciplinary review committee.
(d) The cited person may contest or appeal any of the following aspects of the citation or notice of violation:
(1) The occurrence of a violation of the Barbering and Cosmetology Act or the regulations adopted by the board;
(2) The period of time for correction, if any; and/or
(3) The amount of the fine.
(e) At the conclusion of the informal citation review hearing, the disciplinary review committee may elect to continue the hearing or to hold the record open for the cited person to present additional information to the committee. If the disciplinary review committee elects to continue the hearing, it will be continued until the next scheduled hearing to be held in the general vicinity of the cited person's address of record. Board staff shall give notice to the cited person of the date, time, and location of the continued hearing in accordance with subsection (b). If the disciplinary review committee elects to hold the record open for submission of additional written information, the cited person must provide the additional written information to the same disciplinary review committee prior to its next scheduled meeting, and the committee shall close the record and consider the matter at its next scheduled meeting.
(f) The disciplinary review committee may affirm, modify or dismiss the citation, including any fine. In no event shall the violations recorded on the citation or notice of violation or the administrative fines be increased. The disciplinary review committee may consider the history of previous violations of the same or similar nature in determining its decision in the matter. A written decision based on findings of fact shall be mailed to the cited person and his or her legal counsel, if any, within thirty (30) days from the date of the informal citation review hearing. The effective date of the decision shall be thirty (30) days after it is mailed to the cited person, and the effective date shall be written in the decision. This decision shall be deemed to be a final order with regard to the citation issued, including the fine levied.
(g) If the cited person fails to appear at the informal citation review hearing and fails to show good cause, as defined in Section 975 for the failure to appear, the administrative fine shall become final and there shall be no administrative appeal except as otherwise provided by law.
(h) If the disciplinary review committee affirms or modifies the citation or notice of violation, including any fine, the cited person may, prior to the effective date of the decision of the disciplinary review committee, request in writing a hearing before an administrative law judge pursuant to section 7411 of the Business and Professions Code. If the disciplinary review committee dismisses the citation or notice of violation in its entirety, any request for a hearing before an administrative law judge shall be deemed to be withdrawn.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Sections 7410, 7412 and 7413, Business and Professions Code.
HISTORY

1. New section filed 11-7-95; operative 12-7-95 (Register 95, No. 45).
2. Editorial correction adding inadvertently omitted subsection (c) designator (Register 2007, No. 15).
§975. Good Cause for Failure to Appear for Hearing.
Note     •     History

The board defines “good cause” for the purpose of Business and Professions Code Section 7413 as follows: Personal illness, auto accident, death or severe illness in the immediate family or other severe physical or emotional hardship. Any condition to be considered good cause by the board must be verified in writing (i.e., letter from a physician, official accident report, obituary notice).
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7413, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 80, No. 13.
§976. Citations; Unlicensed Activity.
Note     •     History

A citation containing an order of abatement or an order to pay an administrative fine may be assessed against any person, firm, or corporation who is engaged in barbering, cosmetology or any of its branches, or electrolysis for compensation without a valid, unexpired license issued by the board.
All citations issued pursuant to this section shall meet the requirements of section 125.9 of the Code.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Sections 125.9, 148 and 7317, Business and Professions Code.
HISTORY

1. New section filed 12-2-96; operative 1-1-97 (Register 96, No. 49). For prior history, see Register 94, No. 43.
§976.5. Bottles and Containers. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7311, Business and Professions Code.
HISTORY

1. New section filed 12-14-59; effective thirtieth day thereafter (Register 59, No. 21). For history of former section, see Register 56, No. 18.
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§977. Neck Strips. [Repealed]
History

HISTORY

1. Amendment filed 4-4-68; effective thirtieth day thereafter (Register 68, No. 14).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
Article 12. Health and Safety
§978. Minimum Equipment and Supplies.
Note     •     History

(a) Establishments and schools shall have and maintain the following minimum equipment and supplies:
(1) At least one covered waste receptacle for the disposal of hair.
(2) Closed receptacles to hold all soiled towels, gowns and sheets in public areas.
(3) Closed, clean cabinets to hold all clean towels.
(4) Containers for disinfectant solution for instruments and equipment to be disinfected.
(5) Each container shall contain sufficient disinfectant solution to allow for the total immersion of tools and instruments.
(6) If electrolysis is performed, a steam or dry heat sterilizer that meets the requirements of Section 982.
(b) Establishments and schools shall have disinfectant solution mixed according to manufacturer's directions, available for use at all times.
(c) A manufacturer-labeled container for the disinfectant used must be available at all times in the establishment or school.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7312(e), Business and Professions Code.
HISTORY

1. New article 12 and repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 84, No. 28.
2. Amendment of subsections (a)(1) and (a)(3) filed 12-2-96; operative 1-1-97 (Register 96, No. 49).
§979. Disinfecting Non-Electrical Instruments and Equipment.
Note     •     History

(a) Before use upon a patron, all non-electrical instruments shall be disinfected in the following manner:
(1) Clean with soap or detergent and water.
(2) Then totally immerse in an EPA-registered disinfectant with demonstrated bactericidal, fungicidal, and virucidal activity, used according to manufacturer's instructions.
(b) The disinfectant solutions specified in subdivision (a) shall:
(1) Remain covered at all times.
(2) Be changed at least once per week or whenever visibly cloudy or dirty.
(c) All instruments that have been used on a patron or soiled in any manner shall be placed in a properly labeled receptacle.
(d) All disinfected instruments shall be stored in a clean, covered place which is labeled as such.
(e) If instruments and equipment specified in this section are sterilized in accordance with the requirements outlined in Section 982, the requirements of this section will be deemed to have been met.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7312(e), Business and Professions Code. 
HISTORY

1. Repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 90, No. 47.
2. Amendment of subsections (a)(2) and (d) filed 12-2-96; operative 1-1-97 (Register 96, No. 49).
§980. Disinfecting Electrical Instruments.
Note     •     History

(a) Clippers, vibrators, and other electrical instruments shall be disinfected prior to each use by:
(1) First removing all foreign matter; and
(2) Disinfecting with an EPA-registered disinfectant with demonstrated bactericidal, fungicidal, and virucidal activity used according to manufacturer's instructions.
(b) All disinfected electrical instruments, excluding curling irons and hot combs, shall be stored in a clean, covered place. 
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7312(e), Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 88, No. 38.
2. Amendment of subsection (b) filed 12-2-96; operative 1-1-97 (Register 96, No. 49).
§980.1. Procedures for Cleaning and Disinfecting Whirlpool Footspas, and Air-Jet Basins.
Note     •     History

(a) As used in this section, “whirlpool footspa” or “spa” is defined as any basin using circulating water.
(b) An air-jet basin is defined as any basin using an air jet stream system to move water. 
(c) After use upon each patron, each whirlpool footspa or air-jet basin shall be cleaned and disinfected in the following sequential manner:
(1) All water shall be drained from the basin.
(2) The inside walls of the basin shall be scrubbed and cleaned of all visible residue with a clean brush and liquid soap (labeled as such on soap product) and water. 
(3) The spa basin shall be rinsed with water.
(4) The spa basin shall be refilled with clean water. 
(5) The water in the basin shall be circulated with the correct amount (read manufacturer label for mixing instructions) of the EPA-registered hospital-liquid disinfectant that is labeled as a bactericide, fungicide and virucide, through the basin for at least 10 minutes. 
(6) The spa basin must be drained, rinsed, and wiped dry with a clean paper towel. 
(7) Record this procedure in the pedicure-cleaning log. The log shall contain the date and time of each cleaning, initials of the person who completed the procedure, and shall indicate that the cleaning was done after a client. 
(d) At the end of each day and after the last client, each whirlpool footspa or air-jet basin shall be cleaned and disinfected in the following sequential manner: 
(1) The screen and any other removable parts shall be removed. 
(2) Scrub all visible residue from the screen, inside walls of the basin, any other removable parts, and the area behind them with a clean brush and liquid soap and water. 
(3) Reinsert the clean screen and any other removable parts. 
(4) Fill the basin with warm water and detergent (labeled as such on detergent product) and circulate the detergent through the spa system for at least 10 minutes (follow manufacturer's instructions). 
(5) Drain the detergent solution and rinse the basin. 
(6) Refill the basin with clean water and circulate the correct amount (read the label for mixing instructions) of the EPA-registered hospital-liquid disinfectant which the label claims is a bactericide, fungicide, and virucide through the basin for at least 10 minutes. 
(7) Drain, rinse, wipe the basin dry with a clean paper towel and allow basin to dry completely. 
(8) Record this procedure in the pedicure-cleaning log. The log shall contain the date and time of each cleaning, initials of the person who completed the procedure, and shall indicate that the cleaning was done at the end of the day. 
(e) At least once each week, after completing the procedures provided in subsection (d) (1 through 6) each whirlpool footspa and air-jet basin shall not be drained and the following sequential procedures shall be followed: 
(1) Do not drain the disinfectant solution. The unit shall be turned off and the disinfecting solution shall be left undisturbed in the unit for 6 to 10 hours. 
(2) After the disinfectant solution has been sitting between 6 to 10 hours, drain and rinse the basin with clean water. 
(3) Refill the basin with clean water and flush the system. 
(4) Record this procedure in the pedicure-cleaning log. The log shall contain the date and time of each cleaning, initials of the person who completed the procedure, and shall indicate that the cleaning was done weekly. 
(f) The pedicure-cleaning log shall be made available upon request by either a patron or a board representative. 
(g) A violation of this section may result in an administrative fine and/or disciplinary action. Each footspa or air-jet basin not in compliance with this section may result in a separate violation. 
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7312(e), Business and Professions Code.
HISTORY

1. New section filed 5-16-2001 as an emergency; operative 5-16-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-13-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-13-2001 as an emergency; operative 9-13-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-11-2002 or emergency language will be repealed by operation of law on the following day.
3. Repealed by operation of Government Code section 11346.1(g) (Register 2002, No. 3).  
4. New section refiled 1-14-2002 as an emergency; operative 1-14-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-14-2002 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-14-2002 order, including amendment of section, transmitted to OAL 4-16-2002 and filed 5-29-2002 (Register 2002, No. 22).
6. Amendment of section heading and section filed 12-18-2006 as an emergency; operative 12-18-2006 (Register 2006, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-17-2007 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 12-18-2006 order transmitted to OAL 4-17-2007 and filed 5-30-2007 (Register 2007, No. 22).
§980.2. Procedures for Cleaning and Disinfecting Pipe-Less Footspas.
Note     •     History

(a) As used in this section, “Pipe-Less” footspa is defined as any unit with footplates, impellers, impeller assemblies and propellers. 
(b) After use upon each patron, each Pipe-less footspa shall be cleaned and disinfected in the following sequential manner: 
(1) All water shall be drained from the spa basin. 
(2) Remove footplate, and any other removable components according to the manufacturer's instructions. 
(3) Scrub all visible residue from the impeller, footplate, inside walls of the basin, and/or other components and the areas behind or under each with a clean brush and liquid soap (labeled as such on soap product) and water. Rinse with clean water. 
(4) Reinsert the properly cleaned footplate, and/or other components. 
(5) Refill the basin with clean water and circulate the correct amount (read the label for mixing instructions) of the EPA-registered hospital-liquid disinfectant which the label claims is a bactericide, fungicide, and virucide, through the basin for at least 10 minutes. 
(6) Drain, rinse and wipe the basin dry with a clean paper towel. 
(7) Record this procedure in the pedicure-cleaning log. The log shall contain the date and time of each cleaning, initials of the person who completed the procedure, and shall indicate that the cleaning was done after a client. 
(c) At the end of every day and after performing the procedures provided in subsection (b) (1 through 7) and after the last client, each pipe-less footspa shall be cleaned and disinfected in the following sequential manner: 
(1) Fill the basin with warm water and detergent (labeled as such on detergent product) and circulate the detergent through the spa system for at least 10 minutes (follow manufacturer's instructions). 
(2) Drain the detergent solution and rinse the basin. 
(3) Refill the basin with clean water and circulate the correct amount (read the label for mixing instructions) of the EPA-registered hospital-liquid disinfectant which the label claims is a bactericide, fungicide, and virucide, through the basin for at least 10 minutes. 
(4) Drain, rinse and wipe the basin dry with a clean paper towel. 
(5) Allow the basin to dry completely. 
(6) Record this procedure in the pedicure-cleaning log. The log shall contain the date and time of each cleaning, initials of the person who completed the procedure, and shall indicate that the cleaning was done at the end of the day. 
(d) At least once each week, after completing the procedures provided in subsection (c) (1 through 3), and the disinfectant solution in each pipe-less footspa shall not be drained and the following sequential procedures shall be followed: 
(1) The unit shall be turned off and the disinfecting solution shall be left in the unit undisturbed for 6 to 10 hours. 
(2) After the disinfectant solution has been sitting between 6 to 10 hours, rinse and wipe the basin dry with a clean paper towel. 
(3) Record this procedure in the pedicure-cleaning log. The log shall contain the date and time of each cleaning, initials of the person who completed the procedure, and shall indicate that the cleaning was done weekly. 
(e) The pedicure-cleaning log shall be made available upon request by either a patron or a board representative. 
(f) A violation of this section may result in an administrative fine and/or disciplinary action. Each pipe-less footspa not in compliance with this section may result in a separate violation. 
NOTE

Authority cited: Sections 7312 and 7406, Business and Professions Code. Reference: Section 7312(e), Business and Professions Code. 
HISTORY

1. New section filed 12-18-2006 as an emergency; operative 12-18-2006 (Register 2006, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-17-2007 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-18-2006 order transmitted to OAL 4-17-2007 and filed 5-30-2007 (Register 2007, No. 22).
§980.3. Procedures for Cleaning and Disinfecting Non-Whirlpool Foot Basins or Tubs.
Note     •     History

(a) As used in this section, “Non-Whirlpool Foot Basin” or “Tubs” are defined as any basin, tub, footbath, sink and bowl -- and all non-electrical equipment that holds water for a client's feet during a pedicure service. 
(b) After use upon each patron, each Non-Whirlpool Basin or Tub shall be cleaned and disinfected in the following sequential manner: 
(1) All water shall be drained from the foot basin or tub. 
(2) The inside surfaces of the foot basin or tub shall be scrubbed and cleaned of all visible residues with a clean brush and liquid soap (labeled as such on soap product) and water. 
(3) The foot basin or tub shall be rinsed with clean water. 
(4) Refill the foot basin or tub with clean water and the correct amount (read the label for mixing instructions) of the EPA-registered hospital-liquid disinfectant which the label claims is a bactericide, fungicide, and virucide. Leave the disinfecting solution in the foot basin or tub for at least 10 minutes. 
(5) Drain, rinse and wipe the basin dry with a clean paper towel. 
(6) Record this procedure in the pedicure-cleaning log. The log shall contain the date and time of each cleaning, initials of the person who completed the procedure, and shall indicate that the cleaning was done after a client. 
(c) The pedicure-cleaning log shall be made available upon request by either a patron or a board representative. 
(d) A violation of this section may result in an administrative fine and/or disciplinary action. Each non-whirlpool foot basin or tub not in compliance with this section may result in a separate violation. 
NOTE

Authority cited: Sections 7312 and 7406, Business and Professions Code. Reference: Section 7312(e), Business and Professions Code.
HISTORY

1. New section filed 12-18-2006 as an emergency; operative 12-18-2006 (Register 2006, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-17-2007 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-18-2006 order transmitted to OAL 4-17-2007 and filed 5-30-2007 (Register 2007, No. 22).
§981. Instruments and Supplies.
Note     •     History

(a) All instruments and supplies which come into direct contact with a patron and cannot be disinfected (for example, cotton pads, sponges, emery boards, and neck strips) shall be disposed of in a waste receptacle immediately after use.
(b) No person working or training in an establishment or school shall be permitted to carry any instrument or supplies in or on a garment or uniform while practicing any of the acts as defined in Section 7316 of the Business and Professions Code.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7312(e), Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 88, No. 38.
§982. Sterilizing Electrolysis Instruments.
Note     •     History

(a) Before use upon a patron in schools and establishments, each electrolysis needle or tweezers shall be first cleaned with detergent and water (which may include the use of ultrasonic equipment) and then be sterilized by one of the following methods:
(1) Steam sterilizer, registered and listed with the federal Food and Drug Administration, used according to manufacturer's instructions.
(2) Dry heat sterilizer, registered and listed with the federal Food and Drug Administration, used according to manufacturer's instructions.
(b) Sterilization equipment shall be checked weekly to ensure that it is reaching the temperature required by manufacturer's instructions.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7312(e), Business and Professions Code.
HISTORY

1. New section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 88, No. 38.
§982.1. Emery Boards. [Repealed]
History

HISTORY

1. New section filed 9-26-56; effective thirtieth day thereafter (Register 56, No. 18).
2. Repealer filed 1-23-61; effective thirtieth day thereafter (Register 61, No. 2).
§983. Personal Cleanliness.
Note     •     History

(a) The person and attire of a licensee serving a patron shall at all times be clean.
(b) Every licensee performing services shall thoroughly wash his or her hands with soap and water or any equally effective cleansing agent immediately before serving each patron.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7312(e), Business and Professions Code.
HISTORY

1. New section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 84, No. 28.
§984. Disease and Infestation.
Note     •     History

(a) No establishment or school shall knowingly permit a person afflicted with an infection or parasitic infestation capable of being transmitted to a patron to serve patrons or train in the establishment or school.
(b) No establishment or school shall knowingly require or permit a licensee or student to work upon a person with an infection or parasitic infestation capable of being transmitted to the licensee or student.
(c) Infections or parasitic infestation capable of being transmitted between licensee or student and patron include, but are not limited to, the following:
- Cold, influenza or other respiratory illness accompanied by a fever, until 24 hours after resolution of the fever.
- Streptococcal pharyngitis (“Strep throat”), until 24 hours after treatment has been initiated, and 24 hours after resolution of fever.
- Purulent conjunctivitis (“pink eye”), until examined by a physician and approved for return to work.
- Pertussis (“whooping cough”), until five days of antibiotic therapy has been completed.
- Varicella (“chicken pox”), until the sixth day after onset of rash or sooner if all lesions have dried and crusted.
- Mumps, until nine days after onset of parotid gland swelling.
- Tuberculosis, until a physician or local health department authority states that the individual is noninfectious.
- Impetigo (bacterial skin infection), until 24 hours after treatment has begun.
- Pediculosis (head lice), until the morning after first treatment.
- Scabies (“crabs”), until after treatment has been completed.
(d) Blood-borne diseases, such as HIV/AIDS and hepatitis B (HBV), shall not be considered infectious or communicable diseases for the purpose of this section.
(e) No person working or training in an establishment or school shall massage any person upon a surface of the skin or scalp where such skin is inflamed, broken (e.g., abraded, cut) or where a skin infection or eruption is present.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7312(e), Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 80, No. 13.
§985. Neck Strips.
Note     •     History

A sanitary neck strip or towel shall be used to keep the protective covering from coming in direct contact with a patron's neck.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7312(e), Business and Professions Code.
HISTORY

1. New section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 84, No. 28.
§985.5. Handling and Storage of Wigs. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7311, Business and Professions Code. Reference: Sections 7310, 7311, Business and Professions Code.
HISTORY

1. New section filed 3-29-72; effective thirtieth day thereafter (Register 72, No. 14).
2. Amendment filed 3-28-80; effective thirtieth day thereafter (Register 80, No. 13).
3. Repealed filed 7-10-84; effective thirtieth day thereafter (Register 84, No. 28).
§986. Neck Dusters and Brushes.
Note     •     History

Neck dusters and all other brushes used in an establishment or school on a patron shall be maintained in a clean and sanitary condition.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7312(d), Business and Professions Code.
HISTORY

1. Repealer of article 8 and section and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 69, No. 23.
§986.1. Posting of Consumer Information Message. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7310, Business and Professions Code. Reference: Sections 129(e), 7308(d) and 7431, Business and Professions Code.
HISTORY

1. New section filed 6-13-90; operative 7-13-90 (Register 90, No. 32).
2. Editorial correction of printing error in subsection (b) (Register 91, No. 30).
3. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§986.5. Display of License. [Repealed]
History

HISTORY

1. Amendment filed 2-16-71; effective thirtieth day thereafter (Register 71, No. 8). For prior history, see Register 68, No. 14.
2. Amendment filed 10-15-74; effective thirtieth day thereafter (Register 74, No. 42).
3. Repealer filed 7-10-84; effective thirtieth day thereafter (Register 84, No. 28).
§987. Towels.
Note     •     History

(a) After a towel has once been used it shall be deposited in a closed receptacle and not used until properly laundered and sanitized.
(b) Towels shall be laundered either by regular commercial laundering or by a noncommercial laundering process which includes immersion in water at least 1400F for not less than fifteen (15) minutes during the washing or rinsing operation.
(c) All clean towels shall be stored in closed cabinets. 
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7312(e), Business and Professions Code.
HISTORY

1. New section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 84, No. 28.
§988. Liquids, Creams, Powders and Cosmetics.
Note     •     History

(a) All liquids, creams, and other cosmetic preparations shall be kept in clean and closed containers. Powders may be kept in clean shakers.
(b) All bottles and containers shall be distinctly and correctly labeled to disclose their contents. All bottles and containers containing poisonous substances shall be additionally and distinctly marked as such.
(c) When only a portion of a cosmetic preparation is to be used on a patron, it shall be removed from the container in such a way as not to contaminate the remaining portion.
(d) Pencil cosmetics shall be sharpened before each use.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7312(e), Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 62, No. 25.
§989. Prohibited Hazardous Substances/Use of Products.
Note     •     History

No establishment or school shall have on the premises cosmetic products containing hazardous substances which have been banned by the U.S. Food and Drug Administration for use in cosmetic products, including liquid methyl methacrylate monomer and methylene chloride. No product shall be used in a manner that is disapproved by the FDA.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7312(e), Business and Professions Code.
HISTORY

1. New section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 84, No. 28.
§989.5. Change in Location of a School. [Repealed]
History

HISTORY

1. New section filed 10-8-70; effective thirtieth day thereafter (Register 70, No. 41).
2. Repealer filed 10-24-94; operative 11-23-94 (Register 94, No. 43).
§990. Headrests and Treatment Tables.
Note     •     History

(a) The headrest of chairs shall be covered with a clean towel or paper sheet for each patron.
(b) Shampoo trays and bowls must be cleansed with soap and water or other detergent after each shampoo, kept in good repair and in a sanitary condition at all times.
(c) Treatment tables must be covered with a clean sheet of examination paper for each patron.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7312(e), Business and Professions Code.
HISTORY

1. New section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 93, No. 26.
§990.5. Delinquent Renewal Fees. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7310 and 7321.1, Business and Professions Code. Reference: Sections 135, 163.5, and Division 1.5 (Section 475, et seq.), Business and Professions Code.
HISTORY

1. New section filed 4-2-75 as an emergency; effective upon filing (Register 75, No. 14).
2. Certificate of Compliance filed 5-22-75 (Register 75, No. 21).
3. Repealer filed 6-29-78; effective thirtieth day thereafter (Register 78, No. 26).
§991. Invasive Procedures.
Note     •     History

(a) No licensee may perform any act which affects the structure or function of living tissue of the face or body. Any such act shall be considered an invasive procedure.
(b) Invasive procedures include, but are not limited to, the following:
(1) Application of electricity which contracts the muscle.
(2) Application of topical lotions, creams, or other substances which affect living tissue.
(3) Penetration of the skin by metal needles, except electrolysis needles.
(4) Abrasion of the skin below the non-living, epidermal layers.
(5) Removal of skin by means of a razor-edged instrument.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Sections 7312(e), 7316, 7320, 7320.1, Business and Professions Code.
HISTORY

1. New section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 84, No. 28.
§992. Skin Peeling.
Note     •     History

(a) Only the non-living, uppermost layers of facial skin, known as the epidermis, may, by any method or means, be removed, and then only for the purpose of beautification.
(b) Skin removal techniques and practices which affect the living layers of facial skin, known as the dermis, are prohibited and constitute the practice of medicine.
(c) Only commercially-available products for the removal of facial skin for the purpose of beautification may be used. Mixing or combining skin removal products is prohibited except as it is required by manufacturer instructions.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Sections 7312(e), 7316, and 7320, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 81, No. 11.
§993. Prohibited Instruments.
Note     •     History

(a) No establishment or school shall have on the premises any razor-edged or other device or tool which is designed to remove calluses.
(b) No establishment or school shall have on the premises any needle-like instrument which is used for the purpose of extracting skin blemishes and other similar procedures.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Sections 7312(e), 7320, and 7320.1, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 75, No. 21.
§994. Cleanliness and Repair.
Note     •     History

(a) Establishments and schools shall keep the floors, walls, woodwork, ceilings, furniture, furnishing, and fixtures clean and in good repair.
(b) No establishment or school shall permit an accumulation of waste or refuse.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7312(e), Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 87, No. 33.
§995. Building Standards.
Note     •     History

(a) Establishments and schools shall have a system of adequate ventilation in accordance with Part 2, Section 1203, Title 24, California Code of Regulations.
(b) A supply of hot and cold running water shall be provided in accordance with Part 5, Section 601.5.1, Title 24, California Code of Regulations.
(c) Establishments and schools shall supply potable drinking water in accordance with Part 5, Section 601.5.3, Title 24, California Code of Regulations.
(d) Establishments and schools shall provide hand washing facilities in accordance with Part 5, Section 601.5.2, Title 24, California Code of Regulations.
(e) Establishments and schools shall provide public toilet rooms in accordance with Part 5, Sections 412.7, 412.8, and Table No. 4-1, Title 24, California Code of Regulations.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 7312(e) and 7352, Business and Professions Code.
HISTORY

1. Repealer and new section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). For prior history, see Register 88, No. 46.
2. Change without regulatory effect amending section filed 8-5-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 32).
3. Change without regulatory effect amending subsection (e) filed 8-18-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 18).
§998. Schedule of Fees.
Note     •     History

The following fees shall be charged by the board:
(a) Barbers:

	(1) Preapplication fee		  9
	(2) Application and examination fee		 75
	(3) Initial license fee		 50
	(4) License renewal fee		 501
	(5) License renewal delinquency fee		 251
(b) Cosmetologists:

	(1) Preapplication fee		  9
	(2) Application and examination fee		 75
	(3) Initial license fee		 50
	(4) License renewal fee		 501
	(5) License renewal delinquency fee		 251
(c) Estheticians:

	(1) Preapplication fee		  9
	(2) Application and examination fee		 75
	(3) Initial license fee		 40
	(4) License renewal fee		 501
	(5) License renewal delinquency fee		 251
(d) Manicurists:

	(1) Preapplication fee		  9
	(2) Application and examination fee		 75
	(3) Initial license fee		 35
	(4) License renewal fee		 501
	(5) License renewal delinquency fee		 251
(e) Electrologists:

	(1) Preapplication fee		  9
	(2) Application and examination fee		 75
	(3) Initial license fee		 50
	(4) License renewal fee		 501
	(5) License renewal delinquency fee		 251

(f) Apprentice application and license fee2		 25
(g) Establishments:

	(1) Application and initial license fee		 50
	(2) License renewal fee		 40
	(3) License renewal delinquency fee		 20
(h) Mobile Units:

	(1) Application fee		 50
	(2) Initial inspection and license fee		100
	(3) License renewal fee		 40
	(4) License renewal delinquency fee		 20

---------

1Fees effective for all licenses expiring on or after December 21, 2007.

2Licenses of apprentices are not renewable.
NOTE

Authority cited: Sections 7312, 7337.5(b) and 7421, Business and Professions Code. Reference: Sections 7415, 7417, 7418, 7420, 7423, 7424 and 7425, Business and Professions Code.
HISTORY

1. New section filed 6-22-93; operative 6-22-93 pursuant to Government Code section 11346.2(d) (Register 93, No. 26).
2. Amendment filed 11-21-2007; operative 12-21-2007 (Register 2007, No. 47).
3. Change without regulatory effect repealing subsections (f)-(g)(3) and relettering subsections filed 3-4-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 10).
Article 13. Revenue
§999. Charge for Dishonored Check.
Note     •     History

The charge for the return of a personal check without payment shall be an amount set by the Department of Consumer Affairs in accordance with the laws of the State of California. This charge is required in addition to the reimbursement of the dishonored check.
NOTE

Authority cited: Section 7312, Business and Professions Code. Reference: Section 1719, Civil Code; and Section 6157, Government Code.
HISTORY

1. New article 13 and section filed 10-24-94; operative 11-23-94 (Register 94, No. 43). 
2. Amendment of section and Note filed 8-3-2011; operative 9-2-2011 (Register 2011, No. 31).
Division 10. Dental Board of California
Chapter 1. General Provisions Applicable to All Licensees
Article 1. General Provisions
§1000. Definitions.
Note     •     History

For purposes of this division:
(a) “Academic year” means a period of education consisting of 45 quarter units, 30 semester units, or a duration deemed equivalent thereto by the board. 
(b) “Act” means the Dental Practice Act. 
(c) “Board” means the Dental Board of California. 
(d) “Board office” means the board office located in Sacramento, California. 
(e) “Board's Executive officer” means the executive officer appointed by the board. 
(f) “Code” means the Business and Professions Code. 
(g) “Committee,” unless otherwise indicated, means the Committee on Dental Auxiliaries. 
(h) “Competencies” means statements describing the abilities needed to begin the independent practice of dentistry, including skills, understanding, and professional values, that are performed independently in realistic settings. 
(i) “Curriculum” means an organized set of courses or discrete modules of learning which are prerequisite to the award of a certificate, degree or diploma. 
(j) “Educational outcomes” mean intended results of a process on those who experience the process, such as new skills for those in educational programs. 
(k) “Educational program” means a progressive or planned system of training, instruction or study. 
(l) “Examining Committee” means the Examining Committee appointed by the board. 
(m) “Faculty member” or “qualified faculty” means a person who satisfies both of the following: 
The person possesses either: 
(A) A credential generally recognized in the field of instruction; or 
(B) A degree, professional license, or credential at least equivalent to the level of instruction being taught or evaluated. 
(2) The person has entered into an agreement with the institution whereby the person is obliged to conduct one or more of the courses in the institution's curriculum, advise and consult with individual students, or facilitate and evaluate student learning outcomes and progress. 
(n) “Goal” means an intention or expectation that requires several tasks to produce the desired result, and generally involves the accomplishment of two or more objectives. 
(o) “Institution” means any school, either within the United States or outside the United States, that offers a program leading to a degree in dentistry. 
(p) “Licentiate” means any individual or corporation licensed or registered by the board. 
(q) The masculine gender includes the feminine, and the feminine, the masculine. 
(r) “Mission/purpose” means an institution's stated educational reasons to exist. The mission/purpose shall have all of the following characteristics: 
(1) It shall include the institution's broad expectations concerning the education which students will receive, including the acquisition of the body of knowledge presented in the educational program, the development of intellectual, analytical, and critical abilities, and the fostering of values such as a commitment to pursue lifelong learning; 
(2) It shall relate to the educational expectations of the institution's students and faculty and the community, which the institution serves. 
(s) “Objectives” mean statements of the intended actions or results of a program and are either measurable or specific enough so that qualified individuals would agree on whether they have been met. 
(t) “Outcomes assessment” means a profile of measures evaluating the effectiveness of programs in meeting their goals as reflected in tangible results such as student test scores. 
(u) “Quarter” means at least 10 weeks of instruction. 
(v) “Quarter unit” means at least ten (10) hours of college or university level instruction during a quarter plus a reasonable period of time outside of instruction which an institution requires a student to devote to preparation for planned learning experiences, such as preparation for instruction, study of course material, or completion of educational projects. 
(w) “Semester” means at least 15 weeks of instruction. 
(x) “Semester unit” means at least fifteen (15) hours of college or university level instruction during a semester plus a reasonable period of time outside of instruction which an institution requires a student to devote to preparation for planned learning experiences, such as preparation for instruction, study of course material, or completion of educational projects. 
(y) “Staff” means professional, technical, and clerical employees funded by the educational institution to support its educational program. 
NOTE

Authority cited: Sections 1614 and 1636.4, Business and Professions Code. Reference: Sections 1611 and 1614, Business and Professions Code.
HISTORY

1. Repealer of Chapter 10 (Articles 1-12, Sections 1000-1081.3, not consecutive) and new Chapter 10 (Articles 1-14, Sections 1000-1095, not consecutive) filed 12-19-75; effective thirtieth day thereafter (Register 75, No. 51). For prior history, see Registers 53, No. 23; 57, No. 18; 58, No. 16; 62, Nos. 1, 9 and 17; 63, Nos. 4 and 15; 64, No. 2; 66, No. 44; 69, Nos. 5, 12 and 47; 70, Nos. 45, and 46; 71, No. 16; 73, Nos. 43 and 51; 74, Nos. 9 and 44; 75, Nos. 5, 11, 12, 13, 17, 22 and 33.
2. Repealer of Chapter 10 (Articles 1-14, Sections 1000-1099.4, not consecutive) and new Chapter 10 (Subchapters 1-3, Sections 1000-1089, not consecutive) filed 4-25-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 17). For prior history, see Registers 85, Nos. 9, 5, 4 and 2; 84, Nos. 37, 36, 25, 24, 15 and 12; 83, Nos. 45, 15 and 2; 82, Nos. 31 and 10; 81, No. 48; 80, No. 21; 79, Nos. 42, 16 and 3; 78, Nos. 16, 14 and 8; 77, Nos. 28, 13 and 4; and 76, No. 19.
3. Amendment of division heading filed 5-31-2000; operative 6-30-2000 (Register 2000, No. 22).  
4. Amendment of section and Note filed 10-15-2001; operative 11-14-2001 (Register 2001, No. 42).
§1001. Delegation to Board's Executive Officer.
Note

(a) It shall be the duty of the Board's executive officer to plan, direct and organize the work of the staff; attend Board meetings and hearings; consult with and make recommendations to the Board; dictate correspondence; attend committee meetings of various organizations and associations; assist in compiling examination material; attend examinations and assist in conducting the examinations; notify applicants of their success or failure on examinations; and prepare reports and direct and supervise the field investigators concerning enforcement of the Act. 
(b) The power and discretion conferred by law upon the board to initiate, review and prosecute accusations and statements of issues pursuant to Sections 11500 through 11528 of the Government Code are hereby delegated to and conferred upon the board's executive officer or in the absence thereof, the assistant executive officer.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1614 and 1670, Business and Professions Code; and Sections 11500-11528, Government Code.
§1002. Rules of Order.
Note

The most recent edition of Robert's Rules of Order shall be used for all meetings to the extent such rules are not in conflict with law.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1614, Business and Professions Code.
§1003. Posting of Notice--Experimental Dental Health Programs.
Note

Prior to the undertaking of any dental health experimental program utilizing members of the public as patients, a notice approved by the board that is written in English, as well as a second language if warranted by the needs of the local community, shall be posted in a conspicuous and publicly accessible area within the treatment facility and shall be maintained in such area for the life of the program. Such a notice shall clearly state the nature and intent of said experimental dental health program.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1614, Business and Professions Code; and Section 429.77, Health and Safety Code.
§1004. Abandonment of Applications.
Note

(a) An application shall be deemed to have been abandoned in any of the following circumstances:
(1) The applicant fails to submit the application, examination, or reexamination fee within 180 days after notification by the board that such fee is due and unpaid.
(2) The applicant fails to take the licensing examination within two years after the date his application was received by the board. 
(3) The applicant, after failing the examination, fails to take a reexamination within two years after the date applicant was notified of such failure.
(b) An application submitted subsequent to the abandonment of a former application shall be treated as a new application.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1614, Business and Professions Code.
§1005. Minimum Standards for Infection Control.
Note     •     History

(a) Definitions of terms used in this section:
(1) “Standard precautions” are a group of infection prevention practices that apply to all patients, regardless of suspected or confirmed infection status, in any setting in which healthcare is delivered. These include: hand hygiene, use of gloves, gown, mask, eye protection, or face shield, depending on the anticipated exposure, and safe handling of sharps. Standard precautions shall be used for care of all patients regardless of their diagnoses or personal infectious status.
(2) “Critical items” confer a high risk for infection if they are contaminated with any microorganism. These include all instruments, devices, and other items used to penetrate soft tissue or bone.
(3) “Semi-critical items” are instruments, devices and other items that are not used to penetrate soft tissue or bone, but contact oral mucous membranes, non-intact skin or other potentially infectious materials (OPIM).
(4) “Non-critical items” are instruments, devices, equipment, and surfaces that come in contact with soil, debris, saliva, blood, OPIM and intact skin, but not oral mucous membranes.
(5) “Low-level disinfection” is the least effective disinfection process. It kills some bacteria, some viruses and fungi, but does not kill bacterial spores or mycobacterium tuberculosis var bovis, a laboratory test organism used to classify the strength of disinfectant chemicals.
(6) “Intermediate-level disinfection” kills mycobacterium tuberculosis var bovis indicating that many human pathogens are also killed. This process does not necessarily kill spores.
(7) “High-level disinfection” kills some, but not necessarily all bacterial spores.  This process kills mycobacterium tuberculosis var bovis, bacteria, fungi, and viruses.
(8) “Germicide” is a chemical agent that can be used to disinfect items and surfaces based on the level of contamination.
(9) “Sterilization” is a validated process used to render a product free of all forms of viable microorganisms. 
(10) “Cleaning” is the removal of visible soil (e.g., organic and inorganic material) debris and OPIM from objects and surfaces and shall be accomplished manually or mechanically using water with detergents or enzymatic products. 
(11) “Personal Protective Equipment” (PPE) is specialized clothing or equipment worn or used for protection against a hazard. PPE items may include, but are not limited to, gloves, masks, respiratory devices, protective eyewear and protective attire which are intended to prevent exposure to blood, body fluids, OPIM, and chemicals used for infection control. General work attire such as uniforms, scrubs, pants and shirts, are not considered to be PPE. 
(12) “Other Potentially Infectious Materials” (OPIM) means any one of the following: 
(A) Human body fluids such as saliva in dental procedures and any body fluid that is visibly contaminated with blood, and all body fluids in situations where it is difficult or impossible to differentiate between body fluids.
(B) Any unfixed tissue or organ (other than intact skin) from a human (living or dead).
(C) Any of the following, if known or reasonably likely to contain or be infected with human immunodeficiency virus (HIV), hepatitis B virus (HBV), or hepatitis C virus (HCV): 
1. Cell, tissue, or organ cultures from humans or experimental animals; 
2. Blood, organs, or other tissues from experimental animals; or 
3. Culture medium or other solutions. 
(13) “Dental Healthcare Personnel” (DHCP), are all paid and non-paid personnel in the dental healthcare setting who might be occupationally exposed to infectious materials, including body substances and contaminated supplies, equipment, environmental surfaces, water, or air. DHCP includes dentists, dental hygienists, dental assistants, dental laboratory technicians (in-office and commercial), students and trainees, contractual personnel, and other persons not directly involved in patient care but potentially exposed to infectious agents (e.g., administrative, clerical, housekeeping, maintenance, or volunteer personnel). 
(b) All DHCP shall comply with infection control precautions and enforce the following minimum precautions to protect patients and DHCP and to minimize the transmission of pathogens in health care settings as mandated by the California Division of Occupational Safety and Health (Cal/OSHA).
(1) Standard precautions shall be practiced in the care of all patients.
(2) A written protocol shall be developed, maintained, and periodically updated for proper instrument processing, operatory cleanliness, and management of injuries. The protocol shall be made available to all DHCP at the dental office. 
(3) A copy of this regulation shall be conspicuously posted in each dental office.
Personal Protective Equipment:
(4) All DHCP shall wear surgical facemasks in combination with either chin length plastic face shields or protective eyewear whenever there is potential for aerosol spray, splashing or spattering of the following: droplet nuclei, blood, chemical or germicidal agents or OPIM. Chemical-resistant utility gloves and appropriate, task specific PPE shall be worn when handling hazardous chemicals. After each patient treatment, masks shall be changed and disposed. After each patient treatment, face shields and protective eyewear shall be cleaned, disinfected, or disposed.
(5) Protective attire shall be worn for disinfection, sterilization, and housekeeping procedures involving the use of germicides or handling contaminated items. All DHCP shall wear reusable or disposable protective attire whenever there is a potential for aerosol spray, splashing or spattering of blood, OPIM, or chemicals and germicidal agents. Protective attire must be changed daily or between patients if they should become moist or visibly soiled. All PPE used during patient care shall be removed when leaving laboratories or areas of patient care activities. Reusable gowns shall be laundered in accordance with Cal/OSHA Bloodborne Pathogens Standards (Title 8, Cal. Code Regs., section 5193).
Hand Hygiene:
(6) All DHCP shall thoroughly wash their hands with soap and water at the start and end of each workday. DHCP shall wash contaminated or visibly soiled hands with soap and water and put on new gloves before treating each patient. If hands are not visibly soiled or contaminated an alcohol based hand rub may be used as an alternative to soap and water. Hands shall be thoroughly dried before donning gloves in order to prevent promotion of bacterial growth and washed again immediately after glove removal. A DHCP shall refrain from providing direct patient care if hand conditions are present that may render DHCP or patients more susceptible to opportunistic infection or exposure. 
(7) All DHCP who have exudative lesions or weeping dermatitis of the hand shall refrain from all direct patient care and from handling patient care equipment until the condition resolves.
Gloves:
(8) Medical exam gloves shall be worn whenever there is contact with mucous membranes, blood, OPIM, and during all pre-clinical, clinical, post-clinical, and laboratory procedures. When processing contaminated sharp instruments, needles, and devices, DHCP shall wear heavy-duty utility gloves to prevent puncture wounds. Gloves must be discarded when torn or punctured, upon completion of treatment, and before leaving laboratories or areas of patient care activities. All DHCP shall perform hand hygiene procedures before donning gloves and after removing and discarding gloves. Gloves shall not be washed before or after use.
Needle and Sharps Safety:
(9) Needles shall be recapped only by using the scoop technique or a protective device. Needles shall not be bent or broken for the purpose of disposal. Disposable needles, syringes, scalpel blades, or other sharp items and instruments shall be placed into sharps containers for disposal as close as possible to the point of use according to all applicable local, state, and federal regulations. 
Sterilization and Disinfection:
(10) All germicides must be used in accordance with intended use and label instructions. 
(11) Cleaning must precede any disinfection or sterilization process. Products used to clean items or surfaces prior to disinfection procedures shall be used according to all label instructions. 
(12) Critical instruments, items and devices shall be discarded or pre-cleaned, packaged or wrapped and sterilized after each use. Methods of sterilization shall include steam under pressure (autoclaving), chemical vapor, and dry heat. If a critical item is heat-sensitive, it shall, at minimum, be processed with high-level disinfection and packaged or wrapped upon completion of the disinfection process. These instruments, items, and devices, shall remain sealed and stored in a manner so as to prevent contamination, and shall be labeled with the date of sterilization and the specific sterilizer used if more than one sterilizer is utilized in the facility. 
(13) Semi-critical instruments, items, and devices shall be pre-cleaned, packaged or wrapped and sterilized after each use. Methods of sterilization include steam under pressure (autoclaving), chemical vapor and dry heat. If a semi-critical item is heat sensitive, it shall, at minimum, be processed with high level disinfection and packaged or wrapped upon completion of the disinfection process. These packages or containers shall remain sealed and shall be stored in a manner so as to prevent contamination, and shall be labeled with the date of sterilization and the specific sterilizer used if more than one sterilizer is utilized in the facility.
(14) Non-critical surfaces and patient care items shall be cleaned and disinfected with a California Environmental Protection Agency (Cal/EPA)-registered hospital disinfectant (low-level disinfectant) labeled effective against HBV and HIV. When the item is visibly contaminated with blood or OPIM, a Cal/EPA-registered hospital intermediate-level disinfectant with a tuberculocidal claim shall be used. 
(15) All high-speed dental hand pieces, low-speed hand pieces, rotary components and dental unit attachments such as reusable air/water syringe tips and ultrasonic scaler tips, shall be packaged, labeled and heat-sterilized in a manner consistent with the same sterilization practices as a semi-critical item. 
(16) Single use disposable items such as prophylaxis angles, prophylaxis cups and brushes, tips for high-speed evacuators, saliva ejectors, air/water syringe tips, and gloves shall be used for one patient only and discarded.
(17) Proper functioning of the sterilization cycle of all sterilization devices shall be verified at least weekly through the use of a biological indicator (such as a spore test). Test results shall be documented and maintained for 12 months.
Irrigation:
(18) Sterile coolants/irrigants shall be used for surgical procedures involving soft tissue or bone. Sterile coolants/irrigants must be delivered using a sterile delivery system.
Facilities:
(19) If non-critical items or surfaces likely to be contaminated are manufactured in a manner preventing cleaning and disinfection, they shall be protected with disposable impervious barriers. Disposable barriers shall be changed when visibly soiled or damaged and between patients. 
(20) Clean and disinfect all clinical contact surfaces that are not protected by impervious barriers using a California Environmental Protection Agency (Cal/EPA) registered, hospital grade low- to intermediate-level germicide after each patient. The low-level disinfectants used shall be labeled effective against HBV and HIV. Use disinfectants in accordance with the manufacturer's instructions. Clean all housekeeping surfaces (e.g. floors, walls, sinks) with a detergent and water or a Cal/EPA registered, hospital grade disinfectant. Products used to clean items or surfaces prior to disinfection procedures shall be clearly labeled and DHCP shall follow all material safety data sheet (MSDS) handling and storage instructions. 
(21) Dental unit water lines shall be anti-retractive. At the beginning of each workday, dental unit lines and devices shall be purged with air or flushed with water for at least two (2) minutes prior to attaching handpieces, scalers, air water syringe tips, or other devices. The dental unit lines and devices shall be flushed between each patient for a minimum of twenty (20) seconds.
(22) Contaminated solid waste shall be disposed of according to applicable local, state, and federal environmental standards.
Lab Areas:
(23) Splash shields and equipment guards shall be used on dental laboratory lathes. Fresh pumice and a sterilized or new rag-wheel shall be used for each patient. Devices used to polish, trim, or adjust contaminated intraoral devices shall be disinfected or sterilized, properly packaged or wrapped and labeled with the date and the specific sterilizer used if more than one sterilizer is utilized in the facility. If packaging is compromised, the instruments shall be recleaned, packaged in new wrap, and sterilized again. Sterilized items will be stored in a manner so as to prevent contamination.
(24) All intraoral items such as impressions, bite registrations, prosthetic and orthodontic appliances shall be cleaned and disinfected with an intermediate-level disinfectant before manipulation in the laboratory and before placement in the patient's mouth. Such items shall be thoroughly rinsed prior to placement in the patient's mouth.
(c) The Dental Board of California and Dental Hygiene Committee of California shall review this regulation annually and establish a consensus.

_______

1Cal/EPA contacts: WEBSITE www.cdpr.ca.gov or Main Information Center (916) 324-0419.
NOTE

Authority cited: Section 1614, Business and Professions Code.  Reference: Section 1680, Business and Professions Code.
HISTORY

1. New section filed 6-29-94; operative 7-29-94 (Register 94, No. 26).
2. Repealer and new section filed 7-8-96; operative 8-7-96 (Register 96, No. 28).
3. Repealer of subsection (a)(5) and subsection renumbering, amendment of subsections (b)(7), (b)(10), (b)(18)-(19) and (b)(23) and repealer of subsection (c) and subsection relettering filed 10-23-97; operative 11-22-97 (Register 97, No. 43).
4. Change without regulatory effect amending subsection (b)(4) filed 12-7-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 50).
5. Amendment of subsections (b)(11), (b)(13) and (b)(15) filed 6-30-99; operative 7-30-99 (Register 99, No. 27).
6. Amendment filed 3-1-2005; operative 3-31-2005 (Register 2005, No. 9).
7. Amendment filed 7-21-2011; operative 8-20-2011 (Register 2011, No. 29).
Article 2. General Rules Regarding Fingerprint Requirement
§1007. Response to Board Inquiry.
Note     •     History

If the board or its designee asks a licensee to provide criminal history information, a licensee shall respond to that request within 30 days. The licensee shall make available all documents and other records requested and shall respond with accurate information. 
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1601.2 and 1629(b), Business and Professions Code; and Section 11105, Penal Code.
HISTORY

1. Amendment filed 10-15-85; effective thirtieth day thereafter (Register 85, No. 42).
2. Renumbering and amendment of former section 1007 to section 1030 filed 7-12-95; operative 8-11-95 (Register 95, No. 28).
3. Amendment of article heading and new section filed 3-9-2011; operative 7-1-2011 (Register 2011, No. 10).
§1008. Fingerprint and Disclosure Requirements for Renewal of License.
Note     •     History

(a) As a condition of renewal of a license, a licensee who was initially licensed prior to January 1, 1999, or for whom an electronic record of the submission of fingerprints does not exist, shall furnish to the Department of Justice a full set of fingerprints for the purpose of conducting a criminal history record check and to undergo a state and federal level criminal offender record information search conducted through the Department of Justice. 
(1) The licensee shall pay any costs for furnishing the fingerprints and conducting the searches. 
(2) As a condition of renewal, a licensee shall certify whether his or her fingerprints have been furnished to the Department of Justice in compliance with this section. 
(3) This requirement is waived if the licensee is renewed in an inactive status or is actively serving in the military outside the country. 
(4) A licensee shall retain, for at least three years from the renewal date, either a receipt showing the electronic transmission of his or her fingerprints to the Department of Justice or a receipt evidencing that the licensee's fingerprints were taken. 
(b) As a condition of renewal, a licensee shall disclose whether, in the prior renewal cycle, he or she has been convicted of any violation of the law in this or any other state, the United States, or other country, omitting traffic infractions under $1,000 not involving alcohol, dangerous drugs, or controlled substances. In addition, a licensee shall disclose any disciplinary actions against any other license he or she may hold. 
(c) Failure to comply with the requirements of this section renders any renewal incomplete and the license will not be renewed until the licensee demonstrates compliance with all requirements. 
(d) Failure to furnish a full set of fingerprints to the Department of Justice as required by this section on or before the date required for renewal of a license is grounds for discipline by the Board. 
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1601.2 and 1629(b), Business and Professions Code; and Section 11105, Penal Code.
HISTORY

1. Renumbering of former section 1008 to new section 1038 filed 7-12-95; operative 8-11-95 (Register 95, No. 28).
2. New section filed 3-9-2011; operative 7-1-2011 (Register 2011, No. 10).
Article 3. Issuance of Substitute Licenses
§1012. Lost, Destroyed or Mutilated Licenses.
Note

A licensee shall be issued a substitute license upon request therefor. Such request shall be accompanied by an affidavit or declaration containing satisfactory evidence of the loss or destruction of his license certificate. A licensed dentist shall also submit fingerprints on forms provided by the board.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1614, Business and Professions Code.
§1013. Change of Name.
Note

Whenever a licentiate requests a change in the name under which he is licensed or presents an order of a court of competent jurisdiction to change his name, the board shall, upon surrender of the original license of said licentiate, issue a substitute license setting forth the name of said licentiate as changed. There shall also be set forth on the substitute license the number of the original license and the name in which it was issued.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1611 and 1614, Business and Professions Code.
Article 3.1. Radiation Safety Courses
§1014. Approval of Radiation Safety Courses.
Note     •     History

(a) A radiation safety course is one which has as its primary purpose providing theory and clinical application in radiographic techniques. A single standard of care shall be maintained and the board shall approve only those courses which continuously maintain a high quality standard of instruction.
(b) A radiation safety course applying for approval shall submit to the board an application and other required documents and information on forms prescribed by the board. The board may approve or deny approval of any such course. Approval may be granted after evaluation of all components of the course has been performed and the report of such evaluation indicates that the course meets the board's requirements. The board may, in lieu of conducting its own investigation, accept the findings of any commission or accreditation agency approved by the board and adopt those findings as its own.
(c) The board may withdraw its approval of a course at any time, after giving the course provider written notice setting forth its reason for withdrawal and after affording a reasonable opportunity to respond. Approval may be withdrawn for failure to comply with the board's standards or for fraud, misrepresentation or violation of any applicable federal or state laws relating to the operation of radiographic equipment.
(d) The processing times for radiation safety course approval are set forth in Section 1061.
NOTE

Authority cited: Sections 1614 and 1656, Business and Professions Code. Reference: Section 1656 Business and Professions Code; and Section 106975, Health and Safety Code.
HISTORY

1. New Article 3.1 (Sections 1014 and 1014.1) filed 6-13-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 24). 
2. Amendment of subsection (b) and new subsection (d) filed 2-22-88; operative 3-23-88 (Register 88, No. 10).
3. Amendment of subsection (b) and amendment of Note filed 10-5-2005; operative 11-4-2005 (Register 2005, No. 40).
§1014.1. Requirements for Radiation Safety Courses.
Note     •     History

A radiation safety course shall comply with the requirements set forth below in order to secure and maintain approval by the board. The course of instruction in radiation safety and radiography techniques offered by a school or program approved by the board for instruction in dentistry, dental hygiene or dental assisting shall be deemed to be an approved radiation safety course if the school or program has submitted evidence satisfactory to the board that it meets all the requirements set forth below.
(a) Educational Level. The course shall be established at the postsecondary educational level or a level deemed equivalent thereto by the board.
(b) Program Director. The program director, who may also be an instructor, shall actively participate in and be responsible for at least all of the following:
(1) Providing daily guidance of didactic, laboratory and clinical assignments;
(2) Maintaining all necessary records, including but not limited to the following:
(A) Copies of current curriculum, course outline and objectives;
(B) Faculty credentials;
(C) Individual student records, which shall include pre-clinical and clinical evaluations, examinations and copies of all successfully completed radiographic series used toward course completion. Records shall be maintained for at least five years from the date of course completion.
(3) Issuing certificates to each student who has successfully completed the course and maintaining a record of each certificate for at least five years from the date of its issuance;
(4) Transmitting to the board on a form prescribed by the board the name, last four digits of the social security number and, where applicable, license number of each student who has successfully completed the course;
(5) Informing the board of any significant revisions to the curriculum or course outlines.
(c) Faculty. The faculty shall be adequate in number, qualifications and composition and shall be suitably qualified through academic preparation, professional expertise, and/or appropriate training, as provided herein. Each faculty member shall possess the following qualifications:
(1) Hold a valid special permit or valid license as a dentist, registered dental hygienist, registered dental assistant, registered dental assistant in extended functions, registered dental hygienist in extended functions, or registered dental hygienists in alternative practice issued by the board;
(2) All faculty shall have been licensed for a minimum of two years. All faculty shall have the education, background, and occupational experience and/or teaching expertise necessary to perform, teach, and evaluate dental radiographs. All faculty responsible for clinical evaluation shall have completed a two hour methodology course which shall include clinical evaluation criteria, course outline development, process evaluation, and product evaluation;
(3) Shall have either passed the radiation safety examination administered by the board or equivalent licensing examination as a dentist, registered dental hygienist, registered dental assistant, registered dental assistant in extended functions, registered dental hygienist in extended functions, or registered dental hygienists in alternative practice or, on or after January 1, 1985, shall have successfully completed a board approved radiation safety course.
(d) Facilities. There shall be a sufficient number of safe, adequate, and educationally conducive lecture classrooms, radiography operatories, developing or processing facilities, and viewing spaces for mounting, viewing and evaluating radiographs. Adequate sterilizing facilities shall be provided and all disinfection and sterilization procedures specified by board regulations shall be followed.
(1) A radiographic operatory shall be deemed adequate if it fully complies with the California Radiation Control Regulations (Title 17, Cal. Code Regs., commencing with section 30100), is properly equipped with supplies and equipment for practical work and includes for every seven students at least one functioning radiography machine which is adequately filtered and collimated in compliance with Department of Health Services regulations and which is equipped with the appropriate position-indicating devices for each technique being taught.
(2) The developing or processing facility shall be deemed adequate if it is of sufficient size, based upon the number of students, to accommodate students' needs in learning processing procedures and is properly equipped with supplies and equipment for practical work using either manual or automatic equipment.
(3) X-ray areas shall provide protection to patients, students, faculty and observers in full compliance with applicable statutes and regulations.
(e) Program Content. Sufficient time shall be available for all students to obtain laboratory and clinical experience to achieve minimum competence in the various protocols used in the application of dental radiographic techniques.
(1) A detailed course outline shall be provided to the board which clearly states curriculum subject matter and specific instructional hours in the individual areas of didactic, laboratory, and clinical instruction.
(2) General program objectives and specific instructional unit objectives shall be stated in writing, and shall include theoretical aspects of each subject as well as practical application. The theoretical aspects of the program shall provide the content necessary for students to make judgments regarding dental radiation exposure. The course shall assure that students who successfully complete the course can expose, process and evaluate dental radiographs with minimum competence. 
(3) Objective evaluation criteria shall be used for measuring student progress toward attainment of specific course objectives. Students shall be provided with specific unit objectives and the evaluation criteria that will be used for all aspects of the curriculum including written, practical and clinical examinations.
(4) Areas of instruction shall include at least the following as they relate to exposure, processing and evaluations of dental radiographs:
(A) Radiation physics and biology
(B) Radiation protection and safety
(C) Recognition of normal anatomical landmarks and abnormal conditions of the oral cavity as they relate to dental radiographs
(D) Radiograph exposure and processing techniques using either manual or automatic methods
(E) Radiograph mounting or sequencing, and viewing, including anatomical landmarks of the oral cavity
(F) Intraoral techniques and dental radiograph armamentaria, including holding devices
(G) Interproximal examination including principles of exposure, methods of retention and evaluation
(H) Intraoral examination including, principles of exposure, methods of retention and evaluation
(I) Identification and correction of faulty radiographs
(J) Supplemental techniques including the optional use of computerized digital radiography
(K) Infection control in dental radiographic procedures
(L) Radiographic record management.
Students may be given the opportunity to obtain credit by the use of challenge examinations and other methods of evaluation.
(f) Laboratory Instruction. Sufficient hours of laboratory instruction shall be provided to ensure that a student successfully completes on an x-ray manikin at least the procedures set forth below. A procedure has been successfully completed only if each radiograph is of diagnostic quality. There shall be no more than 6 students per instructor during laboratory instruction.
(1) Two full mouth periapical series, consisting of at least 18 radiographs each, 4 of which must be bitewings; no more than one series may be completed using computer digital radiographic equipment;
(2) Two bitewing series, consisting of at least 4 radiographs each;
(3) Developing or processing, and mounting or sequencing of exposed radiographs;
(4) Student and instructor written evaluation of radiographs.
(g) Clinical Experience. The course of instruction shall include sufficient clinical experience, as part of an organized program of instruction, to obtain clinical competency in radiographic techniques.  There shall be no more than 6 students per instructor during clinical instruction. Clinical instruction shall include clinical experience on four patients with one of the four patients used for the clinical examination. Clinical experience shall include:
(1) Successful completion of a minimum of four full mouth periapical series, consisting of at least 18 radiographs each, 4 of which must be bitewings. Traditional film packets must be double film. No more than three series may be completed using computer digital radiographic equipment. Such radiographs shall be of diagnostic quality. All exposures made on human subjects shall only be made for diagnostic purposes, and shall in no event exceed three (3) exposures per subject. All clinical procedures on human subjects shall be performed under the supervision of a licensed dentist in accordance with section 106975 of the Health and Safety Code.
(2) Developing or processing, and mounting or sequencing of exposed human subject radiographs;
(3) Student and instructor written evaluation of radiographs.
(h) Clinical Facilities. There shall be a written contract of affiliation with each clinical facility utilized by a course. Such contract shall describe the settings in which the clinical training will be received and shall provide that the clinical facility has the necessary equipment and accessories appropriate for the procedures to be performed and that such equipment and accessories are in safe operating condition. Such clinical facilities shall be subject to the same requirements as those specified in subdivision (g).
(i) Length of Course. The program shall be of sufficient duration for the student to develop minimum competence in the radiation safety techniques, but shall in no event be less than 32 clock hours, including at least 8 hours of didactic instruction, at least 12 hours of laboratory instruction, and at least 12 hours of clinical instruction.
(j) Certificates. A certificate shall be issued to each student who successfully completes the course. The certificate shall specify the number of course hours completed. A student shall be deemed to have successfully completed the course if the student has met all the course requirements and has obtained passing scores on both written and clinical examinations.
NOTE

Authority cited: Sections 1614 and 1656, Business and Professions Code. Reference: Section 1656, Business and Professions Code; and Section 106975, Health and Safety Code.
HISTORY

1. Amendment of subsections (d), (e) and (g) filed 4-16-90; operative 5-16-90 (Register 90, No. 17).
2. Amendment of section and Note filed 10-5-2005; operative 11-4-2005 (Register 2005, No. 40).
Article 4. Continuing Education
§1015. Purposes.
Note

The board has determined that the public health and safety will be served by requiring all holders of licenses granted by the board under the Code to continue their education after receiving such licenses.
NOTE

Authority cited: Sections 1614 and 1645, Business and Professions Code. Reference: Section 1645, Business and Professions Code.
§1016. Continuing Education Courses and Providers.
Note     •     History

(a) Definition of Terms:
(1) Course of Study Defined. “Course of study” means an orderly learning experience in an area of study pertaining to dental and medical health, preventive dental services, diagnosis and treatment planning, clinical procedures, basic health sciences, dental practice management and administration, communication, ethics, patient management or the Dental Practice Act and other laws specifically related to dental practice.
(2) Coursework Defined. The term “Coursework” used herein refers to materials presented or used for continuing education and shall be designed and delivered in a manner that serves to directly enhance the licensee's knowledge, skill and competence in the provision of service to patients or the community.
(b) Courses of study for continuing education credit shall include: 
(1) Mandatory courses required by the Board for license renewal to include a Board-approved course in Infection Control, a Board-approved course in the California Dental Practice Act and completion of certification in Basic Life Support.
(A) At a minimum, course content for a Board-approved course in Infection Control shall include all content of Section 1005 and the application of the regulations in the dental environment.
(B) At a minimum, course content for the Dental Practice Act [Division 2, Chapter 4 of the Code (beginning with §1600)] shall instruct on acts in violation of the Dental Practice Act and attending regulations, and other statutory mandates relating to the dental practice. This includes utilization and scope of practice for auxiliaries and dentists; laws governing the prescribing of drugs; citations, fines, revocation and suspension of a license, and license renewal; and the mandatory reporter obligations set forth in the Child Abuse and Neglect Reporting Act (Penal Code Section 11164 et seq.) and the Elder Abuse and Dependent Adult Civil Protection Act (Welfare and Institutions Code Section 15600 et seq.) and the clinical signs to look for in identifying abuse.
(C) The mandatory requirement for certification in Basic Life Support shall be met by completion of either:
(i) An American Heart Association (AHA) or American Red Cross (ARC) course in Basic Life Support (BLS) or, 
(ii) A BLS course taught by a provider approved by the American Dental Association's Continuing Education Recognition Program (CERP) or the Academy of General Dentistry's Program Approval for Continuing Education (PACE). 
For the purposes of this section, a Basic Life Support course shall include all of the following:
1. Instruction in both adult and pediatric CPR, including 2-rescuer scenarios; 
2. Instruction in foreign-body airway obstruction; 
3. Instruction in relief of choking for adults, child and infant; 
4. Instruction in the use of automated external defibrillation with CPR; and; 
5. A live, in-person skills practice session, a skills test and a written examination; 
The course provider shall ensure that the course meets the required criteria. 
(2) Courses in the actual delivery of dental services to the patient or the community, such as: 
(A) Courses in preventive services, diagnostic protocols and procedures (including physical evaluation, radiography, dental photography) comprehensive treatment planning, charting of the oral conditions, informed consent protocols and recordkeeping. 
(B) Courses dealing primarily with nutrition and nutrition counseling of the patient.
(C) Courses in esthetic, corrective and restorative oral health diagnosis and treatment.
(D) Courses in dentistry's role in individual and community health emergencies, disasters, and disaster recovery.
(E) Courses that pertain to the legal requirement governing the licensee in the areas of auxiliary employment and delegation of responsibilities; the Health Insurance Portability and Accountability Act (HIPAA); actual delivery of care.
(F) Courses pertaining to federal, state and local regulations, guidelines or statutes regarding workplace safety, fire and emergency, environmental safety, waste disposal and management, general office safety, and all training requirements set forth by the California Division of Occupational Safety and Health (Cal-DOSH) including the Bloodborne Pathogens Standard.
(G) Courses pertaining to the administration of general anesthesia, conscious sedation, oral conscious sedation or medical emergencies. 
(H) Courses pertaining to the evaluation, selection, use and care of dental instruments, sterilization equipment, operatory equipment, and personal protective attire.
(I) Courses in dependency issues and substance abuse such as alcohol and drug use as it relates to patient safety, professional misconduct, ethical considerations or malpractice.
(J) Courses in behavioral sciences, behavior guidance, and patient management in the delivery of care to all populations including special needs, pediatric and sedation patients when oriented specifically to the clinical care of the patient.
(K) Courses in the selection, incorporation, and use of current and emerging technologies.
(L) Courses in cultural competencies such as bilingual dental terminology, cross-cultural communication, provision of public health dentistry, and the dental professional's role in provision of care in non-traditional settings when oriented specifically to the needs of the dental patient and will serve to enhance the patient experience. 
(M) Courses in dentistry's role in individual and community health programs. 
(N) Courses pertaining to the legal and ethical aspects of the insurance industry, to include management of third party payer issues, dental billing practices, patient and provider appeals of payment disputes and patient management of billing matters.
(3) Courses in the following areas are considered to be primarily of benefit to the licensee and shall be limited to a maximum of 20% of a licensee's total required course unit credits for each license or permit renewal period:
(A) Courses to improve recall and scheduling systems, production flow, communication systems and data management. 
(B) Courses in organization and management of the dental practice including office computerization and design, ergonomics, and the improvement of practice administration and office operations. 
(C) Courses in leadership development and team development.
(D) Coursework in teaching methodology and curricula development. 
(E) Coursework in peer evaluation and case studies that include reviewing clinical evaluation procedures, reviewing diagnostic methods, studying radiographic data, study models and treatment planning procedures. 
(F) Courses in human resource management and employee benefits.
(4) Courses considered to be of direct benefit to the licensee or outside the scope of dental practice in California include the following, and shall not be recognized for continuing education credit:
(A) Courses in money management, the licensee's personal finances or personal business matters such as financial planning, estate planning, and personal investments.
(B) Courses in general physical fitness, weight management or the licensee's personal health. 
(C) Presentations by political or public figures or other persons that do not deal primarily with dental practice or issues impacting the dental profession
(D) Courses designed to make the licensee a better business person or designed to improve licensee personal profitability, including motivation and marketing.
(E) Courses pertaining to the purchase or sale of a dental practice, business or office; courses in transfer of practice ownership, acquisition of partners and associates, practice valuation, practice transitions, or retirement.
(F) Courses pertaining to the provision of elective facial cosmetic surgery as defined by the Dental Practice Act in Section 1638.1, unless the licensee has a special permit obtained from the Board to perform such procedures pursuant to Section 1638.1 of the Code. 
(5) Completion of a course does not constitute authorization for the attendee to perform any services that he or she is not legally authorized to perform based on his or her license or permit type. 
(c) Registered Provider Application and Renewal 
(1) An applicant for registration as a provider shall submit an “Application for Continuing Education Provider (Rev. 05/09)” that is hereby incorporated by reference. The application shall be accompanied by the fee required by section 1021. The applicant or, if the applicant is not an individual but acting on behalf of a business entity, the individual authorized by the business to act on its behalf shall certify that he or she will only offer courses and issue certificates for courses that meet the requirements in this section. 
(2) To renew its registration, a provider shall submit a “Continuing Education Registered Provider Permit Renewal Application (12/15/08)” that is hereby incorporated by reference. The application shall be accompanied by the fee required by section 1021 and a biennial report listing each of the course titles offered, the 11-digit registration number issued to each course, the number of units issued for each course, the dates of all courses offered, the name and qualifications of each instructor, a summary of the content of each course of study, and a sample of the provider's written certification issued to participants during the last renewal period.
(d) Standards for Registration as an Approved Provider
(1) Each course of study shall be conducted on the same educational standards of scholarship and teaching as that required of a true university discipline and shall be supported by those facilities and educational resources necessary to comply with this requirement. Every instructor or presenter of a continuing education course shall possess education or experience for at least two years in the subject area being taught. Each course of study shall clearly state educational objectives that can realistically be accomplished within the framework of the course. Teaching methods for each course of study shall be described (e.g., lecture, seminar, audiovisual, clinical, simulation, etc.) on all provider reports. 
(2) The topic of instruction and course content shall conform to this section.
(3) An opportunity to enroll in such courses of study shall be made available to all dental licensees.
(e) Enforcement, Provider Records Retention and Availability of Provider Records 
(1) The board may not grant prior approval to individual courses unless a course is required as a mandatory license renewal course. The minimum course content of all mandatory continuing education courses for all registered providers is set out in subsections (b)(1)(A-C). Providers shall be expected to adhere to these minimum course content requirements or risk registered provider status. Beginning January 1, 2006, all registered providers shall submit their course content outlines for Infection Control and California Dental Practice Act to the board staff for review and approval. If a provider wishes to make any significant changes to the content of a previously approved mandatory course, the provider shall submit a new course content outline to the Board. A provider may not offer the mandatory course until the Board approves the new course outline. All new applicants for provider status shall submit course content outlines for mandatory education courses at the time of application and prior to instruction of mandatory education courses. 
(2) Providers must possess and maintain the following:
(A) Speaker curriculum vitae;
(B) Course content outline;
(C) Educational objectives or outcomes;
(D) Teaching methods utilized;
(E) Evidence of registration numbers and units issued to each course;
(F) Attendance records and rosters
(3) The board may randomly audit a provider for any course submitted for credit by a licensee in addition to any course for which a complaint is received. If an audit is conducted, the provider shall submit to the Board the following information and documentation:
(A) Speaker curriculum vitae; 
(B) Course content outline; 
(C) Educational objectives or outcomes; 
(D) Teaching methods utilized; 
(E) Evidence of registration numbers and units issued to each course; and
(F) Attendance records and rosters.
(4) All provider records described in this article shall be retained for a period of no less than three provider renewal periods.
(f) Withdrawal of Provider Registration
(1) The board retains the right and authority to audit or monitor courses given by any provider. The board may withdraw or place restrictions on a provider's registration if the provider has disseminated any false or misleading information in connection with the continuing education program, fails to comply with regulations, misrepresents the course offered, makes any false statement on its application or otherwise violates any provision of the Dental Practice Act or the regulations adopted thereunder.
(2) Any provider whose registration is withdrawn or restricted shall be granted a hearing before the executive officer or his or her designee prior to the effective date of such action. The provider shall be given at least ten days notice of the grounds for the proposed action and the time and place of such hearing.
(g) Provider Issuance of Units of Credit for Attendance
One unit of credit shall be granted for every hour of contact instruction and may be issued in half-hour increments. Such increments shall be represented by the use of a decimal point in between the first two numbers of the 11-digit registration number of the course. This credit shall apply to either academic or clinical instruction. Eight units shall be the maximum continuing education credits granted in one day.
(h) Additional Provider Responsibilities
(1) A provider shall furnish a written certification of course completion to each licensee certifying that the licensee has met the attendance requirements of the course. Such certification shall not be issued until completion of the course and shall contain the following:
(A) The licensee's, name and license or permit number, the provider's name, the 11-digit course registration number in the upper left hand corner of the certificate, date or dates attended, the number of units earned, and a place for the licensee to sign and date verifying attendance.
(B) An authorizing signature of the provider or the providing entity and a statement that reads: “All of the information contained on this certificate is truthful and accurate.” 
(C) A statement on each certification that reads: “Completion of this course does not constitute authorization for the attendee to perform any services that he or she is not legally authorized to perform based on his or her license or permit type.” 
(2) If an individual whose license or permit has been cancelled, revoked, or voluntarily surrendered attends and completes a continuing education course, the provider or attendee may document on the certificate of course completion the license or permit number the individual held before the license or permit was cancelled, revoked, or voluntarily surrendered.
(3) When two or more registered providers co-sponsor a course, only one provider number shall be used for that course and that provider must  assume full responsibility for compliance with the requirements of this article.
(4) Only Board-approved providers whose course content outlines for Infection Control and California Dental Practice Act have been submitted and approved by the Board may issue continuing education certifications to participants of these courses.
(5) The instructor of a course who holds a current and active license or permit to practice issued by the Board may receive continuing education credit for up to 20% of their total required units per renewal period for the course or courses they teach for a provider other than themselves.
(6) Upon request, a provider shall issue a duplicate certification to a licensee whose name appears on the provider's original roster of course attendees. A provider may not issue a duplicate certification to a licensee whose name is not on the original roster of course attendees. The provider, not the licensee shall clearly mark on the certificate the word “duplicate.”
(7) Providers shall place the following statement on all certifications, course advertisements, brochures and other publications relating to all course offerings: “This course meets the Dental Board of California's requirements for _(number of)_units of continuing education.” 
(i) Out of State Courses and Courses Offered by Other Authorized and Non-Authorized Providers
(1) Notwithstanding subdivision (b) of Section 1016, licensees who attend continuing education courses given by providers approved by the American Dental Association's Continuing Education Recognition Program (CERP) or the Academy of General Dentistry's Program Approval for Continuing Education (PACE) and who obtain a certification of attendance from the provider or sponsor shall be given credit towards his or her total continuing education requirement for renewal of his or her license with the exception of mandatory continuing education courses, if the course meets the requirements of continuing education set forth in this section.
(b) A licensee who attends a course or program that meets all content requirements for continuing education pursuant to these regulations, but was presented outside California by a provider not approved by the Board, may petition the Board for consideration of the course by submitting information on course content, course duration and evidence from the provider of course completion. 
When the necessary requirements have been fulfilled, the board may issue a written certificate of course completion for the approved number of units, which the licensee may then use for documentation of continuing education credits.
NOTE

Authority cited: Sections 1614 and 1645, Business and Professions Code. Reference: Section 1645, Business and Professions Code.
HISTORY

1. Amendment filed 4-4-88; operative 4-4-88 (Register 88, No. 17).
2. Change without regulatory effect filed 9-2-88; operative 9-2-88 (Register 88, No. 37). The regulatory forms referred to in subsections (b)(1), (b)(2) and (h), which were approved for filing with the Secretary of State on 4-4-88, are located in Register 88, No. 38-Z of the California Regulatory Notice Register.
3. Amendment of subsection (h) filed 8-2-91; operative 9-2-91 (Register 91, No. 48).
4. Amendment of subsection (a), new subsections (a)(1)-(a)(2)(E), redesignation of former second paragraph and subsections (a)(1)-(6) as subsections (a)(3)-(a)(3)(F), amendment of newly designated subsection (a)(3)(F), and new subsections (a)(3)(G)-(K) filed 2-29-96; operative 3-30-96 (Register 96, No. 9).
5. Amendment filed 10-6-2005; operative 11-5-2005 (Register 2005, No. 40).
6. Amendment of section heading and section filed 3-9-2010; operative 3-9-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 11). 
§1016.1. Processing Times. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1614. Business and Professions Code; and Section 15347, Government Code. Reference: Sections 15347 et seq; Government Code.
HISTORY

1. New section filed 4-4-88; operative 4-4-88 (Register 88, No, 17).
2. Editorial correction of Reference cite (Register 95, No. 30).
3. Repealer filed 3-9-2010; operative 3-9-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 11). 
§1017. Continuing Education Units Required for Renewal of License or Permit.
Note     •     History

(a) As a condition of renewal, all licensees are required to complete continuing education as follows:
(1) Two units of continuing education in Infection Control specific to California regulations as defined in section 1016(b)(1)(A).
(2) Two units of continuing education in the California Dental Practice Act and its related regulations as defined in section 1016(b)(1)(B).
(3) A maximum of four units of a course in Basic Life Support as specified in section 1016(b)(1)(C). 
(b) Mandatory continuing education units count toward the total units required to renew a license or permit; however, failure to complete the mandatory courses will result in non-renewal of a license or permit. Any continuing education units accumulated before April 8, 2010 that meet the requirements in effect on the date the units were accumulated will be accepted by the Board for license or permit renewals taking place on or after April 8, 2010. 
(c) All licensees shall accumulate the continuing education units equal to the number of units indicated below during the biennial license or permit renewal period assigned by the Board on each license or permit. All licensees shall verify to the Board that he or she who has been issued a license or permit to practice for a period less than two years shall begin accumulating continuing education credits within the next biennial renewal period occurring after the issuance of a new license or permit to practice. 
(1) Dentists: 50 units.
(2) Registered dental hygienists: 25 units.
(3) Registered dental assistants: 25 units.
(4) Dental Sedation Assistant Permit Holders: 25 units. 
(5) Orthodontic Assistant Permit Holders: 25 units. 
(6) Registered dental hygienists in extended functions: 25 units. 
(7) Registered dental assistants in extended functions: 25 units.
(8) Registered dental hygienists in alternative practice: 35 units.
(d) Each dentist licensee who holds a general anesthesia permit shall complete, as a condition of permit renewal, continuing education requirements pursuant to Section 1646.5 of the Business and Professions Code at least once every two years, and either (1) an advanced cardiac life support course which is approved by the American Heart Association and which includes an examination on the materials presented in the course or (2) any other advanced cardiac life support course which is identical in all respects, except for the omission of materials that relate solely to hospital emergencies or neonatology, to the course entitled “2005 American Heart Association Guidelines for Cardiopulmonary Resuscitation and Emergency Cardiovascular Care” published by the American Heart Association December 13, 2005 which is incorporated herein by reference. 
(e) Each dentist licensee who holds a conscious sedation permit shall complete at least once every two years a minimum of 15 total units of coursework related to the administration of conscious sedation and to medical emergencies, as a condition of permit renewal, in continuing education requirements pursuant to Section 1647.5 of the of the Business and Professions Code. Refusal to execute the required assurance shall result in non-renewal of the permit. 
(f) Each dentist licensee who holds an oral conscious sedation permit for minors, as a condition of permit renewal, shall complete at least once every two years a minimum of 7 total units of coursework related to the subject area in continuing education requirements pursuant to Section 1647.13 of the Business and Professions Code. 
(g) Each dentist licensee who holds an oral conscious sedation permit for adults, as a condition of permit renewal, shall complete at least once every two years a minimum of 7 total units of coursework related to the subject area in continuing education requirements pursuant to Section 1647.21 of the of the Business and Professions Code. 
(h) Notwithstanding any other provisions of this code, tape recorded courses, home study materials, video courses, and computer courses are considered correspondence courses, and will be accepted for credit up to, but not exceeding, 50% of the licensee's total required units.
(i) In the event that a portion of a licensee's units have been obtained through non-live instruction, as described in Section (h) above, all remaining units shall be obtained through live interactive course study with the option to obtain 100% of the total required units by way of interactive instruction courses. Such courses are defined as live lecture, live telephone conferencing, live video conferencing, live workshop demonstration, or live classroom study.
(j) Licensees who participate in the following activities shall be issued continuing education credit for up to 20% of their total continuing education unit requirements for license renewal:
(1) Participation in any Dental Board of California or Western Regional Examination Board (WREB) administered examination including attendance at calibration training, examiner orientation sessions, and examinations.
(2) Participation in any site visit or evaluation relating to issuance and maintenance of a general anesthesia, conscious sedation or oral conscious sedation permit.
(3) Participation in any calibration training and site evaluation training session relating to general anesthesia, conscious sedation or oral conscious sedation permits. 
(4) Participation in any site visit or evaluation of an approved dental auxiliary program or dental auxiliary course.
(k) The Board shall issue to participants in the activities listed in subdivision (j) a certificate that contains the date, time, location, authorizing signature, 11-digit course registration number, and number of units conferred for each activity consistent with all certificate requirements herein required for the purposes of records retention and auditing.
(l) The license or permit of any person who fails to accumulate the continuing education units set forth in this section or to assure the board that he or she will accumulate such units, shall not be renewed until such time as the licensee complies with those requirements.
(m) A licensee who has not practiced in California for more than one year because the licensee is disabled need not comply with the continuing education requirements of this article during the renewal period within which such disability falls. Such licensee shall certify in writing that he or she is eligible for waiver of the continuing education requirements. A licensee who ceases to be eligible for such waiver shall notify the Board of such and shall comply with the continuing education requirements for subsequent renewal periods.
(n) A licensee shall retain, for a period of three renewal periods, the certificates of course completion issued to him or her at the time he or she attended a continuing education course and shall forward such certifications to the Board only upon request by the Board for audit purposes. A licensee who fails to retain a certification shall contact the provider and obtain a duplicate certification. 
(o) Any licensee who furnishes false or misleading information to the Board regarding his or her continuing education units may be subject to disciplinary action. The Board may audit a licensee continuing education records as it deems necessary to ensure that the continuing education requirements are met. 
(p) A licensee who also holds a special permit for general anesthesia, conscious sedation, oral conscious sedation of a minor or of an adult, may apply the continuing education units required in the specific subject areas to their dental license renewal requirements.
(q) A registered dental assistant or registered dental assistant in extended functions who holds a permit as an orthodontic assistant or a dental sedation assistant shall not be required to complete additional continuing education requirements beyond that which is required for licensure renewal in order to renew either permit. 
(r) Pertaining to licencees holding more than one license or permit, the license or permit that requires the largest number of continuing education units for renewal shall equal the licesee's full renewal requirement. Dual licensure, or licensure with permit, shall not require duplication of continuing education requirements.
(s) Current and active licensees enrolled in a full-time educational program in the field of dentistry, including dental school program, residency program, postdoctoral specialty program, dental hygiene school program, dental hygiene in alternative practice program, or registered dental assisting in extended functions program approved by the Board or the ADA Commission on Dental Accreditation shall be granted continuing education credits for completed curriculum during that renewal period. In the event of audit, licensees shall be required to present school transcripts to the Board as evidence of enrollment and course completion.
(t) Current and active dental sedation assistant and orthodontic assistant permit holders enrolled in a full-time dental hygiene school program, dental assisting program, or registered dental assisting in extended functions program approved by the Board or the ADA Commission on Dental Accreditation shall be granted continuing education credits for completed curriculum during that renewal period. In the event of audit, assisting permit holders shall be required to present school transcripts to the committee or Board as evidence of enrollment and course completion.
NOTE

Authority cited: Sections 1614 and 1645, Business and Professions Code. Reference: Sections 1645, 1646.5 and 1647.5, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 8-23-85; effective thirtieth day thereafter (Register 85, No. 34).
2. Amendment of subsection (a) filed 1-22-86; effective thirtieth day thereafter (Register 86, No. 4).
3. Amendment filed 4-4-88; operative 4-4-88 (Register 88, No. 17).
4. Amendment of subsection (a) filed 6-8-88; operative 7-8-88 (Register 88, No. 25).
5. Amendment filed 4-1-91; operative 5-1-91 (Register 91, No. 18).
6. New subsection (a), subsection relettering, and amendment of newly designated subsections (b) and (d) filed 7-8-96; operative 8-7-96 (Register 96, No. 28).
7. Amendment of subsection (c) filed 2-2-99; operative 3-4-99 (Register 99, No. 6).
8. Amendment of subsection (b)(1), new subsections (b)(4)-(6) and amendment of Note filed 7-21-99; operative 8-20-99 (Register 99, No. 30).
9. Amendment of subsections (a) and (e) and amendment of Note filed 4-8-2003; operative 5-8-2003 (Register 2003, No. 15).
10. Amendment filed 10-6-2005; operative 11-5-2005 (Register 2005, No. 40).
11. Amendment of section heading and section filed 3-9-2010; operative 3-9-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 11). 
§1017.1. Processing Times. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1614, Business and Professions Code; and Section 15376, Government Code. Reference: Sections 15347 et seq., Government Code.
HISTORY

1. New section filed 4-4-88; operative 4-4-88 (Register 88, No. 17).
2. Repealer filed 3-9-2010; operative 3-9-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 11). 
§1017.2. Inactive Licenses.
Note     •     History

(a) A licensee who desires an inactive license shall submit a completed Application to Inactivate/Activate License, LIC-6 (New 12/09) that is incorporated herein by reference.
(b) In order to restore an inactive license to active status, the licensee shall submit a completed Application to Inactivate/Activate License, LIC-6 (New 12/09) that is incorporated herein by reference, accompanied by evidence that the licensee has completed the required number of hours of approved continuing education in compliance with this article within the last two years preceding such application. In addition, the licensee shall submit a full set of fingerprints as required by Section 1008. 
(c) The holder of an inactive license shall continue to pay to the board the required biennial renewal fee.
(d) The board shall inform an applicant who wishes to activate/inactivate his/her license in writing within 30 days whether the application is complete and accepted for filing or is deficient and what specific information is required. The board shall decide within 30 days after the filing of a completed application whether the applicant meets the requirements.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 700-704, 1601.2 and 1629(b), Business and Professions Code.
HISTORY

1. New section filed 4-4-88; operative 4-4-88 (Register 88, No. 17).
2. Change without regulatory effect filed 9-2-88; operative 9-2-88 (Register 88, No. 37). The regulatory forms referred to in subsections (a) and (b), which were approved for filing with the Secretary of State on 4-4-88, are located in Register 88, No. 38-Z of the California Regulatory Notice Register.
3. Amendment of section and Note filed 3-9-2011; operative 7-1-2011 (Register 2011, No. 10).
Article 4.5. Disciplinary Guidelines
§1018. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedures Act (Government Code Section 11400 et seq.), the Dental Board of California shall consider the disciplinary guidelines entitled “Dental Board of California Disciplinary Guidelines With Model Language”, revised 08/30/2010 which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the Dental Board of California in its sole discretion determines that the facts of the particular case warrant such deviation--for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Section 1614, Business and Professions Code; and Sections 11400.20 and 11400.21, Government Code. Reference: Section 11400.20 and 11425.50(e), Government Code.
HISTORY

1. New article 4.5 (section 1018) and section filed 6-30-97; operative 6-30-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 27). For prior history, see Register 85, No. 41.
2. Amendment filed 12-14-2010; operative 12-14-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 51).
Article 4.6. Unprofessional Conduct
§1018.05. Unprofessional Conduct Defined.
Note     •     History

In addition to those acts detailed in Business and Professions Code Sections 1680, 1681 and 1682, the following shall also constitute unprofessional conduct: 
(a) Failure to provide records requested by the Board within 15 days of the date of receipt of the request or within the time specified in the request, whichever is later, unless the licensee is unable to provide the documents within this time period for good cause. For the purposes of this section, “good cause” includes physical inability to access the records in the time allowed due to illness or travel. 
(b) Failure to report to the Board, within 30 days, any of the following: 
(1) The bringing of an indictment or information charging a felony against the licensee. 
(2) The conviction of the licensee, including any verdict of guilty, or pleas of guilty or no contest, of any felony or misdemeanor. 
(3) Any disciplinary action taken by another professional licensing entity or authority of this state or of another state or an agency of the federal government or the United States military. 
(4) For the purposes of this section, “conviction” means a plea or verdict of guilty or a conviction following a plea of nolo contendere or “no contest” and any conviction that has been set aside or deferred pursuant to Sections 1000 or 1203.4 of the Penal Code, including infractions, misdemeanors, and felonies. “Conviction” does not include traffic infractions with a fine of less than one thousand dollars ($1,000) unless the infraction involved alcohol or controlled substances. 
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1670, 1670.1, 1680 and 1684.1, Business and Professions Code. 
HISTORY

1. New article 4.6 (section 1018.05) and section filed 2-8-2012; operative 3-9-2012 (Register 2012, No. 6).
Article 5. Criteria for Evaluating Rehabilitation/Substantial Relationship
§1018.1. Criteria for Appointment as Agent of the Board.
Note     •     History

(a) For purposes of this article, an Agent of the Board is a licensed dental professional or other licensed health care professional, whom the Board has authorized to perform delegable duties or functions. The Board may appoint an Agent to serve in one or more of the following capacities:
(1) Conduct on-site evaluations to assess the competency of the general anesthesia and conscious sedation permit holders;
(2) Aid in the administration of examinations to determine the competency of applicants for licensure;
(3) Review written statements, dental records, radiographs and other documents to evaluate the quality of care delivered by licensees who are the subject of complaints received by the Board;
(4) Serve on the Examination Committee;
(5) Serve on the Diversion Evaluation Committee;
(6) Testify in criminal court and administrative hearings as an expert witness;
(7) Serve on ad hoc committees created by the Board; and or
(8) Perform any other function which the Board is authorized to delegate to an Agent.
(b) An Agent shall:
(1) Hold a valid and current license in good standing issued by the Board or, if necessary to perform the functions delegated, by another healing arts board under the Department of Consumer Affairs;
(2) Not be the subject of an on going occupational or professional investigation, unresolved complaint, or pending disciplinary action;
(3) Not hold a license which is currently on probation, or which has been on probation within two years prior to appointment by the Board.
(c) The Board may temporarily remove the delegation of authority to an Agent, or may remove an Agent directly from his or her appointment for acts which include but are not limited to:
(1) Be the subject of an ongoing investigation, or unresolved complaint, or a pending disciplinary action;
(2) Have his or her professional license placed on probation by the Board or other licensing agency;
(3) Allow his or her license to become delinquent or be cancelled;
(4) Be convicted of a crime substantially related to the practice of dentistry;
(5) Perform his/her Board-delegated functions in a negligent, incompetent or dishonorable manner.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 10 and 1614, Business and Professions Code.
HISTORY

1. New section filed 6-17-98; operative 7-17-98 (Register 98, No. 25).
§1019. Substantial Relationship Criteria.
Note

For the purposes of denial, suspension or revocation of a license of a dentist or a dental auxiliary pursuant to Division 1.5 (commencing with Section 475) of the Code, a crime or act shall be considered to be substantially related to the qualifications, functions, or duties of a dentist or dental auxiliary if to a substantial degree it evidences present or potential unfitness of a licensee to perform the functions authorized by his license in a manner consistent with the public health, safety, or welfare. Such crimes or acts shall include but not be limited to, those involving the following:
(a) Any violation of Article 6, Chapter 1, Division 2 of the Code except Sections 651.4, 654 or 655.
(b) Any violation of the provisions of Chapter 4, Division 2 of the Code.
NOTE

Authority cited: Sections 481 and 1614, Business and Professions Code. Reference: Section 481, Business and Professions Code.
§1020. Application Review and Criteria for Evaluating Rehabilitation.
Note     •     History

(a)(1) In addition to any other requirements for licensure, when considering the approval of an application, the Board or its designee may require an applicant to be examined by one or more physicians and surgeons or psychologists designated by the Board if it appears that the applicant may be unable to safely practice due to mental illness or physical illness affecting competency. An applicant's failure to comply with the examination requirement shall render his or her application incomplete. The report of the examiners shall be made available to the applicant. The Board shall pay the full cost of such examination. If after receiving the report of evaluation, the Board determines that the applicant is unable to safely practice, the Board may deny the application, or may issue the applicant a license that is placed on probation with terms and conditions. If the Board issues a license on probation, the probationary order shall include an order that the license be revoked, stayed and placed on probation for the entire term of probation. In issuing a license on probation, the Board may consider any or all of the following terms and conditions: 
(i) Requiring the licensee to obtain additional training or pass an examination upon completion of training, or both. The examination may be written, oral, or both, and may be a practical or clinical examination or both, at the option of the Board; 
(ii) Requiring the licensee to submit to a mental or physical examination, or psychotherapy during the term of probation under the terms and conditions provided for in the “Dental Board of California Disciplinary Guidelines With Model Language” revised 08/30/2010, incorporated by reference at Section 1018; or, 
(iii) Restricting or limiting the extent, scope or type of practice of the licensee. 
(2) If the Board determines, pursuant to proceedings conducted under this subdivision, that there is insufficient evidence to bring an action against the applicant, then all Board records of the proceedings, including the order for the examination, investigative reports, if any, and the report of the physicians and surgeons or psychologists, shall be kept confidential. If no further proceedings are conducted to determine the applicant's fitness to practice during a period of five years from the date of the determination by the Board of the proceedings pursuant to this subdivision, then the Board shall purge and destroy all records pertaining to the proceedings. If new proceedings are instituted during the five-year period against the applicant by the Board, the records, including the report of the physicians and surgeons or psychologists, may be used in the proceedings and shall be available to the applicant pursuant to the provisions of Section 11507.6 of the Government Code.
(b) When considering the denial of a license under Section 480 of the Code, the Board in evaluating the rehabilitation of the applicant and his present eligibility for a license, will consider the following criteria:
(1) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the Code.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(5) Evidence, if any, of rehabilitation submitted by the applicant.
(c) When considering the suspension or revocation of a license on the grounds of conviction of a crime, the Board, in evaluating the rehabilitation of such person and his present eligibility for a license will consider the following criteria:
(1) The nature and severity of the act(s) or offense(s);
(2) Total criminal record;
(3) The time that has elapsed since commission of the act(s) or offense(s);
(4) Whether the licensee has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against the licensee;
(5) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code;
(6) Evidence, if any of rehabilitation submitted by the licensee. 
(d) When considering a petition for reinstatement of a license, the Board shall evaluate evidence of rehabilitation, considering those criteria of rehabilitation listed in subsection (c).
NOTE

Authority cited: Sections 482 and 1614, Business and Professions Code. Reference: Sections 480, 482 and 820, Business and Professions Code; and Section 11519, Government Code.
HISTORY

1. Amendment of section heading, section and Note filed 2-8-2012; operative 3-9-2012 (Register 2012, No. 6).
Article 5.5. Impaired Licentiates Program
§1020.1. Criteria for Admission.
Note     •     History

An applicant shall meet the following criteria for admission to the Impaired Licentiate Program.
(a) Is a California licensed dentist or dental auxiliary.
(b) Resides in California.
(c) Is found to abuse narcotics, dangerous drugs or alcohol in a manner which may affect the licentiate's ability to practice safely or competently.
(d) Has voluntarily requested admission to the program.
(e) Agrees to undertake any medical and/or psychiatric examinations ordered to evaluate the application for participation in the program.
(f) Cooperates with the program by providing medical information, disclosure authorizations and releases of liability as may be necessary for participation in the program.
(g) Agrees in writing to cooperate and comply with all elements of the treatment program designed by a diversion evaluation committee and to bear all the costs of such program.
(h) Has not been convicted of a crime involving the sale of narcotics or dangerous drugs.
NOTE

Authority cited: Sections 1614 and 1695.5, Business and Professions Code. Reference: Sections 1695.5 and 1697, Business and Professions Code.
HISTORY

1. New Article 5.5 (Sections 1020.1-1020.8) filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
2. Repealer of subsection (i) filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1020.2. Causes for Denial of Admission.
Note     •     History

A diversion evaluation committee may deny an applicant admission to the program for any of the following reasons:
(a) The applicant does not meet the requirements set forth in Section 1020.1.
(b) The committee determines that the applicant will not substantially benefit from participation in the program or that the applicant's participation in the program creates too great a risk to the public health, safety or welfare.
NOTE

Authority cited: Sections 1614 and 1695.5, Business and Professions Code. Reference: Section 1695.5, Business and Professions Code.
HISTORY

1. Repealer of subsections (b) and (c) and subsection relettering filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1020.3. Termination from the Program.
Note

(a) A diversion evaluation committee may terminate a licentiate's participation in the program for any of the following reasons:
(1) The licentiate has successfully completed the treatment program prescribed by the committee.
(2) The committee votes to terminate participation for one of the following causes:
(A) The licentiate has failed to comply with the treatment program designated by the committee.
(B) The licentiate has failed to comply with any of the requirements set forth in Section 1020.1.
(C) Any cause for denial of an applicant set forth in Section 1020.2.
(D) The committee determines that the licentiate has not substantially benefited from participation in the program or that the licentiate's continued participation in the program creates too great a risk to the public health, safety or welfare.
(b) The committee shall determine, based upon the recommendation of both the program manager and a consultant, whether to terminate participation in the program. The committee's decision on termination shall be final.
NOTE

Authority cited: Sections 1614 and 1695.5, Business and Professions Code. Reference: Sections 1695.5 and 1697, Business and Professions Code.
§1020.4. Diversion Evaluation Committee Membership.
Note     •     History

(a) A diversion evaluation committee shall consist of six members: three licensed dentists, one licensed dental auxiliary, one public member, and one licensed physician or psychologist.
(b) Each committee member shall have experience or knowledge in the evaluation or management of persons who are impaired due to alcohol or drug abuse.
(c) Each member of the committee shall be appointed by the board and shall serve at the board's pleasure. Members of a committee shall be appointed for a term of four years, and each member shall hold office until the appointment and qualification of his or her successor or until one year shall have elapsed since the expiration of the term for which he or she was appointed, whichever first occurs. No person shall serve as a member of the committee for more than two terms.
NOTE

Authority cited: Sections 1614 and 1695.2, Business and Professions Code. Reference: Section 1695.2, Business and Professions Code.
HISTORY

1. Amendment of subsection (c) filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1020.5. Diversion Evaluation Committee Duties and Responsibilities.
Note

A diversion evaluation committee shall have the following duties and responsibilities in addition to those set forth in Section 1695.6 of the Code:
(a) To consider recommendations of the program manager and any consultant to the committee;
(b) To set forth in writing for each licensee in a program a treatment and rehabilitation program established for that licensee with the requirements for supervision and surveillance.
NOTE

Authority cited: Sections 1614 and 1695.6, Business and Professions Code. Reference: Section 1695.6, Business and Professions Code.
§1020.6. Committee Consultants.
Note     •     History

A Diversion Evaluation Committee (DEC) may utilize one or more chemical dependency treatment service providers or licensed physicians or psychologists who are competent in their field or specialty and who have demonstrated expertise in the diagnosis and treatment of substance abuse.
NOTE

Authority cited: Sections 1614 and 1695.4, Business and Professions Code. Reference: Sections 1695.4 and 1695.6, Business and Professions Code.
HISTORY

1. Amendment filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1020.7. Procedure for Review of Applicants.
Note     •     History

(a) A diversion evaluation committee consultant and/or program manager shall interview each applicant who requests admission to the program.
(b) The consultant shall interview the applicant and initiate such clinical assessments as necessary to determine applicant eligibility to participate in the program. The program manager may request such other information, authorizations, and releases necessary for participation in the program.
(c) The program manager and the consultant who interview and assess the applicant shall each make a recommendation to the committee whether the applicant should be admitted to the program.
(d) The committee's decision on admission to the program shall be final.
NOTE

Authority cited: Sections 1614 and 1695.4, Business and Professions Code. Reference: Section 1695.6, Business and Professions Code.
HISTORY

1. Amendment filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
§1020.8. Confidentiality of Records. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 1614 and 1695.4, Business and Professions Code. Reference: Section 1698, Business and Professions Code.
HISTORY

1. Repealer filed 9-10-98; operative 10-10-98 (Register 98, No. 37).
Article 6. Fees
§1021. Examination, Permit and License Fees for Dentists.
Note     •     History

The following fees are set for dentist examination and licensure by the board:

(a) Initial application for the board clinical and written
examination pursuant to Section 1632(c)(1) of the code, initial 
application for those applicants qualifying pursuant 
to Section 1632(c)(2) and those applicants qualifying 
pursuant to Section 1634.1	$100 

(b) Initial application for restorative technique 
examination	$250 

(c) Applications for reexamination	$ 75 

(d) Board clinical and written examination or reexamination 
pursuant to Section 1632(c)(1) of the code	$450 

(e) Restorative technique examination or reexamination	$250 

(f) Fee for application for licensure by credential	$283 

(g) Initial license	$365*

(h) Biennial license renewal fee	$365.

(i) Biennial license renewal fee for those qualifying pursuant to 
Section 1716.1 of the code shall be one half of the renewal fee 
prescribed by subsection (h).

(j) Delinquency fee --license renewal - The delinquency fee for 
license renewal shall be the amount prescribed by section 163.5 
of the code.

(k) Substitute certificate	$50

(l) Application for an additional office permit	$100

(m) Biennial renewal of additional office permit	$100

(n) Late change of practice registration	$50

(o) Fictitious name permit The fee prescribed by Section 
1724.5 of the Code

(p) Fictitious name renewal	$150

(q) Delinquency fee-fictitious name renewal
	The delinquency fee for fictitious name permits shall be one-half of the fictitious name permit renewal fee.

(r) Continuing education registered provider fee	$250

(s) General anesthesia or conscious sedation permit or adult
  or minor oral conscious sedation certificate	$200

(t) Oral Conscious Sedation Certificate Renewal	$75

(u) General anesthesia or conscious sedation permit 
renewal fee	$200

(v) General anesthesia or conscious sedation on-site 
inspection and evaluation fee	$250

*Fee pro-rated based on applicant's birth date.
NOTE

Authority cited: Sections 1614, 1635.5, 1634.2(c), 1724 and 1724.5, Business and Professions Code. Reference: Sections 1632, 1634.1, 1646.6, 1647.8, 1647.12, 1647.15, 1715, 1716.1, 1718.3, 1724 and 1724.5, Business and Professions Code.
HISTORY

1. Amendment filed 12-16-85; effective thirtieth day thereafter (Register 85, No. 51).
2. Amendment filed 4-8-87; operative upon filing (Register 87, No. 15).
3. Amendment filed 4-1-91; operative 5-1-91 (Register 91, No. 18).
4. Amendment filed 8-2-91; operative 9-2-91 (Register 91, No. 48).
5. Amendment filed 5-28-93; operative 6-28-93 (Register 93, No. 22).
6. Editorial correction of subsections (c) and (p) (Register 97, No. 24).
7. Amendment of subsections (f) and (g) and amendment of footnote and Note filed 2-23-98; operative 6-1-98 (Register 98, No. 9).
8. Change without regulatory effect amending subsections (f) and (g) filed 3-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 13).
9. Amendment of subsections (t) and (u) and amendment of Note filed 5-15-2000 as an emergency; operative 5-15-2000 (Register 2000, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-2000 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-2000 order, including further amendments, transmitted to OAL 9-7-2000 and filed 10-18-2000 (Register 2000, No. 42).
11. Change without regulatory effect repealing subsections (q) and (r) and relettering subsections filed 12-19-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 51).
12. New subsection (f) and subsection relettering filed 7-17-2003; operative 8-16-2003 (Register 2003, No. 29).
13. Amendment of subsections (a), (d) and (g)-(i), footnote and Note filed 3-13-2006 as an emergency; operative 3-13-2006 (Register 2006, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2006 or emergency language will be repealed by operation of law on the following day.
14. Amendment of subsections (a), (d) and (g)-(i), footnote and Note refiled 7-12-2006 as an emergency; operative 7-12-2006 (Register 2006, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-9-2006 or emergency language will be repealed by operation of law on the following day.
15. Reinstatement on 11-10-2006 of section as it existed prior to 3-13-2006 emergency amendment by operation of Government Code section 11346.1(f) (Register 2006, No. 46).
16. Amendment of subsections (a), (d) and (g)-(i), footnote and Note refiled 11-15-2006 as an emergency; operative 11-15-2006 (Register 2006, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-15-2007 or emergency language will be repealed by operation of law on the following day.
17. Certificate of Compliance as to 11-15-2006 order transmitted to OAL 1-5-2007 and filed 2-15-2007 (Register 2007, No. 7).
18. Amendment of subsection (s) filed 12-13-2007; operative 12-13-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 50). 
19. Amendment of section heading, first paragraph, subsection (a) and Note filed 2-1-2008 as an emergency; operative 2-1-2008 (Register 2008, No. 5). A Certificate of Compliance must be transmitted to OAL by 7-30-2008 or emergency language will be repealed by operation of law on the following day.
20. Certificate of Compliance as to 2-1-2008 order transmitted to OAL 7-29-2008 and filed 9-10-2008 (Register 2008, No. 37).
§1022. Dental Auxiliaries.
Note     •     History

The following fees are fixed for dental auxiliaries licensed by the board:

(a) Application	 $20

(b) Nonclinical examination or reexamination	 $30

(c) Clinical examination or reexamination	 $50

(d) RDA license renewal	 $12
The biennial renewal fee for licensing periods beginning on or after January 1, 1988 shall be $30.

(e) RDAEF license renewal	 $10
The biennial renewal fee for licensing periods beginning on or after January 1, 1988 shall be $30.

(f) RDH license renewal	 $24
The biennial renewal fee for licensing periods beginning on or after January 1, 1988 shall be $30.

(g) RDHEF license renewal	 $10
The biennial renewal fee for licensing periods beginning on or after January 1, 1988 shall be $30.

(h) RDA delinquency fee	 $6
The delinquency fee for licensing periods beginning on or after January 1, 1988 shall be $15.

(i) RDAEF delinquency fee	 $5
The delinquency fee for licensing periods beginning on or after January 1, 1988 shall be $15.

(j) RDH delinquency fee	 $12
The delinquency fee for licensing periods beginning on or after January 1, 1988 shall be $15.

(k) RDHEF delinquency fee	 $5
The delinquency fee for licensing periods beginning on or after January 1, 1988 shall be $15.

(l) Substitute certificate	 $25
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1656 and 1725, Business and Professions Code.
HISTORY

1. Amendment filed 1-22-86; effective thirtieth day thereafter (Register 86, No. 4).
2. Amendment filed 9-18-87; operative 10-18-87 (Register 87, No. 39).
Article 7. Citations
§1023. Citations.
Note     •     History

The executive officer of the board may issue a citation to any person who holds a permit or certificate from the board for a violation of any provision or other law enforced by the board.
NOTE

Authority cited: Sections 125.9 and 1614, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New article 7 and section filed 4-23-93; operative 5-24-93 (Register 93, No. 17).
§1023.1. Citation Format.
Note     •     History

Each citation:
(a) shall be in writing;
(b) shall describe with particularity the nature of the violation, including specific reference to the provision of law determined to have been violated;
(c) may contain in an assessment of an administrative fine, an order of abatement fixing a reasonable period of time for abatement of the violation, or both an administrative fine and an order of abatement;
(d) shall inform the cited person that, if he or she desires a hearing to contest the finding of a violation, that hearing shall be requested by written notice to the board within 30 days of the issuance of the citation or assessment;
(e) shall be served upon the licensee personally or by certified mail.
NOTE

Authority cited: Sections 125.9 and 1614, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 4-23-93; operative 5-24-93 (Register 93, No. 17).
§1023.2. Administrative Fines for Citation.
Note     •     History

Where citations issued pursuant to Section 125.9 of the code include an assessment of an administrative fine, they shall be classified according to the nature of the violation and shall indicate the classification on the face thereof as follows:
(a) A class “A” violation is a violation which the executive officer has determined involves a person who has violated a statute/regulation, and either:
(1) the violation presents a substantial probability that death or serious physical harm to a patient could result therefrom; or
(2) the person has been issued three class B violations within a 24 month time period immediately preceding the act, serving as the basis for the citation, without regard to whether the actions to enforce the previous citations have become final.
A class “A” violation is subject to an administrative fine in an amount not less than $1,000 and not exceeding $2,500 for each violation.
(b) A class “B” violation is a violation which the executive officer has determined involves a person who has violated a statute/regulation relating to the practice of dentistry which does not present a substantial probability that either death or serious physical harm to a patient will result therefrom.
A class “B” violation is subject to an administrative fine in an amount not less than $50 and not exceeding $2,500 for each violation.
NOTE

Authority cited: Sections 125.9 and 1614, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 4-23-93; operative 5-24-93 (Register 93, No. 17).
§1023.4. Citation Factors.
Note     •     History

In assessing the amount of an administrative fine, the executive officer shall consider the following factors:
(a) The good or bad faith exhibited by the cited person.
(b) The nature and severity of the violation.
(c) Evidence that the violation was willful.
(d) History of violations of the same or similar nature.
(e) The extent to which the cited person has cooperated with the board.
(f) The extent to which the cited person has mitigated or attempted to mitigate any damage or injury caused by his or her violation.
(g) Such other matters as justice may require.
NOTE

Authority cited: Sections 125.9 and 1614, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 4-23-93; operative 5-24-93 (Register 93, No. 17).
§1023.5. Contest of Citations.
Note     •     History

(a) In addition to requesting a hearing, as provided for in subsection (b)(4) of Section 125.9 of the code, the person cited may, within ten (10) days after service or receipt of the citation, notify the executive officer in writing of his or her request for an informal conference with the executive officer regarding the acts charged in the citation. The time allowed for the request shall begin the first day after the citation has been served or received.
(b) The executive officer shall, within 30 days from receipt of the request, hold an informal conference with the person cited and/or his or her legal counsel or authorized representative. At the conclusion of the informal conference the executive officer may affirm, modify or dismiss the citation, including any administrative fine levied or order of abatement issued. The executive officer shall state in writing the reasons for his or her action and serve or mail, as provided in subsection (b) of section 1023.1, a copy of his or her findings and decision to the person cited within ten days from the date of the informal conference. The decision shall be deemed to be a final order without regard to the citation issued, including the administrative fine levied and the order of abatement.
(c) The person cited does not waive his or her request for a hearing to contest a citation by requesting an informal conference after which the citation is affirmed by the executive officer. If the citation is dismissed after the informal conference, the request for a hearing on the matter of the citation shall be deemed to be withdrawn. If the citation, including any administrative fine levied or order of abatement, is modified, the citation originally issued shall be considered withdrawn and a new citation issued. If a hearing is requested for the subsequent citation, it shall be requested within 30 days in accordance with subsection (b)(4) of Section 125.9 of the code.
NOTE

Authority cited: Sections 125.9 and 1614, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 4-23-93; operative 5-24-93 (Register 93, No. 17).
§1023.6. Failure to Comply with Order.
Note     •     History

(a) The time allowed for abatement of a violation shall begin the first day after the order of abatement has been served or received. If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, the person cited may request an extension of time from the executive officer in which to complete the correction. Such a request shall be in writing and shall be made within the time set forth for abatement.
(b) An order of abatement shall either be personally served or mailed by certified mail, return receipt requested.
(c) When an order of abatement is not contested or if the order is appealed and the person or entity cited does not prevail, failure to abate the violation charged within the time specified in the citation shall constitute a violation and failure to comply with the order of abatement. Failure to timely comply with an order of abatement may result in disciplinary action being taken by the board or other appropriate judicial relief being taken against the person cited.
NOTE

Authority cited: Sections 125.9 and 1614, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 4-23-93; operative 5-24-93 (Register 93, No. 17).
§1023.7. Unlicensed Practice.
Note     •     History

The executive officer may issue a citation, in accordance with Section 148 of the code, against any unlicensed person who is acting in the capacity of a licensee under the jurisdiction of the board and who is not otherwise exempt from licensure. Each citation may contain an assessment of an administrative fine, or an order of abatement fixing a reasonable period of time for an abatement. Administrative fines shall range from $50 to $2,500 for each violation. Any sanction authorized for activity under this section shall be separate from and in addition to any other civil or criminal remedies.
NOTE

Authority cited: Sections 148 and 1614, Business and Professions Code. Reference: Section 148, Business and Professions Code.
HISTORY

1. New section filed 4-23-93; operative 5-24-93 (Register 93, No. 17).
§1023.8. Delegation of Program Duties.
Note     •     History

Nothing in this article shall preclude the executive officer from delegating his/her duties and responsibilities under this article to other board staff.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 4-23-93; operative 5-24-93 (Register 93, No. 17).
Chapter 2. Dentists
Article 1. Dental Schools
§1024. Approval of Dental Schools.
Note

It is the intent of this board to approve only those schools which continuously maintain a high quality standard of instruction. The requirements contained in this article are designed to that end and govern the approval of schools. Continuation of approval is contingent upon compliance with these requirements.
(a) A new school for the study of dentistry in California shall apply for provisional approval in its first academic year. It shall apply for final approval when its program is in full operation with classes studying in the curriculum of each of the academic years.
(b) The board may, in lieu of conducting its own independent investigation, accept the findings of any commission or accreditation agency approved by the board and adopt those findings as its own.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1614, Business and Professions Code.
§1024.1. Institutional Standards.
Note     •     History

(a) Institutional Mission, Purposes, and Objectives. 
(1) An institution shall have a clearly stated written purpose or mission statement that reflects the institution's goals and objectives, and that addresses teaching, patient care, research, and service to the community. 
(2) The institution shall have a formal and ongoing outcomes assessment process, including measures of student achievement based on the institution's mission/purpose, goals and objectives. 
(3) The institution shall have an ongoing planning process, which is broad-based and systematic, for the evaluation and improvement of educational quality. 
(b) Educational Program (Admissions Policy). 
The institution shall have and shall follow specific written criteria, policies, and administrative procedures for student admissions. The institution shall not admit any student who is obviously unqualified or who does not appear to have sufficient pre-professional education in basic sciences to complete the professional program. 
(c) Educational Program (Curriculum). 
(1) The curriculum shall include at least four academic years of instruction or its equivalent. 
(2) The institution shall define the competencies needed for graduation, which shall be focused on educational outcomes. 
(3) The institution's curriculum shall ensure an in-depth understanding of the biomedical principles, consisting of a core of information on the fundamental structures, functions, and interrelationships of the body system. 
(4) The curriculum shall provide biomedical, behavioral, and clinical knowledge that is integrated and is of sufficient depth and scope for graduates to apply advances in modern biology to clinical practice and to integrate new medical knowledge and therapies relevant to oral health care. 
(5) The educational program shall be designed to ensure that graduates are at a minimum competent in: 
(A) Behavioral sciences 
(B) Practice management 
(C) Ethics and professionalism 
(D) Information management and critical thinking 
(6) The educational program shall be designed to ensure that graduates are at a minimum competent in providing all of the following types of oral health care within the scope of general dentistry to all types of patients: 
(A) Patient assessment and diagnosis 
(B) Comprehensive treatment planning 
(C) Health promotion and disease prevention 
(D) Informed consent 
(E) Anesthesia, sedation and pain and anxiety control 
(F) Restoration of teeth 
(G) Replacement of teeth 
(H) Periodontal therapy 
(I) Pulpal therapy 
(J) Oral mucosal disorders 
(K) Hard and soft tissue surgery 
(L) Dental emergencies 
(M) Malocclusion and space management 
(N) Evaluation of the outcomes of treatment 
(7) The institution shall provide to students, in advance of instruction, the goals and requirements of each course, nature of course content and methods of evaluation. 
(8) The institution shall employ student evaluation methods that measure the defined competencies. 
(9) The institution shall have a system of ongoing curriculum review and evaluation, including a curriculum management plan that assures evaluation of all courses relative to competency objectives, elimination of outdated, unnecessary material, and incorporation of emerging information. 
(10) The institution shall ensure that students have adequate patient experiences to achieve the institution's stated goals and competencies within a reasonable time. 
(d) Faculty and Staff. 
(1) The institution shall employ qualified faculty sufficient in number to meet the institution's stated mission, purposes, and objectives. 
(2) The institution shall have a form of governance that allows the faculty to participate in the institution's decision making process. 
(3) The institution shall have a formal ongoing faculty development process. 
(4) The institution shall have a defined process to objectively measure the performance of each faculty member in teaching, patient care, research, scholarship and service. 
(5) When contracting for educational services, the institution shall maintain control of, and responsibility for, all academic matters, and shall assure that the instruction and faculty satisfy the standards established in this division. 
(6) The faculty shall have sufficient expertise to support the institution's awarding of a degree in dentistry. 
(7) The institution shall maintain records documenting that each faculty member is qualified to perform the duties to which the faculty member was assigned, including providing instruction, evaluating learning outcomes, and student projects. 
(e) Resources (Plant and Facilities). 
(1) The institution shall have sufficient facilities and necessary equipment to support the achievement of its mission, purpose, goals and objectives. 
(2) The institution shall, as part of its curricula, require that students use available library and other learning resources. 
(3) An institution shall have a library and other learning resources focused on dentistry and its related sciences in order to meet the teaching and research needs of the institution. 
(4) The library shall be a learning center that is administered by a professionally qualified staff and that has an adequate budget. 
(f) Patient Care Services. 
(1) The institution shall have a formal system of quality assurance for its patient care program that includes all of the following: 
(A) Standards of patient centered care with a focus on comprehensive care, including measurable assessment criteria; 
(B) A process of ongoing review of patient records to assess appropriateness, necessity and quality of care provided; 
(C) Mechanisms to determine causes of treatment deficiencies;. 
(D) Patient review policies, procedures, outcomes and corrective measures 
(2) The institution shall ensure that student, faculty and support staff are proficient in basic life support and are able to manage medical emergencies. 
(3) The institution shall have and enforce a mechanism to ensure adequate preclinical, clinical and laboratory asepsis, infection control, and disposal of infectious waste. 
(4) The institution shall ensure the delivery of comprehensive patient care to individual patients. 
(g) Research. 
(1) The institution shall ensure that research is an integral component of its purpose, mission, goals and objectives and that the dental school faculty engage in research and other forms of scholarly activity. 
(2) The institution shall also provide students with the opportunity to participate in these research activities in order to fulfill its purpose, mission, goals and objectives. 
(h) Ownership and Management. 
Each owner, corporate director, and chief executive officer, of an institution has the duty to act in the utmost good faith to expend or authorize the expenditure of the institution's assets and funds in a diligent and prudent manner to assure that students receive the education and student services which were represented to the students and which meet the requirements of this article. 
(i) Administration. 
(1) The institution shall employ administrative personnel who have the expertise to implement activities to achieve the institution's mission/purposes, goals and objectives and the operation of the educational programs. 
(2) The duties and responsibilities for administrative personnel shall be set forth in a personnel manual or other writing maintained by the institution. 
(3) An institution with one or more locations shall establish written institutional policies regarding the division and sharing of administrative responsibilities between the central administration at the main location and the administration of the other locations. 
(4) The administrative staffing at each location shall reflect the purposes, size, and educational operations at that location. 
(j) Catalog. 
(1) The institution shall publish a current catalog either in printed or electronic format. 
(2) The catalog shall contain all of the following: 
(A) The specific beginning and ending dates defining the time period covered by the catalog. 
(B) A statement of the institution's mission/purpose and the objectives underlying each of its educational programs. 
(C) The institution's admissions policies. 
(D) The institution's policies regarding the acceptance of units of credit earned by the student at other institutions or through challenge examinations and standardized tests. 
(E) The curriculum for each year of the educational program in dentistry. 
(F) A list of the courses offered and a brief description of each course. 
(G) The institution's standards for student achievement. 
(k) Student Records. 
(1) The institution shall maintain a file for each student who enrolls in the institution whether or not the student completes the educational program. 
(2) The file shall contain written records and transcripts of any formal education, training, or testing that are relevant to the student's qualifications for admission to the institution or the institution's award of credit or acceptance of transfer records documenting units of credit earned at other institutions that have been accepted and applied by the institution as transfer credits toward the student's completion of an educational program 
(3) The file shall contain records of the dates of enrollment and, if applicable, withdrawal from the institution, leaves of absence, and graduation. 
(4) The transcript shall contain all of the following: 
(A) The classes that were completed, or were attempted but not completed, and the dates of completion or withdrawal. 
(B) The final grades or evaluations given to the student. 
(C) Credit for courses earned at other institutions. 
(D) Credit based on any examination of academic ability or educational achievement used for admission or college placement purposes. 
(E) Degrees and diplomas awarded the student. 
(F) Copies of any official advisory notices or warnings regarding the student's progress. 
(G) Complaints received from the student. 
(l) Maintenance of Records. 
(1) An institution shall maintain all records required by this article that relate to the institution's compliance with this article for at least five years, except, however, that student transcripts shall be retained indefinitely. These records may be maintained in either printed form or on computer disk so long as they are available for inspection. 
(2) Notwithstanding subsection (1) above, a record that is less than five years old may be stored on microfilm, microfiche, or any other method of record storage only if all of the following apply: 
(A) The record may be stored without loss of information or legibility for the period within which the record is required to be maintained by this article. 
(B) The institution maintains functioning devices that can immediately reproduce exact, legible printed copies of stored records. The devices shall be maintained in reasonably close proximity to the stored records. 
(C) The institution has personnel scheduled to be present at all times during normal business hours who know how to operate the devices and can explain the operation of the devices to any person authorized by the board to inspect and copy records. 
NOTE

Authority cited: Sections 1614 and 1636.4, Business and Professions Code. Reference: Sections 1614 and 1628, Business and Professions Code.
HISTORY

1. Editorial correction of subsection (j) filed 7-17-85; effective thirtieth day thereafter (Register 85, No. 29).
2. Change without regulatory effect amending subsections (d) and (i)(4) and relettering subsections (h)-(j) to subsections (g)-(i) filed 9-11-89 pursuant to Section 100, Title 1, California Code of Regulations (Register 89, No. 37).
3. Repealer and new section filed 10-15-2001; operative 11-14-2001 (Register 2001, No. 42).
§1024.2. List of Approved Schools.
Note

The board's executive officer shall maintain on file a current listing of all dental schools approved by the board. Such listing shall also specifically state any limitations on or duration of said approval if such limitations were included in the board's grant of approval.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1611 and 1614, Business and Professions Code.
§1024.3. Application and Survey Form of Foreign Dental School.
Note     •     History

A foreign dental school seeking approval from the board shall submit an application on form Foreign Dental School Application Initial/Renewal rev. 11/30/00, which is hereby incorporated by reference, together with any supporting documentation necessary to establish that the applicant meets the standards set forth in this division. 
NOTE

Authority cited: Sections 1614 and 1636.4, Business and Professions Code. Reference: Section 1636.4, Business and Professions Code. 
HISTORY

1. New section filed 10-15-2001; operative 11-14-2001 (Register 2001, No. 42).
§1024.4. Processing of Completed Application for Approval of Foreign Dental School.
Note     •     History

(a) The board shall not act on an application for approval of a foreign dental school until a completed application has been submitted to it for its review. 
(b) Within sixty (60) days after receipt of an application for approval, the board shall notify the institution in writing that the application is complete and has been accepted for filing or that the application is not complete. If the application is not complete, the board shall specify in the notice what additional information or documents are needed from the institution in order for the application to be deemed complete. 
(c) The board shall consider an application to be complete if it appears that the institution has submitted all of the information, documents, and fees required by this article, including any additional documents the board may request to determine if the institution meets the minimum standards set forth in this division. Once the board determines that the application is complete and meets the minimum standards set forth in this division the board within two hundred twenty five (225) days will notify the institution of its application approval or disapproval. 
NOTE

Authority cited: Sections 1614 and 1636.4, Business and Professions Code. Reference: Section 1636.4, Business and Professions Code; and Section 15376, Government Code. 
HISTORY

1. New section filed 10-15-2001; operative 11-14-2001 (Register 2001, No. 42).
§1024.5. Change in Circumstance Affecting Application Information of Foreign Dental Schools.
Note     •     History

(a) If, after the submission of an application but prior to the board's decision to approve or deny an approval, there is any material change in circumstances affecting any information contained in the application or submitted by the institution in support of the application, the institution shall immediately inform the board in writing. 
(b) For the purposes of this section, a change in circumstance is “material” if, without the inclusion of the new or different information into the application, the information contained in or the supporting documentation to the application would be false, misleading, or incomplete. 
NOTE

Authority cited: Sections 1614 and 1636.4, Business and Professions Code. Reference: Section 1636.4, Business and Professions Code. 
HISTORY

1. New section filed 10-15-2001; operative 11-14-2001 (Register 2001, No. 42).
§1024.6. Site Inspection; Onsite Inspection and Evaluation Team of Foreign Dental Schools.
Note     •     History

(a) Impaneling of Site Team. 
The onsite inspection and evaluation team (“site team”) shall make a comprehensive, qualitative onsite review of each institution that applies for approval not later than 180 days after the board's receipt of a complete application unless the board or its designee and the institution agree to a later date. 
(1) The board or its designee shall appoint the site team. 
(2) The site team shall consist of four persons: either one dentist board member, or one member of the board's staff; and two recognized California licensed dental educator consultants with expertise in accreditation, and one California licensed dentist who has extensive knowledge of the applicant's educational process and is fluent in the language of instruction. This last member shall be selected by the board from a list of three California licensed dentists submitted by board staff. The applicant shall be provided with the names of three dentists and may challenge for cause any of the staff's recommendations for this position within 30 days from the date the list of names was mailed to the applicant. 
(3) The board staff member, with the cooperation of the site team's members, shall prepare the site team's evaluation report and recommendations. 
(b) Duties of the Site Team. 
(1) The site team shall conduct a comprehensive, qualitative onsite inspection and review of all aspects of the institution's operations to evaluate the institution's efforts to implement its mission/purpose, goals and objectives and to determine whether the institution complies with the requirements of this article. 
(2) The site team's inspection and review shall include the examination of documents and records, the inspection of facilities and equipment, the auditing of classes, and the interview of administrators, faculty, and students. 
(c) Site Team Report. 
(1) The site team report shall contain all of the following: 
(a) The site team's findings regarding the institution's compliance with this article and facts supporting those findings. 
(b) The site team's assessment of the quality of the educational program offered by the institution, including any deficiencies, and facts supporting the assessment. 
(c) The site team's assessment of the quality of the institution as a whole and facts supporting the assessment. 
(d) The site team's recommendations for quality improvement based on its findings and assessment in the event the board grants approval. 
(2) The site team shall prepare and submit a report to the technical advisory group described in Section 1636.4 of the code. The technical advisory group will review the report and make recommendations to the board. The report will then be submitted to the institution and to the board. The institution shall have an opportunity to review the technical advisory group report and respond to board staff within 45 days after the institution received the report as to errors of fact or erroneous findings. 
NOTE

Authority cited: Sections 1614 and 1636.4, Business and Professions Code. Reference: Section 1636.4, Business and Professions Code. 
HISTORY

1. New section filed 10-15-2001; operative 11-14-2001 (Register 2001, No. 42).
§1024.7. Foreign Dental School Fees.
Note     •     History

(a) The fee for applying for approval as a foreign dental school, due at the time of submitting an application, is $1,000. 
(b) The fee for renewal of approval of a foreign dental school is $500. 
(c) The fee for site inspection is all reasonable costs incurred by the board staff and the site team, payable in estimated form in advance of the site visit. If the cost of the site visit exceeds the amount previously paid, the board shall bill the institution for the remaining amount and shall not take action on the application for approval until such time as the full amount has been paid. If the amount paid exceeds the actual amount of the costs incurred, the board shall remit the difference to the institution within 60 days. 
NOTE

Authority cited: Sections 1614 and 1636.4, Business and Professions Code. Reference: Section 1636.4, Business and Professions Code. 
HISTORY

1. New section filed 10-15-2001; operative 11-14-2001 (Register 2001, No. 42).
§1024.8. Notification of Changes Required of Foreign Dental Schools.
Note     •     History

(a) An approved institution shall notify the board in writing no later than 30 days after making any change in the following: 
(1) location; 
(2) mission, purposes or objectives; 
(3) change of name; 
(4) shift or change in control. A “shift in control” or “change in control” means any change in the power or authority to manage, direct, or influence the conduct, policies, and affairs of an institution from one person or group of people to another person or group of people. A “shift in control” or “change in control” may but need not involve a transfer of any property interest. A “shift in control” or “change in control” may include a shift in the voting control of corporate stock from one person or group to another, the acquisition of sufficient stock by a minority shareholder to gain control of the institution, the transfer of voting rights to a voting trust, the transfer of any ownership interest to any trust in which the owner does not have the same degree of control as before the transfer, and the transfer of authority to manage the institution by the owners to another. A “shift in control” or “change in control” does not include the owner's replacement of an individual administrator with another natural person if the owner does not transfer any interest in the institution or relinquish any control of the institution to that person. 
(b) Nothing in this article shall prevent the board from requesting that the institution provide information, documents, or other evidence in order for the board to determine whether the change will affect the institution's compliance with the requirements of this article. The board shall make a determination within 60 days after receiving such written notification whether, because of the change, the institution is no longer in compliance with the requirements of this article. 
NOTE

Authority cited: Sections 1614 and 1636.4, Business and Professions Code. Reference: Section 1636.4, Business and Professions Code. 
HISTORY

1. New section filed 10-15-2001; operative 11-14-2001 (Register 2001, No. 42).
§1024.9. Abandonment of Application by Foreign Dental School.
Note     •     History

An application that has not been completed by the applicant in accordance with this article within one year after the application was initially filed shall be deemed abandoned. An application shall also be deemed abandoned if the institution has not paid the estimated site visit cost within 180 days of the board's written request for payment. If an application has been abandoned, the applicant may seek approval only by submitting a new application and fee. 
NOTE

Authority cited: Sections 1614 and 1636.4, Business and Professions Code. Reference: Section 1636.4, Business and Professions Code. 
HISTORY

1. New section filed 10-15-2001; operative 11-14-2001 (Register 2001, No. 42).
§1024.10. Provisional Approval of Foreign Dental School; Duration.
Note     •     History

Provisional approval may be granted to an institution that is substantially in compliance with the requirements of this article but that has specific deficiencies or weaknesses that are of such a nature that they can be corrected in a reasonable length of time. A provisional approval shall remain in effect for 24 months from the date on which it was issued unless the deficiencies are removed sooner and full approval has been granted before that date. 
NOTE

Authority cited: Sections 11614 and 1636.4, Business and Professions Code. Reference: Section 1636.4, Business and Professions Code. 
HISTORY

1. New section filed 10-15-2001; operative 11-14-2001 (Register 2001, No. 42).
§1024.11. Renewal of Foreign Dental School
Note     •     History

Renewal shall be made prior to expiration of the institution's approval and shall be accompanied by the fee prescribed in section 1024.7 and documentation establishing that the institution remains in compliance with the requirements of these regulations. The board may, in its discretion, conduct a site inspection to ascertain continued compliance with the requirements of these regulations. 
NOTE

Authority cited: Sections 11614 and 1636.4, Business and Professions Code. Reference: Section 1636.4, Business and Professions Code. 
HISTORY

1. New section filed 10-15-2001; operative 11-14-2001 (Register 2001, No. 42).
§1024.12. Withdrawal of Approval of Foreign Dental School.
Note     •     History

The board may at any time withdraw its approval of an institution that no longer meets the requirements of this division. Prior to withdrawing its approval, the board shall send to the institution a written statement specifying those deficiencies upon which it is basing its withdrawal of approval. The institution shall have 120 days within which to respond to this statement of deficiencies either by providing evidence that the stated deficiencies do not exist or by providing a plan for timely correction of those deficiencies. A technical advisory group shall be convened. The statement of deficiencies and the institution's response thereto shall be presented to the technical advisory group for its review. The technical advisory group shall make a written recommendation to the board. The board shall make its decision no later than 120 days after receipt of the technical advisory group's recommendation and shall notify the institution in writing of its decision and the basis for that decision. 
NOTE

Authority cited: Sections 1614 and 1636.4, Business and Professions Code. Reference: Section 1636.4, Business and Professions Code. 
HISTORY

1. New section filed 10-15-2001; operative 11-14-2001 (Register 2001, No. 42).
§1025. Extramural Dental Facility.
Note     •     History

(a) It is the intent of this section to provide a procedure whereby an extramural dental facility may be identified, qualified and approved by the board as an adjunct to, and an extension of, the clinical and laboratory departments of an approved dental school.
(b) As used in this article, “extramural dental facility” means and includes any clinical facility employed by an approved dental school for instruction in dentistry which exists outside or beyond the walls, boundaries or precincts of the primary campus of the approved dental school, and in which dental services are rendered.
(c) Dental services provided to the public by dental students at undergraduate levels in an extramural dental facility shall constitute a part of the dental education program.
(d) Approved dental schools shall register extramural dental facilities with the board. Such registration shall be accompanied by information supplied by the dental school pertaining to faculty supervision, scope of treatment to be rendered, arrangements for postoperative care, name and location of the facility, date operation will commence, discipline of which such instruction is a part, and a brief description of the equipment and facilities available. The foregoing information shall be supplemented with a copy of the agreement between the approved dental school or parent university, and the affiliated institution establishing the contractual relationship. Any change in the information initially provided to the board shall be communicated to the board.
(e) The processing times for registration of an extramural dental facility are set forth in Section 1061.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1614 and 1628, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New subsection (e) filed 2-22-88; operative 3-23-88 (Register 88, No. 10).
§1026. Mobile Dental Clinics.
Note     •     History

(a) It is the intent of this section to provide a procedure whereby mobile dental clinics may be identified, qualified and approved by the board as an adjunct to, and an extension of, the clinical and laboratory departments of an approved dental school.
(b) As used in this article “mobile dental clinic” means and includes any clinical facility employed by an approved dental school for instruction in dentistry which may be moved, towed or transported from one location to another, and in which dental services are rendered.
(c) Dental services provided to the public by dental students in a mobile dental clinic shall constitute a part of the dental education program. The program shall be balanced in the sense that it will provide a potential for innovative teaching possibilities as well as providing a resource whereby the dental student may experience a greater exposure to aspects of dental practice than those aspects encountered in the primary clinical and laboratory environment of the dental school.
(d) Approved dental schools shall register mobile dental clinics with the board. Such registration shall be accompanied by information supplied by the dental school pertaining to faculty supervision, scope of treatment to be rendered, postoperative care, proposed itinerary showing locations by dates, discipline of which such instruction is a part, and a brief description of the equipment and facilities available. Any change in the foregoing information initially provided to the board shall be communicated to the board. 
(e) Mobile dental clinics shall constitute a part of an approved dental school teaching program.
(f) The processing times for registration of a mobile dental clinic are set forth in Section 1061.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1611 and 1614, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New subsection (f) filed 2-22-88; operative 3-23-88 (Register 88, No. 10).
§1027. Special Permits--Definitions.
Note     •     History

(a) As used in Section 1640(b) of the code, the phrase “graduated from a dental college approved by the board” means that the applicant possesses either: (1) a doctoral or other postgraduate degree issued by a dental school or college which is approved by the Commission on Dental Accreditation of the American Dental Association or which is accredited by a body which has a reciprocal accreditation agreement with that commission; or (2) a certificate of completion of an accredited dental program at such an institution.  
(b) As used in section 1640(c) of the code, the term “specialty board” means a dental specialty board approved by the American Dental Association. 
(c) As used in Section 1642 of the code, the term “affiliated institution” for purposes of fee for service practice by the holder of a special permit, means any setting or institution affiliated with the dental college and approved by the board, other than a private dental office.  This definition shall not be interpreted to preclude a special permit holder from providing instruction in a private dental office as part of a dental school curriculum if that dental office has been approved by the board as an extramural facility.
NOTE

Authority cited: Section 1614, Business and Professions Code.  Reference: Sections 1640 and 1642, Business and Professions Code.
HISTORY

1. New section filed  2-24-94 ; operative  3-28-94 (Register 94, No. 8).
§1027.1. Eligibility for Specialty Board Examination.
Note     •     History

A special permit holder who is not certified as a diplomate of a specialty board shall, as a condition of renewing such special permit, submit evidence satisfactory to the board that he or she is currently eligible to take a specialty board examination or has become a diplomate of a specialty board.  This section shall be applicable to any person who applies for and is issued an initial special permit on or after April 1, 1994.
NOTE

Authority cited: Section 1614, Business and Professions Code.  Reference: Section 1640, Business and Professions Code.
HISTORY

1. New section filed  2-24-94; operative 3-28-94 (Register 94, No. 8).
Article 2. Application for Licensure
§1028. Application for Licensure.
Note     •     History

(a) An applicant for licensure as a dentist shall submit an “Application for Licensure to Practice Dentistry” (WREB) or “Application for Examination for Licensure to Practice Dentistry” which are forms prescribed by the board and the application shall be accompanied by the following information and fees:
(1) The application and examination(s) fees as set by Section 1021;
(2) Satisfactory evidence that the applicant has met all applicable requirements in Section 1628 of the Code;
(3) Two classifiable sets of fingerprints or a LiveScan form and applicable fee;
(4) Where applicable, a record of any previous dental practice and verification of license status in each state or jurisdiction in which licensure as a dentist has been attained;
(5) Except for applicants qualifying pursuant to Section 1632(c)(2), satisfactory evidence of liability insurance or of financial responsibility in accordance with Section 1628(c) of the code. For purposes of that subsection:
(A) Liability insurance shall be deemed satisfactory if it is either occurrence-type liability insurance or claims-made type liability insurance with a minimum five year reporting endorsement, issued by an insurance carrier authorized by the Insurance Commissioner to transact business in this State, in the amount of $100,000 for a single occurrence and $300,000 for multiple occurrences, and which covers injuries sustained or claimed to be sustained by a dental patient in the course of the licensing examination as a result of the applicant's actions.
(B) “Satisfactory evidence of financial responsibility” means posting with the board a $300,000 surety bond.
(6) Applicant's name, social security number, address of residency, mailing address if different from address of residency, date of birth, and telephone number;
(7) Applicant's preferred examination site(s) in California unless the applicant has passed the Western Regional Examining Board examination;
(8) Any request for accommodation pursuant to the Americans with Disabilities Act;
(9) A 2-inch by 2-inch passport style photograph of the applicant, submitted with the “Application for Licensure to Practice Dentistry (WREB)”;
(10) Information regarding applicant's education including dental education and postgraduate study;
(11) Certification from the dean of the qualifying dental school attended by the applicant to certify the date the applicant graduated;
(12) Information regarding whether the applicant has any pending or had in the past any charges filed against a dental license or other healing arts license;
(13) Information regarding any prior disciplinary action(s) taken against the applicant regarding any dental license or other healing arts license held by the applicant including actions by the United States Military, United States Public Health Service or other federal government entity. “Disciplinary action” includes, but is not limited to, suspension, revocation, probation, confidential discipline, consent order, letter of reprimand or warning, or any other restriction or action taken against a dental license. If an applicant answers “yes”, he or she shall provide the date of the effective date of disciplinary action, the state where the discipline occurred, the date(s), charges convicted of, disposition and any other information requested by the board;
(14) Information as to whether the applicant is currently the subject of any pending investigation by any governmental entity. If the applicant answers “yes,” he or she shall provide any additional information requested by the board;
(15) Information regarding any instances in which the applicant was denied a dental license, denied permission to practice dentistry, or denied permission to take a dental board examination. If the applicant answers “yes”, he or she shall provide the state or country where the denial took place, the date of the denial, the reason for denial, and any other information requested by the board;
(16) Information as to whether the applicant has ever surrendered a license to practice dentistry in another state or country. If the applicant answers “yes,” additional information shall be provided including state or country of surrender, date of surrender, reason for surrender, and any other information requested by the board;
(17) Information as to whether the applicant has ever been convicted of any crime including infractions, misdemeanors and felonies unless the conviction was for an infraction with a fine of less than $300. “Conviction” for purposes of this subparagraph includes a plea of no contest and any conviction that has been set aside pursuant to Section 1203.4 of the Penal Code. Therefore, applicants shall disclose any convictions in which the applicant entered a plea of no contest and any convictions that were subsequently set aside pursuant to Section 1203.4 of the Penal Code.
(18) Whether the applicant is in default on a United States Department of Health and Human Services education loan pursuant to Section 685 of the Code.
(19) Any other information the board is authorized to consider when determining if an applicant meets all applicable requirements for examination and licensure; and
(20) A certification, under the penalty of perjury, by the applicant that the information on the application is true and correct;
(b) Completed applications shall be filed with the board not later than 45 days prior to the date set for the beginning of the examination for which application is made. An application shall not be deemed incomplete for failure to establish compliance with educational requirements if the application is accompanied by a certification from an approved school that the applicant is expected to graduate from that school prior to such examination and if the approved school certifies not less than 15 days prior to examination that the applicant has in fact graduated from that school.
(c) In addition to complying with the applicable provisions contained in subsections (a) through (b) above, an applicant for licensure as a dentist upon passage of Western Regional Examining Board (“WREB”) examination shall also furnish evidence of having successfully passed, on or after January 1, 2005, the WREB examination.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1628 and 1628.5, Business and Professions Code.
HISTORY

1. Renumbering and amendment of subsection (c) to subsection (b)(5), subsection (c)(1) to subsection (b)(5)(A), subsection (c)(2) to subsection (b)(5)(B), subsection (d) to subsection (c) and new subsection (d) filed 4-27-87; operative 4-27-87 (Register 87, No. 18).
2. Amendment of subsections (c) and (d) filed 2-22-88; operative 3-23-88 (Register 88, No. 10).
3. Amendment of section and Note filed 3-13-2006 as an emergency; operative 3-13-2006 (Register 2006, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2006 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 7-12-2006 as an emergency; operative 7-12-2006 (Register 2006, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-9-2006 or emergency language will be repealed by operation of law on the following day.
5. Reinstatement on 11-10-2006 of section as it existed prior to 3-13-2006 emergency amendment by operation of Government Code section 11346.1(f) (Register 2006, No. 46).
6. Amendment of section and Note refiled 11-15-2006 as an emergency; operative 11-15-2006 (Register 2006, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-15-2007 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-15-2006 order transmitted to OAL 1-5-2007 and filed 2-15-2007 (Register 2007, No. 7).
§1028.2. Application for Determination of Licensure Eligibility Pursuant to Section 1634.1.
Note     •     History

(a) An applicant for licensure as a dentist pursuant to Section 1634.1 of the Code shall submit an “Application for Determination of Licensure Eligibility (Residency)” (Rev. 07/08) that is incorporated herein by reference and shall be accompanied by certification of graduation by the dean of the qualifying dental school attended by the applicant, a letter from WREB certifying that the applicant has not failed the WREB clinical exam within the last five years and the applicable fees as set by Section 1021.
(b) Following review, the board shall notify the applicant of the eligibility determination. Upon a finding that the applicant is eligible, the applicant shall file an Application for Issuance of License Number and Registration of Place of Practice, as set forth in Section 1028.4.
NOTE

Authority cited: Sections 1614 and 1634.2(c), Business and Professions Code. Reference: Section 1634.1, Business and Professions Code.
HISTORY

1. New section filed 2-1-2008 as an emergency; operative 2-1-2008 (Register 2008, No. 5). A Certificate of Compliance must be transmitted to OAL by 7-30-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-1-2008 order, including amendment of subsection (a), transmitted to OAL 7-29-2008 and filed 9-10-2008 (Register 2008, No. 37).
§1028.3. Certification of Clinical Residency Program Completion Pursuant to Section 1634.2(c).
Note     •     History

An applicant for licensure as a dentist pursuant to Section 1634.1 of the Code shall submit to the board  a “Certification of Clinical Residency Completion” (Rev. 07/08) that is incorporated herein by reference, and shall be signed by the current director of the residency program.
NOTE

Authority cited: Sections 1614 and 1634.2(c), Business and Professions Code. Reference: Sections 1634.1 and 1634.2, Business and Professions Code.
HISTORY

1. New section filed 2-1-2008 as an emergency; operative 2-1-2008 (Register 2008, No. 5). A Certificate of Compliance must be transmitted to OAL by 7-30-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-1-2008 order, including amendment of section, transmitted to OAL 7-29-2008 and filed 9-10-2008 (Register 2008, No. 37).
§1028.4. Application for Issuance of License Number and Registration of Place of Practice Pursuant to Section 1650.
Note     •     History

Upon being found eligible for licensure, the applicant shall file an “Application for Issuance of License Number and Registration of Place of Practice,” (Rev. 11-07) that is incorporated herein by reference, and shall be accompanied by the licensure fee as set by Section 1021.
NOTE

Authority cited: Sections 1614 and 1634.2(c), Business and Professions Code. Reference: Section 1650, Business and Professions Code.
HISTORY

1. New section filed 2-1-2008 as an emergency; operative 2-1-2008 (Register 2008, No. 5). A Certificate of Compliance must be transmitted to OAL by 7-30-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-1-2008 order, including amendment of section heading and section, transmitted to OAL 7-29-2008 and filed 9-10-2008 (Register 2008, No. 37).
§1028.5. Application for California Law and Ethics Examination Pursuant to Section 1632(b).
Note     •     History

Application for the California law and ethics examination shall be made on an “Application for Law and Ethics Examination” (Rev. 12/07) that is incorporated herein by reference.
NOTE

Authority cited: Sections 1614 and 1634.2(c), Business and Professions Code. Reference: Section 1632, Business and Professions Code.
HISTORY

1. New section filed 2-1-2008 as an emergency; operative 2-1-2008 (Register 2008, No. 5). A Certificate of Compliance must be transmitted to OAL by 7-30-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-1-2008 order, including amendment of section, transmitted to OAL 7-29-2008 and filed 9-10-2008 (Register 2008, No. 37).
§1029. Approval of Applications.
Note

Permission to take an examination shall be granted to those applicants who have paid the necessary fees and whose credentials have been approved by the executive officer.
Nothing contained herein shall be construed to limit the board's authority to seek from an applicant such other information as may be deemed necessary to evaluate the applicant's qualifications.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1628 and 1628.5, Business and Professions Code.
§1030. Theory Examination.
Note     •     History

An applicant shall successfully complete the National Board of Dental Examiners' examination prior to taking the California examination and shall submit confirmation thereof to the board. Such confirmation must be received in the board office not less than 30 days prior to the examination date requested.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1630, 1632 and 1633.5, Business and Professions Code.
HISTORY

1. New section filed 10-15-85; effective thirtieth day thereafter (Register 85, No. 42).
2. Repealer and renumbering and amendment of former section 1007 to section 1030 filed 7-12-95; operative 8-11-95 (Register 95, No. 28).
3. Repealer and new section heading, repealer and new section, and amendment of Note filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
Article 3. Examinations
§1031. Supplemental Examinations in California Law and Ethics.
Note     •     History

Prior to issuance of a license, an applicant shall successfully complete supplemental written examinations in California law and ethics.
(a) The examination on California law shall test the applicant's knowledge of California law as it relates to the practice of dentistry.
(b) The examination on ethics shall test the applicant's ability to recognize and apply ethical principles as they relate to the practice of dentistry.
(c) An examinee shall be deemed to have passed the examinations if his/her score is at least 75% in each examination.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1630, 1632 and 1633.5, Business and Professions Code.
HISTORY

1. Amendment filed 10-15-85; effective thirtieth day thereafter (Register 85, No. 42).
2. Editorial correction deleting duplicative test (Register 98, No. 7).
3. Repealer and new section heading, repealer and new section, and amendment of Note filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
§1032. Demonstrations of Skill.
Note     •     History

Each applicant shall complete written examinations in endodontics and removable prosthodontics. Clinical examinations consisting of periodontics, an amalgam restoration and a composite resin restoration will be completed on patients. In addition, each applicant shall be required to complete a simulation examination in fixed prosthetics. 
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1630 and 1632, Business and Professions Code.
HISTORY

1. Amendment filed 10-15-85; effective thirtieth day thereafter (Register 85, No. 42).
2. Amendment filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
3. Amendment filed 8-25-99; operative 9-24-99 (Register 99, No. 35).
§1032.1. Endodontics.
Note     •     History

The written endodontics diagnosis and treatment planning examination shall test the applicant's ability to diagnose, treatment plan, interpret radiographs and evaluate treatment strategies for pulpal and periapical pathoses and systemic entities.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1632, Business and Professions Code.
HISTORY

1. Renumbering of former section 1033 to new section 1032.1 filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
2. Repealer of former section 1032.1 and renumbering and amendment of former section 1032.3 to section 1032.1 filed 8-25-99; operative 9-24-99 (Register 99, No. 35).
§1032.2. Removable Prosthodontics Evaluation Examination.
Note     •     History

The written removable prosthodontics evaluation examination shall be conducted in a laboratory setting and test the applicant's knowledge, understanding and judgement in the diagnosis and treatment of complete denture, partial denture and implant cases. 
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1632, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1034 to new section 1032.2 filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
2. Repealer of former section 1032.2 and renumbering and amendment of former section 1032.6 to section 1032.2 filed 8-25-99; operative 9-24-99 (Register 99, No. 35).
§1032.3. Clinical Periodontics Examination.
Note     •     History

(a) The clinical periodontics examination shall include a clinical periodontal examination and diagnosis and hand scaling of a quadrant(s) as assigned or approved by the board. The term “scaling” means the complete removal of explorer-detectable calculus, soft deposits and plaque, and smoothing of the unattached tooth surfaces. Unattached tooth surface means the portion of the crown and root surface to which no tissue is attached. Ultrasonic, sonic, handpiece-drive  or other mechanical scaling devices may be used only at the direction of the board.
Additionally, the clinical periodontics examination shall include a written exercise using projected slides depicting clinical situations which shall test the applicant's ability to recognize, diagnose and treat periodontal diseases.
(b) One patient shall be provided by the applicant for the clinical periodontal examination and diagnosis and scaling portions of the examination. The applicant shall provide full mouth radiographs of the patient, which shall consist of 18 radiographs of which at least four must be bite-wings. Radiographs must be of diagnostic quality and must depict the current condition of the patient's mouth. If a patient is deemed unacceptable by the examiners, it is the applicant's responsibility to provide another patient who is acceptable. An acceptable patient shall meet the criteria set forth in Section 1033.1 and the following additional criteria:
(1) Have a minimum of 20 natural teeth, of which at least four must be molar teeth.
(2) Have at least one quadrant with the following:
(A) At least six natural teeth;
(B) At least one molar, one bicuspid and one anterior tooth which are free of conditions which would interfere with evaluation including, but not limited to, gross decay, faulty restorations, orthodontic bands, overhanging margins, or temporary restorations with subgingival margins. (Crowns with smooth margins are acceptable);
(C) Interproximal probing depths of three to six millimeters, of which at least some must exceed three millimeters. A deviation of one millimeter from the above range is permissible;
(D) Explorer-detectable moderate to heavy interproximal subgingival calculus must be present on at least 50 percent of the teeth. Calculus must be radiographically evident.
(c) If an applicant is unable to find a patient with one quadrant which meets the requirements of subsection (b)(2) above, the applicant may provide a patient in which those requirements can be found somewhere in two quadrants on the same side of the mouth rather than in one quadrant. However, an applicant who presents such a patient shall be required to scale all teeth in both quadrants in the same time allotted for scaling one quadrant.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1632, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1035.1 to new section 1032.4 filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
2. Renumbering of former section 1032.3 to section 1032.1 and renumbering and amendment of former section 1032.4 to section 1032.3 filed 8-25-99; operative 9-24-99 (Register 99, No. 35).
3. Editorial correction of subsection (a) (Register 99, No. 42).
4. Amendment of subsection (a) filed 10-12-99; operative 11-11-99 (Register 99, No. 43).
§1032.4. Clinical Amalgam Restoration and Composite Resin Restoration.
Note     •     History

(a) Amalgam restoration. Each applicant shall complete to the satisfaction of the board one Class II amalgam restoration in a vital posterior tooth, excluding the mandibular first bicuspid. The tooth involved in the restoration must have caries which penetrates the dento-enamel junction and must be in occlusion. Proximal caries must be in contact with at least one adjacent tooth. The tooth selected may have one existing single-surface restoration or sealant on the occlusal, buccal or lingual surfaces.
(b) Composite resin restoration. Each applicant shall complete to the satisfaction of the board, one Class III or IV composite resin cavity preparation and restoration of a permanent incisor or canine. The tooth to be restored with a Class III or IV restoration must have proximal caries which penetrates the dento-enamel junction and the caries must be in contact with an adjacent tooth.
(c) Radiographic requirements. Each applicant shall provide satisfactory periapical and bite-wing radiographs of the tooth to be treated for the amalgam restoration and a satisfactory periapical radiograph of the tooth to be treated for the composite resin restoration. All radiographs shall have been taken not more than six months prior to the examination at which they are presented and must depict the current condition of the patient's tooth.
(d) Rubber dams. A rubber dam shall be used during the preparation of the amalgam restoration and the composite resin restoration. The Amalgam preparation and the composite resin preparation shall be presented for grading with a rubber dam in place.
(e) Altering preparations. A preparation which has been graded shall not be changed or altered by the examinee without the specific approval and signature of an examiner.
(f) Pathological exposures. In the event of a pathological exposure during the amalgam preparation or the composite resin preparation, both the preparation and the restoration will be graded.
(g) Mechanical exposures. In the event of a mechanical exposure, completion of the clinical procedure will not be allowed for either the amalgam restoration or the composite resin restoration and the applicant will receive a grade of zero.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1630 and 1632, Business and Professions Code.
HISTORY

1. New section filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
2. Renumbering of former section 1032.4 to section 1032.3 and renumbering of former section 1032.5 to section 1032.4, including amendment of section heading and section, filed 8-25-99; operative 9-24-99 (Register 99, No. 35).
§1032.5. Clinical Simulated Fixed Prosthetics Examination.
Note     •     History

(a) Each applicant shall prepare two abutments to retain a three-unit posterior fixed partial denture and a crown preparation on an anterior tooth. The two abutment preparations of the three-unit posterior fixed partial denture shall be a metal-ceramic retainer and/or complete metal crown retainer and/or a 3/4 crown retainer. Assignment of abutment preparations will be made at start of the prosthetics examination. The crown preparation on an anterior tooth shall be a metal-ceramic preparation.
(b) Each applicant shall provide an articulated dentoform typodont which has 32 synthetic teeth and soft rubber gingivae. The typodont shall be an articulated Columbia typodont No.s 560, 660, 860, 1360, or 1560 or Kilgore typodont D-95S-200 series or an equivalent in all respects.
(c) The typodont shall be mounted in a manikin. The manikin must be mounted in a simulated patient position and kept in a correct operating position while performing examination procedures. The manikin will be provided at the test site and will be mounted either on a dental chair with a headrest bar or mounted on a simulator. The type of manikin mounted on a dental chair shall be a Columbia Aluminum head with metal checks, model number AH-1C-1 or its equivalent. The type of manikin mounted on a simulator shall be a Frasaco phantom head P-5 with face mask or its equivalent.
(d) Minimum equipment to be supplied with the dental chair or simulator at the test site shall be a dental operatory light, a high-speed air handpiece hose with water and airspray, a low-speed air handpiece hose, a three-way air-water dental syringe and an evacuation system.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1630 and 1632, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1035.2 to new section 1032.5 filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
2. Amendment of subsection (b) filed 12-1-98; operative 12-31-98 (Register 98, No. 49).
3. Renumbering of former section 1032.5 to section 1032.4 and new section 1032.5 filed 8-25-99; operative 9-24-99 (Register 99, No. 35).
§1032.6. Removable Prosthodontics Evaluation Examination.
Note     •     History

NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1632, Business and Professions Code.
HISTORY

1. New section filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
2. Renumbering of former section 1032.6 to section 1032.2 filed 8-25-99; operative 9-24-99 (Register 99, No. 35).
§1033. General Procedures for Written and Laboratory Dental Licensure Examinations.
Note     •     History

The following rules, which are in addition to any other examination rules set forth elsewhere in this chapter, are adopted for the uniform conduct of all written and laboratory dental licensure examinations.
(a) The ability of an examinee to read and interpret instructions and examination material is a part of the examination.
(b) No person shall be admitted to an examination room or laboratory unless he or she is wearing the appropriate identification badge.
(c) An examinee may be dismissed from the entire examination, and a statement of issues may be filed against the examinee, for acts which interfere with the board's objective of evaluating professional competence. Such acts include, but are not limited to, the following:
(1) Allowing another person to take the examination in the place of, and under the identity, of the examinee.
(2) Copying or otherwise obtaining examination answers from other persons during the course of the written examination.
(3) Bringing any notes, textbooks, unauthorized models, or other informative data into an examination room or laboratory.
(4) Assisting another examinee during the examination process.
(5) Copying, photographing or in any way reproducing or recording examination questions or answers.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1630 and 1632, Business and Professions Code.
HISTORY

1. Amendment filed 10-15-85; effective thirtieth day thereafter (Register 85, No. 42).
2. Renumbering of former section 1033 to new section 1032.1 and new section filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
3. Amendment of section heading and subsection (c) filed 8-25-99; operative 9-24-99 (Register 99, No. 35).
§1033.1. General Procedures for Clinical Dental Licensure Examination.
Note     •     History

The following rules, which are in addition to any other examination rules set forth elsewhere in this chapter, are adopted for the uniform conduct of the clinical dental licensure examination.
(a) Each examinee shall furnish patients, instruments, handpieces and materials, necessary to carry the procedures to completion. The board will provide operatory lights, dental delivery units and chairs or simulators.
(b) A patient provided by an examinee shall be in a health condition acceptable for dental treatment. If conditions indicate a need to consult the patient's physician or for the patient to be premedicated (e.g. high blood pressure, heart murmur, rheumatic fever, heart condition, prosthesis), the examinee must obtain the necessary written medical clearance and/or, evidence of premedication before the patient will be accepted. The examiners may, in their discretion, reject a patient who in the opinion of at least two examiners has a condition which interferes with evaluation or which may be hazardous to the patient, other patients, applicants or examiners. A hazardous condition includes, but is not limited to, acute symptomatic hepatitis, active herpetic lesions, acute periodontal or periapical abscesses, or necrotizing ulcerative gingivitis. In addition, a patient may be rejected when, in the opinion of at least two examiners, the proposed treatment demonstrates improper patient management, including but not necessarily limited to, contraindicating medical status of the patient, grossly pathologic or unhygienic oral conditions such as extremely heavy calculus deposits, other pathology related to the tooth to be treated, or selection of a restoration that is not suited to the patient's biological or cosmetic requirements. Whenever a patient is rejected, the reason for such rejection shall be noted on the examination record and shall be signed by both rejecting examiners.
(c) No person shall be admitted to the clinic unless he or she is wearing the appropriate identification badge.
(d) The use of local anesthetics shall not be permitted until the patient has been approved by an examiner.
(e) Only the services of registered dental assistance or dental assistants shall be permitted.
(f) An assignment which has been made by the board shall not be changed by an examinee without the specific approval of the board.
(g) An examinee may be dismissed from the entire examination, and a statement of issues may be filed against the examinee, for acts which interfere with the board's objective of evaluating professional competence. Such acts include, but are not limited to the following:
(1) Allowing another person to take the examination in the place of, and under the identity of, the examinee.
(2) Presenting purported carious lesions which are artificially created, whether or not the examinee created the defect.
(3) Presenting radiographs which have been altered, or contrived to represent other than the patient's true condition, whether or not the misleading radiograph was created by the examinee.
(4) Bringing any notes, textbooks, unauthorized models, periodontal charting information or other informative data into the clinic.
(5) Assisting another examinee during the examination process.
(6) Failing to comply with the board's infection control regulations.
(7) Failing to use an aspirating syringe for administering local anesthesia.
(8) Utilizing the services of a licensed dentist, dental school graduate, dental school student, registered dental hygienist in extended functions, registered dental hygienist, dental hygiene graduate, dental hygiene student, or registered dental assistant in extended functions, or student or graduate of a registered dental assistant in extended functions program.
(9) Treating a patient, or causing a patient to receive treatment outside the designated examination settings and timeframes.
(10) Premedicating a patient for purposes of sedation.
(11) Dismissing a patient without the approval and signature of an examiner.
(h) An examinee may be declared by the board to have failed the entire examination for demonstration of gross incompetence in treating a patient.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1630 and 1632, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1035 to new section 1033.1, including repealer and new section heading,  filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
2. Amendment of subsection (b) filed 3-26-99; operative 3-26-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 13).
3. Amendment of subsections (a) and (g) filed 8-25-99; operative 9-24-99 (Register 99, No. 35).
§1034. Grading of Examinations Administered by the Board.
Note     •     History

This section shall apply to the clinical and written examination administered by the board pursuant to Section 1632(c)(1) of the code.
(a) Each examiner shall grade independently. Examinations shall be anonymous. An anonymous examination is one conducted in accordance with procedures, including but not limited to those set forth below, which ensure and preserve the anonymity of examinees. The board shall randomly assign each examinee a number, and said examinee shall be known by that number throughout the entire examination. The grading area shall be separated from the examination area by barriers that block the grading examiners' view of examinees during the performance of the examination assignments. There shall be no communication between grading examiners and clinical floor examiners except for oral communications conducted in the presence of board staff. There shall  be no communication between grading examiners and examinees except written communications on board approved forms.
(b) The final grade of each examinee shall be determined by averaging the grades obtained in:
(1) Endodontics;
(2) Removable prosthodontics evaluation examination;
(3) Periodontics;
(4) Amalgam restoration; 
(5) Composite resin restoration; and
(6) Clinical simulated fixed prosthetics preparations.
(c) An examinee shall be deemed to have passed the examination if his or her overall average for the entire examination is at least 75% and the examinee has obtained a grade of 75% or more in at least four sections of the examination, except that an examinee shall not be deemed to have passed the examination if he or she receives a score of less than 75% in more than one section of the examination in which a patient is treated.
(d) The executive officer shall compile and summarize the grades attained by each examinee and establish the overall average of each examinee. He or she shall indicate on the records so compiled the names of those examinees who have passed or failed the examination and shall so notify each examinee.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1614, 1615, 1632, 1633 and 1634, Business and Professions Code.
HISTORY

1. Renumbering of former section 1034 to new section 1032.2, and renumbering and amendment of former section 1037 to new section 1034 filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
2. New subsection (d) and subsection relettering filed 5-27-98; operative 6-26-98 (Register 98, No. 22).
3. Amendment of subsections (b)(1)-(c), repealer of subsection (d) and subsection relettering filed 8-25-99; operative 9-24-99 (Register 99, No. 35).
4. Amendment of section heading, new introductory paragraph, amendment of subsection (d) and  amendment of Note filed 3-13-2006 as an emergency; operative 3-13-2006 (Register 2006, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2006 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, new introductory paragraph, amendment of subsection (d) and amendment of Note refiled 7-12-2006 as an emergency; operative 7-12-2006 (Register 2006, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-9-2006 or emergency language will be repealed by operation of law on the following day.
6. Reinstatement on 11-10-2006 of section as it existed prior to 3-13-2006 emergency amendment by operation of Government Code section 11346.1(f) (Register 2006, No. 46).
7. Amendment of section heading, new introductory paragraph, amendment of subsection (d) and amendment of Note refiled 11-15-2006 as an emergency; operative 11-15-2006 (Register 2006, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-15-2007 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 11-15-2006 order transmitted to OAL 1-5-2007 and filed 2-15-2007 (Register 2007, No. 7).
§1034.1. Passing Score of Examination Administered by the Western Regional Examining Board (WREB) (§1632(c)(2) of the Code).
Note     •     History

The board will accept as a passing score for Western Regional Examining Board examination the passing score as determined by the Western Regional Examining Board.
NOTE

Authority cited: Sections 1614 and 1632, Business and Professions Code. Reference: Sections 139 and 1632, Business and Professions Code.
HISTORY

1. New section filed 3-13-2006 as an emergency; operative 3-13-2006 (Register 2006, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2006 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-12-2006 as an emergency; operative 7-12-2006 (Register 2006, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-9-2006 or emergency language will be repealed by operation of law on the following day.
3. Repealed on 11-10-2006 by operation of Government Code section 11346.1(g) (Register 2006, No. 46).
4. New section refiled 11-15-2006 as an emergency; operative 11-15-2006 (Register 2006, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-15-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 11-15-2006 order transmitted to OAL 1-5-2007 and filed 2-15-2007 (Register 2007, No. 7).
§1034.5. Grading of Examinations.
Note     •     History

NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1614, 1630 and 1631, Business and Professions Code.
HISTORY

1. New section filed 4-7-99 as an emergency; operative 4-7-99 (Register 99, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-5-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-26-99 as an emergency; operative 7-26-99 (Register 99, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-23-99 or emergency language will be repealed by operation of law on the following day.
3. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 5).  
§1035. Examination Review Procedures; Appeals.
Note     •     History

(a) An examinee who has failed an examination shall be provided with notice, upon written request, of those areas in which he/she is deficient in the clinical and restorative laboratory phases of such examination.
(b) An unsuccessful examinee who has been informed of the areas of deficiency in his/her performance on the clinical and restorative laboratory phases of the examination and who has determined that one or more of the following errors was made during the course of his/her examination and grading may appeal to the board within sixty (60) days following receipt of his/her examination results:
(1) Significant procedural error in the examination process;
(2) Evidence of adverse discrimination;
(3) Evidence of substantial disadvantage to the examinee.
Such appeal shall be made by means of a written letter specifying the grounds upon which the appeal is based. The board shall respond to the appeal in writing and may request a personal appearance by the examinee. The board shall thereafter take such action as it deems appropriate.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1630-1632, Business and Professions Code.
HISTORY

1. Amendment of subsection (f) filed 4-27-87; operative 4-27-87 (Register 87, No. 18).
2. Repealer of subsections (f)-(f)(2) and (h) and subsection relettering filed 7-12-95; operative 8-11-95 (Register 95, No. 28).
3. Renumbering and amendment of former section 1035 to new section 1033.1, and renumbering of former section 1038 to new section 1035 filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
§1035.1. Clinical Periodontics Examination.
Note     •     History

NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1632, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 11-12-96; operative 12-12-96 (Register 96, No. 46).
2. Renumbering and amendment of former section 1035.1 to new section 1032.4 filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
§1035.2. Clinical Cast Restoration and Amalgam.
Note     •     History

NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1630 and 1632, Business and Professions Code.
HISTORY

1. Amendment of subsections (a), (b) and (d) filed 10-15-85; effective thirtieth day thereafter (Register 85, No. 42).
2. Amendment filed 4-27-87; operative 4-27-87 (Register 87, No. 18).
3. Amendment of subsection (f) and new subsection (g) filed 7-12-95; operative 8-11-95 (Register 95, No. 28). 
4. Amendment of subsection (f) filed 8-25-97; operative 9-24-97 (Register 97, No. 35).
5. Renumbering and amendment of former section 1035.2 to new section 1032.5 filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
§1036. Remedial Education.
Note     •     History

An applicant, who fails to pass the examination after three attempts shall not be eligible for further re-examination until the applicant has successfully completed the required additional education.
(a) The course work shall be taken at a dental school approved by the Commission on Dental Accreditation or a comparable organization approved by the Board, and shall be completed within a period of one year from the date of notification of the applicant's third failure.
(1) The course of study must be didactic, laboratory or a combination of the two. Use of patients is optional.
(2) Instruction must be provided by a faculty member of a dental school approved by the Commission on Dental Accreditation or a comparable organization approved by the Board.
(3)) Pre-testing and post-testing must be part of the course of study.
(b) When an applicant applies for reexamination, he or she shall furnish evidence of successful completion of the remedial education requirements for reexamination.
(1) Evidence of successful completion must be on the certification of successful completion of remedial education requirements for re-examination eligibility (rev. 1) form that is provided by the board and submitted prior to the examination.
(2) The form must be signed and sealed by the Dean of the dental school providing the remedial education course.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1632.5, Business and Professions Code.
HISTORY

1. Renumbering of former subsection (a) to Section 1036.2 filed 10-15-85; effective thirtieth day thereafter (Register 85, No. 42).
2. Repealer of former section 1036 and renumbering and amendment of former section 1039 to new section 1036 filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
§1036.1. Amalgam--Restorative Laboratory.
Note     •     History

NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1630 and 1632, Business and Professions Code.
HISTORY

1. Repealer filed 10-15-85; effective thirtieth day thereafter (Register 85, No. 42).
§1036.2. Fixed Prosthetics--Restorative Laboratory.
Note     •     History

NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1630 and 1632, Business and Professions Code.
HISTORY

1. Renumbering of former Section 1036(a) to subsection (a) and amendment of subsection (b) filed 10-15-85; effective thirtieth day thereafter (Register 85, No. 42).
2. Repealer filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
§1036.3. Removable Prosthetics--Restorative Laboratory.
Note     •     History

NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1630 and 1632, Business and Professions Code.
HISTORY

1. Repealer of subsection (a) designator and repealer of subsection (b) filed 7-12-95; operative 8-11-95 (Register 95, No. 28).
2. Repealer filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
§1037. Grading of Examinations.
Note     •     History

NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1614, 1615, 1632, 1633 and 1634, Business and Professions Code.
HISTORY

1. Amendment of subsection (b) filed 10-15-85; effective thirtieth day thereafter (Register 85, No. 42).
2. Amendment of subsections (a) and (c) and repealer of subsections (c)(1)-(2) filed 7-12-95; operative 8-11-95 (Register 95, No. 28).
3. Renumbering of former section 1037 to new section 1034 filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
§1038. Examination Review Procedures; Appeals.
Note     •     History

NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1630-1632, Business and Professions Code.
HISTORY

1. Renumbering of former section 1008 to new section 1038 filed 7-12-95; operative 8-11-95 (Register 95, No. 28).
2. Renumbering of former section 1038 to new section 1035 filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
§1039. Remedial Education.
Note     •     History

NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1632.5, Business and Professions Code.
HISTORY

1. New section filed 3-20-95; operative 4-19-95 (Register 95, No. 12).
2. Renumbering of former section 1039 to new section 1036 filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
Article 4. Graduates of Foreign Dental Schools
§1040. Application and Licensure Requirements.
Note

(a) A graduate of a foreign dental school who desires to take the licensure examination shall apply on a form prescribed by the board. Such application shall be accompanied by the required fees, credentials and documentation specified by the board and should be filed with the board not less than 90 days prior to the examination date requested. Applications may be accepted by the board, in its discretion, up to 45 days prior to such examination date.
Nothing contained herein shall be construed to limit the board's authority to seek from an applicant such other information pertinent to the background, education and experience of the applicant as may be deemed necessary in order to pass upon the applicant's qualifications.
(b) Credentials. The applicant shall furnish the following documentation satisfactory to the board:
(1) A complete transcript of the academic and clinical dental school record of the applicant. Said transcript shall be accompanied by an affidavit showing to the satisfaction of the board that the applicant is the person named in each transcript he submits, that the transcript is a true recital of the full number of academic years of undergraduate courses required for graduation, that such courses of professional instruction in dentistry were accomplished in a resident course of instruction.
(2) A legible, true copy of the dental diploma or dental degree conferred upon the applicant as evidence of the completion of the courses of dental instruction required for graduation. Such document shall be accompanied by an affidavit showing to the satisfaction of the board that the applicant is the person named in such diploma or degree, that he is the lawful holder, and that it was procured in the regular resident course of instruction and examination without fraud or misrepresentation.
(3) The documentation required in paragraphs (1) and (2) hereof shall be authenticated by either the president, secretary, dean or registrar of the educational institution.
(4) Credentials and documentation required by this section which are submitted in a foreign language shall be accompanied by a certified original translation by a qualified translator.
(5) When, because of circumstances beyond his control, an applicant is unable to furnish any of the documents or authentication or certification required by this section, the board may in its discretion accept other documents which it deems satisfactory to establish the applicant's eligibility.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1636, Business and Professions Code.
§1041. Examination Requirements.
Note     •     History

(a) Written Examination. The written examination required by Section 1628.2 of the Code shall be that given by the National Board of Dental Examiners. An applicant shall submit to the board evidence of successful completion of said examination. Pursuant to section 1628.2 of the Code, a copy of the applicant's scores on this written examination must have been received at the board's principal office by July 12, 2004. An original of the applicant's scores must be received with the application to take the Restorative Technique examination requested.
(b) Restorative Techniques. Each foreign-trained examinee shall demonstrate his or her skill in restorative techniques in the presence of the board members or examiners appointed for that purpose. Each examinee shall complete to the satisfaction of the board all assigned restorations.
(1) Assignments. The applicant shall be given an assignment to complete in each of the following categories, as described below.
(A) Amalgam. Each applicant shall prepare and restore a Class II amalgam on a tooth and surface assigned at the time of examination.
(B) Cast Restorations. Each applicant shall prepare two artificial teeth from among those provided by the manufacturer of the typodont specified in subsection (b)(2), for single unit cast restorations, or as abutments for a fixed bridge. The preparation assignments for all teeth to be prepared will be given at the start of the examination and will be selected from the following: MOD onlay, 3/4 crown, 7/8 crown, full metal crown, full all-porcelain crown, or full porcelain-fused-to-metal crown.
(C) Composite. Each applicant shall prepare and/or restore one or more Class II, III, or IV composite restoration(s) on tooth or teeth and surface(s) assigned at the time of the examination, with the tooth or teeth mounted in a typodont specified in subsection (b)(2).
(2) Equipment. The applicant shall provide a crown and bridge typodont which shall be used for the examination in restorative techniques. The typodont shall be the D95SDP-200 Dental Study Model by Kilgore International, Inc. The typodont shall be suitable for mounting either on a dental chair with a headrest bar or on a simulator, whichever is provided by the dental school where the examination is administered. The mounting on a dental chair shall be a Columbia aluminum head, model number AH-1C-1 or its equivalent with removable soft rubber facings simulating the cheeks. Upper and lower members shall be sealed with plaster. The typodont shall be equilibrated in centric relation jaw position prior to the examination, with at least four points of centric occlusal stops on each side of the typodont. The candidate shall also provide addressed mailing materials, as is appropriate for the typodont, with postage prepaid, for the return of the typodont to the candidate after the examination.
(3) Time Period Allowed. 
The examination shall be a total of eight hours in length. This time period includes approval time for the typodont and equilibration time for disapproved typodonts.
(c) Further Examination. An examinee who successfully completes the restorative technique examination is eligible to take the remaining examinations required by Section 1636(c) of the Code. All rules applicable to such examinations and the grading thereof contained in Article 3 of this subchapter shall apply to examinees who are foreign dental school graduates.
(d) Passing Grades. A foreign dental school graduate shall be deemed to have passed the examination if he or she achieves a score of at least 75% on at least two of the three sections of the examination, and an overall score of at least 75% composite average for all three sections of the examination scored as a whole.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1628.2, Business and Professions Code.
HISTORY

1. Editorial correction of subsection (b) filed 7-17-85; effective thirtieth day thereafter (Register 85, No. 29).
2. Amendment of subsections (b)(3) filed 7-7-92; operative 8-6-92 (Register 92, No. 28).
3. Amendment of section and Note filed 6-22-2005; operative 7-22-2005 (Register 2005, No. 25).
Article 4.5. California Dental Corps Loan Repayment Program
§1042. Definitions.
Note     •     History

For purposes of this article: 
(a) “Board” means the Dental Board of California or any committee of the Board to which it delegates authority to make decisions pertaining to the Dental Corps Loan Repayment Program. 
(b) “Code” means the Business and Professions Code. 
(c) “Dentally underserved area” means the areas as defined in Section 1971(d) of the Code. 
(d) “Dentally underserved population,” means those populations as defined in Section 1971(e) of the Code. 
(e) “Educational loan” means an outstanding government or commercial loan obtained by the applicant and used to pay tuition and fees to attend a dental school, including post-graduate training, approved by the Board. 
(f) “Employment” means the contractual work relationship between the practice setting and the dentist. 
(g) “Full-time status” or “full-time practice” means providing dental services for a minimum of 40 hours per week, for a minimum of 45 weeks per year. The 40 hours per week may not be accrued in less than four days per week. The 40 hours per week may be worked at more than one practice setting (as defined by Section 1971(f) of the code). At least 32 hours per week must be spent providing direct patient care at the approved practice setting(s), and up to 8 hours in practice-related activities, e.g., chart review, meetings, etc. Time spent “on-call” cannot be counted toward the 40-hour week. 
(h) “Program” means the California Dental Corps Loan Repayment Program described in Article 9.5 of Chapter 4 of Board 2 (commencing with Section 1970) of the code. 
(i) “Recently received a license” means that the dentist was first issued a license to practice dentistry in any state of the United States or in Canada within 10 (ten) years from the date on which the application for loan repayment is filed. 
NOTE

Authority cited: Sections 1614 and 1972, Business and Professions Code. Reference: Sections 1971-1972, Business and Professions Code. 
HISTORY

1. New article 4.5 (sections 1042-1042.6) and section filed 1-6-2005; operative 2-5-2005 (Register 2005, No. 1).
§1042.1. Guidelines for Selection of Applicants.
Note     •     History

(a) The Board shall give each applicant who meets one of the threshold criteria listed in Section 1972(b)(1) of the code one point for each of those criteria that the applicant meets and one point (or more, as defined) for each of the following criteria that the applicant meets (except that it shall give an applicant two points for speaking a Medi-Cal threshold language and two points for having received significant training in culturally and linguistically appropriate service delivery): 
(1) Speaks more than one Medi-Cal threshold language, as defined in Section 1971(g) of the code (one point for each additional language that is spoken by the population served by the clinic(s) at which the applicant will be providing services). 
(2) Has additional experience working in a health field related to dentistry in a dentally underserved area (one point for each year). 
(3) Is not participating in any other educational loan repayment program at the time of application. 
(4) Is entitled to hold him or herself out as a specialist under Section 651(h)(5)(A)(i) of the code because he or she completed a specialty education program approved by the American Dental Association and Commission on Dental Accreditation; is eligible for examination by a national specialty board recognized by the American Dental Association; or is a Diplomate of a national specialty board recognized by the American Dental Association (one point for each specialty). 
(5) Completed an extra-mural program or rotation during dental school or postgraduate training in which the applicant provided services to a population that speaks any Medi-Cal threshold language, as defined in Section 1971(g) of the code. 
(6) Will be providing dental services at multiple practice settings (as defined in Section 1971(f) of the code) (one point for each additional setting); or will be providing service at a practice setting that is organized as not-for-profit corporation or a community clinic (as defined in Section 1971(f)(1) of the code). 
(7) Is willing to participate in the program if he or she is granted either less than he or she requests in repayment, or less than the maximum repayment allowed under the program. 
(8) Any other statement or information indicating the applicant's interest in participating in the program, the area that the applicant desires to work, and the population that the applicant desires to serve. 
(b) The number of points that an applicant receives shall not be the determinative factor in selecting dentists to participate in the program. The Board shall, consistent with the program, determine the needs for dentist services identified by the practice setting in which the participant will be providing services ensuring, at a minimum, that the practice setting is located in a dentally underserved area and that participant serves a patient population that consists of at least 50% dentally underserved populations. The Board shall, consistent with the program, seek to place the most qualified applicants in the areas with the greatest need considering applicants who are best suited to meet the cultural and linguistic needs and demands of patients dispersed throughout California. In its applicant selection the Board shall, consistent with the program and applicant pool, seek to achieve a geographic distribution that best addresses the needs of dentally underserved areas of urban and rural California, northern and southern California, and the unmet cultural and linguistic needs of the widest spectrum of dentally underserved populations. 
NOTE

Authority cited: Sections 1614 and 1972, Business and Professions Code. Reference: Sections 1971-1972, Business and Professions Code. 
HISTORY

1. New section filed 1-6-2005; operative 2-5-2005 (Register 2005, No. 1).
§1042.2. Application; Process.
Note     •     History

(a) A dentist who desires to participate in the program shall submit an application to the Board on the Dental Loan Repayment Program Application (rev. 1/05), which is incorporated by reference, and which includes all of the following: 
(1) Applicant's name, California dental license number, address, telephone numbers, social security number, date of birth, e-mail address (if available), permit number of any permits issued by the Board, and date of issuance of first dental license and issuing body. 
(2) Which of the criteria listed in Section 1972(b)(1) of the code or in section 1042.1 the applicant meets and why, including dates of and institutions where postgraduate training occurred. 
(3) The name of each lender from which the applicant obtained an educational loan, together with the most current loan statement(s) that contains the lender's name(s) and mailing address(es), the applicant's name and loan account number(s), the outstanding balance(s) of the loan, the purpose for which the loan(s) was (were) given, and the date on which the loan statement(s) was (were) issued. 
(4) Whether the applicant has ever been in default or had a judgment lien against the applicant for any debt, and an explanation for each default or judgment lien. 
(5) Whether the applicant is willing to sign, or has signed, a written agreement with the practice setting(s) committing to three years of full-time service in a dentally underserved area. 
(6) The name and address of each practice location at which services are to be provided under the program. 
(7) A statement authorizing release to the Board of information enumerated in the application and any attachments thereto. 
(8) A certification under penalty of perjury, signed and dated by the practice setting's administrative officer, whose name is printed below his/her signature, that the facility has entered into an agreement with the applicant for a minimum of three years; that the applicant can speak a Medi-Cal threshold language effectively in order to provide service; that it will pay the applicant a prevailing wage and not offset any loan repayments by the program against the applicant's salary; and that it is a “practice setting” as defined in Section 1971(f) of the code. 
(9) A certification under penalty of perjury as to the contents of the application and any attachments, signed and dated by the applicant. 
(b) Application filing periods will be dependent upon available funding and the number of openings in the program. Every application filing period shall be posted on the board's website and shall close not earlier than 30 days after the date on which openings are first posted. Section 1042.3(a) notwithstanding, an application that is either not complete or not received by the final filing date shall not be considered, and shall be returned to the applicant. 
NOTE

Authority cited: Sections 1614 and 1972, Business and Professions Code. Reference: Sections 1971-1972, Business and Professions Code. 
HISTORY

1. New section filed 1-6-2005; operative 2-5-2005 (Register 2005, No. 1).
§1042.3. Application Processing Times.
Note     •     History

(a) Within 15 working days of receipt of an application to participate in the program, the Board shall inform the applicant in writing whether the application is complete and accepted for filing or is deficient and what specific information is required, or whether the application period has closed. 
(b) Within 120 working days from the date of filing of a complete application, the Board shall inform the applicant in writing of its decision on the application. 
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1972, Business and Professions Code. 
HISTORY

1. New section filed 1-6-2005; operative 2-5-2005 (Register 2005, No. 1).
§1042.4. Program Implementation.
Note     •     History

(a) Within 60 days of the Board's notification of acceptance into the program, the participating dentist shall sign a written agreement with the Board committing to all terms of the program and acknowledging the amount to be received under the program and that repayment will be made in accordance with Section 1975 of the code. 
(b) Loan repayment under the program shall be made to the participating dentist and in accordance with Section 1975 of the code. If a dentist participating in the program is awarded a loan repayment of less than $105,000, 24 percent of the total loan repayment amount will be made after completing one year of service under the program, 33 percent made after completing two consecutive years of service under the program, and 43 percent after completing three consecutive years of service under the program. 
(c) Absence from the practice cannot exceed 7 weeks, paid or unpaid, in a calendar year, except as otherwise required in order to comply with applicable state and federal law. 
(d) If the participating dentist ceases full-time practice, but returns to qualifying full-time practice within 90 days after reduction or termination of employment, loan repayment shall be proportionately reduced by the time spent away from qualifying practice during that contract year. The participating dentist shall notify the Board pursuant to section 1042.5(a). Whenever the Board has evidence of such a reduction or termination, the Board shall notify the participating dentist in writing of any proportionate reduction of repayment of funds received under the program. The dentist may petition the Board for modification of the reduction of repayment. The petition shall be in writing, accompanied by those documents necessary to establish the basis for the petition, and shall be filed with the Board not later than 90 days after the date of the notification of reduction by the Board. A petition shall be accepted for filing only if it is based on one or more of the following grounds: 
(1) The dentist was terminated without cause. 
(2) The dentist ceased or reduced full-time employment due to factors beyond the dentist's control. 
(3) Both the practice setting and the dentist agreed to the termination of the dentist's employment. 
The petition shall be accompanied by a certification under penalty of perjury, signed and dated by the practice setting's administrative officer, whose name is printed below his/her signature, that the participating dentist has returned to full-time employment or, where the participating dentist has found subsequent employment, that the facility has entered into an agreement with the applicant for a minimum of three years; that the applicant can speak a Medi-Cal threshold language effectively in order to provide service; that it will pay the applicant a prevailing wage and not offset any loan repayments by the program against the applicant's salary; and that it is a “practice setting” as defined in Section 1971(f) of the code. The participating dentist will be required to sign a new or amended agreement required by section 1042.4(a). 
(e) The participating dentist must maintain a valid, active, current, and unrestricted license for the duration of the program. Whenever the Board has evidence that the participating dentist's license is invalid, inactive, not current, or restricted, the Board may, in its discretion, terminate the participating dentist from the program, and/or notify the participating dentist in writing of any amounts to be repaid to the Board, and the date by which the dentist shall make such repayment. The dentist may petition the Board for modification of the termination or reduction of repayment. The petition shall be in writing, accompanied by those documents necessary to establish the basis for the petition, and shall be filed with the Board not later than 90 days after the date of the notification of termination or reduction by the Board. A petition shall be accepted for filing only if it is based on one or more of the following grounds: 
(1) The act(s) leading to the participating dentist's license becoming invalid, inactive, not current, or restricted was inadvertent. 
(2) The act(s) leading to the participating dentist's license becoming invalid, inactive, not current, or restricted were unrelated to the practice of dentistry. 
(3) Any restrictions on the license of the dentist do not interfere with the safe practice of dentistry. 
The petition shall be accompanied by a certification under penalty of perjury, signed and dated by the practice setting's administrative officer, whose name is printed below his/her signature, that the participating dentist is still engaged in or has returned to full-time employment and that any restrictions on the license of the dentist do not interfere with the safe practice of dentistry. The Board shall review petitions and supporting documents. It shall notify the petitioning dentist in writing of its decision within 60 days after receipt of the petition. 
NOTE

Authority cited: Sections 1614, 1970.5 and 1972, Business and Professions Code. Reference: Sections 1970.5, 1972 and 1975, Business and Professions Code. 
HISTORY

1. New section filed 1-6-2005; operative 2-5-2005 (Register 2005, No. 1).
§1042.5. Process and Penalties When Dentist is Unable to Complete Obligation as Agreed Upon; Notification.
Note     •     History

(a) A dentist participating in the program shall notify the Board in writing within 15 working days of any change in the dentist's full-time status including, but not limited to, a decrease in the required number of hours providing dental services, termination, resignation, or a leave of absence in excess of the time permitted in section 1042.4(c). Such notice shall be given whether or not the participating dentist returns to qualifying full-time status within 15 working days. 
(b) A dentist participating in the program who is unable to complete the required three years of service shall be required to repay to the Dental Board of California an amount equal to the total amount of loan repayment paid by the program. Whenever the Board has evidence of an inability to complete the obligation, the Board shall notify the participating dentist in writing of any amounts to be repaid to the Board, and the date by which the dentist shall make such repayment. A dentist who is unable to complete the required three years of service shall make such repayment of the required amount to the Board within one calendar year after notification by the Board. 
(c) The dentist may petition the Board for modification of the amount and/or time for repayment of funds received under the program. The petition shall be in writing, accompanied by those documents necessary to establish the basis for the petition, and shall be filed with the Board not later than 90 days after the date of the notification for repayment by the Board. A petition shall be accepted for filing only if it is based on one or more of the following grounds: 
(1) The dentist was terminated without cause. 
(2) The dentist was unable to complete the required three years of service due to factors beyond the dentist's control. 
(3) Both the practice setting and the dentist have agreed to the termination of the dentist's employment, and the dentist has been unsuccessful in obtaining subsequent qualifying employment within 3 months after termination of employment. 
(d) The Board shall review petitions and supporting documents. It shall notify the petitioning dentist in writing of its decision within 60 days after receipt of the complete petition. 
(e) Failure to notify the Board in accordance with subsection (a) above, or to repay the amount due within one calendar year as required in subsection (b) above, may constitute unprofessional conduct and may be grounds for discipline of the dentist's license. Failure to repay the debt as required shall result in the accrual of interest at prime on the outstanding balance from the time of default. In addition, the Board will pursue all its available legal remedies including, but not limited to, reporting of the default to credit agencies, lien(s) on the dentist's personal property, garnishment of the dentist's future wages, any additional civil damages, and the imposition of attorney's fees. 
NOTE

Authority cited: Sections 1614 and 1972, Business and Professions Code. Reference: Sections 1970, 1972 and 1980(n), Business and Professions Code. 
HISTORY

1. New section filed 1-6-2005; operative 2-5-2005 (Register 2005, No. 1).
§1042.6. Program Reinstatement.
Note     •     History

(a) The participating dentist may petition the Board for reinstatement into the program. The petition shall be in writing, accompanied by those documents necessary to establish the basis for the petition, and shall be filed with the Board not later than one calendar year after the date of the notification from the Board in subsection (b). The petition shall explain why the factors contributing to the petitioner's inability to complete the prior obligation no longer exist. A petition shall be accepted for filing only if it is based on one or more of the following grounds: 
(1) The dentist was terminated without cause. 
(2) The dentist was unable to complete the required three years of service due to factors beyond the dentist's control. 
(3) Both the practice setting and the dentist agreed to the termination of the dentist's employment. 
The petition shall be accompanied by a certification under penalty of perjury, signed and dated by the practice setting's administrative officer, whose name is printed below his/her signature, that the facility has entered into an agreement with the applicant for a minimum of three years; that the applicant can speak a Medi-Cal threshold language effectively in order to provide service; that it will pay the applicant a prevailing wage and not offset any loan repayments by the program against the applicant's salary; and that it is a “practice setting” as defined in Section 1971(f) of the code. 
(b) The Board shall review the petition and supporting documents. It shall notify the petitioning dentist in writing of its decision within 60 days after receipt of the completed petition. The Board shall grant or deny the petition based upon, in its sole discretion, available funds and the cultural and linguistic needs, and demands of the patients from dentally underserved populations, and the petitioner's ability to comply with the terms of the program. 
NOTE

Authority cited: Sections 1614 and 1972, Business and Professions Code. Reference: Section 1972, Business and Professions Code. 
HISTORY

1. New section filed 1-6-2005; operative 2-5-2005 (Register 2005, No. 1).
Article 5. General Anesthesia and (Moderate) Conscious Sedation
§1043. Definitions.
Note     •     History

(a) For purposes of this article, “direct supervision” of general anesthesia means the permittee is in the immediate presence of a patient while general anesthesia is being administered to that patient and that the permittee or a member of the permittee's staff directly monitors the patient at all times.
(b) For purposes of this article, “outpatient” means a patient treated in a treatment facility which is not accredited by the Joint Commission on Health Care Organizations or licensed by the California Department of Health Services as a “general acute care hospital” as defined in subdivision (a) of Section 1250 of the Health & Safety Code.
(c) For purposes of section 1682(a) of the code:
(1) a patient under general anesthesia shall be considered “sedated” for that period of time beginning with the first administration of general anesthetic agents until that time when the patient is again conscious with a full return of protective reflexes, including the ability to respond purposely to physical stimulation and/or verbal command, when no additional agents will be administered, the dental procedures have been completed, and after the maximum effects of all agents have been experienced by the patient;
(2) a patient under conscious sedation shall be considered “sedated” for that period of time beginning with the first administration of conscious sedation agents until that time when no additional agents will be administered, the dental procedures have been completed, and after the maximum effects of all agents have been experienced by the patient.
(d) For purposes of section 1682(b) of the code, a patient shall be deemed to be “recovering from” conscious sedation or general anesthesia from the time the patient is no longer “sedated” as that term is defined in subsection (c) above until the dentist has evaluated the patient and has determined the patient is responsive, alert, has stable vital signs and is ambulatory and/or capable of being safely transported.
(e) For purposes of this article, “applicant” refers to applicants without permits, as well as permit holders subject to re-evaluation.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1646.1 and 1682, Business and Professions Code.
HISTORY

1. Amendment filed 4-1-91; operative 5-1-91 (Register 91, No. 18).
2. Amendment of article heading and subsections (a), (b) and (c)(1) and new subsection (e) filed 2-27-2006; operative 3-29-2006 (Register 2006, No. 9).
§1043.1. Permit Requirements.
Note     •     History

(a) A licensed dentist does not need a general anesthesia or conscious sedation permit if the general anesthesia or conscious sedation administered in that dentist's office is directly administered by a licensed dentist or physician and surgeon who possesses a general anesthesia or conscious sedation permit, whichever is applicable to the type of anesthesia services being provided.
(b) An applicant for a permit to administer general anesthesia or order the administration of general anesthesia by a nurse anesthetist must be a licensed dentist in California who:
(1) Has completed a residency program in general anesthesia of not less than one calendar year, that is approved by the board; or
(2) Has completed a graduate program in oral and maxillofacial surgery which has been approved by the Commission on Dental Accreditation.
(c) An applicant for a permit to administer or order the administration of conscious sedation must be a licensed dentist in California who meets the requirements set forth in section 1647.3 of the code.
(d) The processing times for a general anesthesia or conscious sedation permit are set forth in section 1061.
NOTE

Authority cited: Sections 1614 and 1646.2, Business and Professions Code. Reference: Sections 1646.2, 1646.9, 1647.3 and 2827, Business and Professions Code.
HISTORY

1. Amendment filed 2-22-88; operative 3-23-88 (Register 88, No. 10).
2. Amendment filed 4-1-91; operative 5-1-91 (Register 91, No. 18).
3. Editorial correction of subsection (d) (Register 95, No. 16).
4. Amendment of subsections (a)-(c) and Note filed 2-27-2006; operative 3-29-2006 (Register 2006, No. 9).
§1043.2. Composition of Onsite Inspection and Evaluation Teams.
Note     •     History

(a) An evaluation team shall consist of two or more persons chosen and approved by the board.
(b) The evaluators must meet one of the criteria in subdivision (b) of section 1043.1 for general anesthesia or the criteria in section 1647.3 of the code for conscious sedation and must have utilized general anesthesia or conscious sedation, whichever is applicable, in a dental practice setting for a minimum of three years immediately preceding their application to be an evaluator, exclusive of any general anesthesia or conscious sedation training.
(c) At least one of the evaluators must have experience in evaluation of dentists administering general anesthesia or conscious sedation. At least one member of the team must have substantial experience in the administration of the method of delivery of anesthesia or sedation used by the dentist being evaluated.
(d) The board may appoint a licensee member of the board to serve as a consultant at any evaluation.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1646.4 and 1647.7, Business and Professions Code.
HISTORY

1. Amendment filed 4-1-91; operative 5-1-91 (Register 91, No. 18).
2. Amendment of subsection (b) filed 3-1-93 (Register 93, No. 10).
3. Editorial correction of subsection (b) (Register 95, No. 16).
4. Amendment of subsection (b) filed 2-27-2006; operative 3-29-2006 (Register 2006, No. 9).
§1043.3. Onsite Inspections.
Note     •     History

All offices in which general anesthesia or conscious sedation is conducted under the terms of this article shall, unless otherwise indicated, meet the standards set forth below. In addition, an office may in the discretion of the board be required to undergo an onsite inspection. For the applicant who administers in both an outpatient setting and at an accredited facility, the onsite must be conducted in an outpatient setting. The evaluation of an office shall consist of three parts:
(a) Office Facilities and Equipment. The following office facilities and equipment shall be available and shall be maintained in good operating condition:
(1) An operating theatre large enough to adequately accommodate the patient on a table or in an operating chair and permit an operating team consisting of at least three individuals to freely move about the patient.
(2) An operating table or chair which permits the patient to be positioned so the operating team can maintain the airway, quickly alter patient position in an emergency, and provide a firm platform for the management of cardiopulmonary resuscitation.
(3) A lighting system which is adequate to permit evaluation of the patient's skin and mucosal color and a backup lighting system which is battery powered and of sufficient intensity to permit completion of any operation underway at the time of general power failure.
(4) Suction equipment which permits aspiration of the oral and pharyngeal cavities. A backup suction device which can operate at the time of general power failure must also be available.
(5) An oxygen delivery system with adequate full face masks and appropriate connectors that is capable of allowing the administering of greater than 90% oxygen at a 10 liter/minute flow at least sixty minutes (650 liter “E” cylinder) to the patient under positive pressure, together with an adequate backup system which can operate at the time of general power failure.
(6) A recovery area that has available oxygen, adequate lighting, suction, and electrical outlets. The recovery area can be the operating theatre.
(7) Ancillary equipment:
(A) Laryngoscope complete with adequate selection of blades and spare batteries and bulb. (This equipment is not required for conscious sedation.)
(B) Endotracheal tubes and appropriate connectors. (This equipment is not required for conscious sedation.)
(C) Emergency airway equipment (oral airways, laryngeal mask airways or combitubes, cricothyrotomy device).
(D) Tonsillar or pharyngeal type suction tip adaptable to all office outlets.
(E) Endotracheal tube forcep. (This equipment is not required for conscious sedation.)
(F) Sphygmomanometer and stethoscope.
(G) Electrocardioscope and defibrillator. (This equipment is not required for conscious sedation.)
(H) Adequate equipment for the establishment of an intravenous infusion.
(I) Precordial/pretracheal stethoscope.
(J) Pulse oximeter.
(K) Capnograph and temperature device. A capnograph and temperature measuring device are required for the intubated patient receiving general anesthesia. (This equipment is not required for conscious sedation.)
(b) Records. The following records shall be maintained:
(1) Adequate medical history and physical evaluation records updated prior to each administration of general anesthesia or conscious sedation. Such records shall include, but are not limited to the recording of the age, sex, weight, physical status (American Society of Anesthesiologists Classification), medication use, any known or suspected medically compromising conditions, rationale for sedation of the patient, and visual examination of the airway, and for general anesthesia only, auscultation of the heart and lungs as medically required.
(2) General Anesthesia and/or conscious sedation records, which shall include a time-oriented record with preoperative, multiple interaoperative, and postoperative pulse oximetry (every 5 minutes intraoperatively and every 15 minutes postoperatively for general anesthesia) and blood pressure and pulse readings, (both every 5 minutes intraoperatively for general anesthesia) drugs, amounts administered and time administered, length of the procedure, any complications of anesthesia or sedation and a statement of the patient's condition at time of discharge.
(3) Written informed consent of the patient or if the patient is a minor, his or her parent or guardian.
(c) Drugs. Emergency drugs of the following types shall be available:
(1) Epinephrine
(2) Vasopressor (other than epinephrine)
(3) Bronchodilator
(4) Muscle relaxant (This is not required for conscious sedation.)
(5) Intravenous medication for treatment of cardiopulmonary arrest (This is not required for conscious sedation.)
(6) Appropriate drug antagonist
(7) Antihistaminic
(8) Anticholinergic
(9) Antiarrhythmic (This is not required for conscious sedation.)
(10) Coronary artery vasodilator
(11) Antihypertensive (This is not required for conscious sedation.)
(12) Anticonvulsant
(13) Oxygen
(14) 50% dextrose or other antihypoglycemic
(d) Prior to an onsite inspection and evaluation, the dentist shall provide a complete list of his/her emergency medications to the evaluator.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1646.2, 1646.3, 1647.3 and 1647.6, Business and Professions Code.
HISTORY

1. Amendment filed 4-1-91; operative 5-1-91 (Register 91, No. 18).
2. Editorial correction of subsection (a)(4) (Register 95, No. 16).
3. Amendment filed 2-27-2006; operative 3-29-2006 (Register 2006, No. 9).
§1043.4. Evaluation Standards.
Note     •     History

The evaluation of an applicant for a permit shall consist of two parts:
(a) Demonstration of a General Anesthesia. A dental procedure utilizing general anesthesia administered by the applicant must be observed and evaluated. Any anesthesia technique that is routinely employed can be demonstrated. The patient shall be monitored while anesthetized and during recovery from anesthesia in the manner prescribed by section 1682 of the code.
The applicant for a permit must demonstrate that he or she has knowledge of the uses of the equipment required by section 1043.3(a) and is capable of using that equipment.
(b) Demonstration of a Conscious Sedation. A dental procedure utilizing conscious sedation administered by the applicant must be observed and evaluated. Any conscious sedation technique that is routinely employed can be demonstrated. The patient shall be monitored while sedated and during recovery from sedation in the manner prescribed by section 1682 of the code. The applicant for a permit must demonstrate that he or she has knowledge of the uses of the equipment required by section 1043.3(a) and is capable of using that equipment.
(c) Simulated Emergencies. Knowledge of and a method of treatment must be physically demonstrated by the dentist and his or her operating team for the following emergencies:
(1) Airway obstruction
(2) Bronchospasm
(3) Emesis and aspiration of foreign material under anesthesia
(4) Angina pectoris
(5) Myocardial infarction
(6) Hypotension
(7) Hypertension
(8) Cardiac arrest
(9) Allergic reaction
(10) Convulsions
(11) Hypoglycemia
(12) Syncope
(13) Respiratory depression
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1646.4 and 1647.7, Business and Professions Code.
HISTORY

1. Amendment filed 4-1-91; operative 5-1-91 (Register 91, No. 18).
2. Amendment of subsections (a) and (b) filed 2-27-2006; operative 3-29-2006 (Register 2006, No. 9).
§1043.5. Cancellation of an Onsite Inspection and Evaluation.
Note     •     History

(a) Whenever a conscious sedation or general anesthesia permittee or applicant cancels an onsite inspection and evaluation, that permittee or applicant shall provide the board with a written reason for the cancellation. If the first cancellation occurs 14 calendar days or more before the date of the scheduled inspection and evaluation, the fee paid shall be applied toward the next scheduled inspection and evaluation. If the cancellation occurs less than 14 calendar days before the scheduled inspection and evaluation, the fee shall be forfeited and a new fee shall be paid before the inspection and evaluation will be rescheduled.
(b) If a permittee or applicant cancels the inspection and evaluation for a second time, all fees are forfeited and the permit shall be automatically suspended or denied unless a new fee has been paid and an onsite inspection and evaluation has been completed within 30 calendar days from the date of the second cancellation.
(c) If a permittee or applicant cancels the scheduled onsite inspection and evaluation for a third time, all fees are forfeited and that cancellation shall be deemed a refusal to submit to an inspection and evaluation, and in accordance with Sections 1646.4 and 1647.7 of the code, the permit shall be automatically revoked or denied as of the date of the third cancellation.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1646.4 and 1646.7, Business and Professions Code.
HISTORY

1. Repealer filed 4-8-87; effective upon filing (Register 87, No. 15).
2. New section filed 9-8-95; operative 10-8-95 (Register 95, No. 36).
§1043.6. Grading of Inspection and Evaluation.
Note     •     History

(a) The inspection and evaluation shall be graded on a pass/fail system. The grade shall be determined by the board, based upon a recommendation of the evaluators, who shall make independent evaluations and recommendations.
(b) An applicant who has failed the evaluation may appeal that decision to the board and request a reevaluation. This appeal must be made in writing to the board stating the grounds for the appeal within thirty (30) days after the date on which the evaluation results were mailed. However, pursuant to sections 1646.4(a) and 1647.7(a) of the code, the permit of any applicant who has failed an onsite inspection and evaluation shall be automatically suspended 30 days after the date on which the board notifies the applicant of the failure unless, within that time period, the applicant has retaken and passed an onsite inspection and evaluation.
Upon receipt of the appeal request and an additional evaluation fee, the board will schedule an independent reevaluation of the appellant. If an applicant has failed two evaluations, the board will decide the matter and may grant or deny a permit or request further evaluation of the appellant with a board member or other board appointed representative being present.
(c) An applicant who has failed the inspection and evaluation solely on the basis of a failure to demonstrate knowledge and ability in recognition and treatment of any or all of the simulated emergencies may be reevaluated only on the simulated emergencies provided the reevaluation is within 30 days.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1646.4 and 1647.7, Business and Professions Code.
HISTORY

1. Amendment filed 4-1-91; operative 5-1-91 (Register 91, No. 18).
2. Amendment of subsection (b) filed 2-8-96; operative 3-9-96 (Register 96, No. 6).
3. Amendment of subsection (b) and new subsection (c) filed 2-27-2006; operative 3-29-2006 (Register 2006, No. 9).
§1043.7. Manner of Giving Notice of Evaluation.
Note     •     History

Upon receipt of either an application for a general anesthesia permit or a conscious sedation permit or where the board determines in any other case that there shall be an onsite inspection and evaluation, the board shall determine the date and time of such evaluation and shall so inform the dentist.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1646.4 and 1647.7, Business and Professions Code.
HISTORY

1. Amendment filed 4-1-91; operative 5-1-91 (Register 91, No. 18).
§1043.8. Renewal.
Note     •     History

A general anesthesia or conscious sedation permit shall be renewed biennially upon certification by the permit holder that he/she has met all applicable continuing education requirements for the particular permit, payment of the required fee and if required, successful completion of an onsite inspection and evaluation.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1646.1, 1646.5, 1646.6, 1647.2, 1647.5 and 1647.8, Business and Professions Code.
HISTORY

1. Amendment filed 4-1-91; operative 5-1-91 (Register 91, No. 18).
Article 5.5. Oral Conscious Sedation
§1044. Definitions.
Note     •     History

For purposes of this Article and of Articles 2.85 and 2.86, of Chapter 4, of Division 2 of the Code, the terms set forth below shall be defined as follows:
(a) “Outpatient basis” as used in Health and Safety Code Sections 1248 and 1248.1 means all settings where oral conscious sedation is being provided to dental patients with the exception of a treatment facility which is accredited by the Joint Commission on Health Care Organizations or licensed by the California Department of Health Services as a “general acute care hospital” as defined in subdivision (a) of Section 1250 of the Health and Safety Code.
(b) A patient under oral conscious sedation shall be considered “sedated” for that period of time beginning with the administration of oral conscious sedation and continuing until that time when the dental procedures have been completed, and after the maximum effects of all agents have been experienced by the patient.
(c) “Age-appropriate” means under 13 years of age for the oral conscious sedation certificate for minor patients and 13 years or older for the oral conscious sedation certificate for adult patients.
(d) For the purposes of adult oral conscious sedation, administering a drug to a patient in a dose that exceeds the maximum recommended dose as established and listed by the United States Food and Drug Administration (FDA) on the drug's FDA-approved professional labeling insert or packaging information shall be considered to exceed the single maximum dose that can be prescribed for home use.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1647.10 and 1647.18, Business and Professions Code.
HISTORY

1. New article 5.5 (sections 1044-1044.5) and section filed 3-14-2000; operative 4-13-2000 (Register 2000, No. 11).  
2. Amendment of section and Note filed 12-13-2007; operative 12-13-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 50). 
§1044.1. Requirements, Standards.
Note     •     History

An applicant for an oral conscious sedation certificate shall submit either an “Application for Oral Conscious Sedation for Minors Certificate” OCS-1 (Rev. 01/05) or an “Application for Adult Oral Conscious Sedation Certificate” OCS-3 (Rev. 03/07) hereby incorporated by reference, and shall be accompanied by the applicable fee as set by Section 1021. A dentist is not required to possess an oral conscious sedation certificate if the oral conscious sedation administered to his or her patient is directly administered and monitored by a dentist who possesses a general anesthesia permit, a conscious sedation permit, or an oral conscious sedation certificate for a minor patient or is administered by a licensed physician and surgeon who possesses a general anesthesia permit. A dentist who only possesses an adult oral conscious sedation certificate may not provide oral conscious sedation to a minor patient. Notwithstanding the above, the office in which the oral conscious sedation is administered shall meet the facilities and equipment standards set forth in Section 1044.5.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1647.10, 1647.11, 1647.18 and 1647.19, Business and Professions Code.
HISTORY

1. New section filed 3-14-2000; operative 4-13-2000 (Register 2000, No. 11).  
2. New section heading and amendment of section and Note filed 12-13-2007; operative 12-13-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 50). 
§1044.2. Board Approved Programs.
Note     •     History

(a) For purposes of Section 1647.12(b) and Section 1647.20(b), a post-doctoral program in periodontics, a general practice residency or advanced education in a general dentistry post-doctoral program accredited by the Commission on Dental Accreditation that meets the didactic and clinical requirements of Section 1044.3 shall be deemed to be approved by the board. A dentist must submit a copy of his or her certificate of completion from a board approved educational program as defined in Section 1044.3 or diploma from a recognized dental residency or post-doctoral program as defined in this section.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1647.10, 1647.12, 1617.18 and 1647.20, Business and Professions Code.
HISTORY

1. New section filed 3-14-2000; operative 4-13-2000 (Register 2000, No. 11). 
2. Amendment of section and Note filed 12-13-2007; operative 12-13-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 50). 
§1044.3. Board Approved Education.
Note     •     History

(a) The goal of an instructional program in oral medications and sedation is to provide the educational opportunity for dentists to receive training in the techniques and skills required to safely and effectively administer oral pharmacologic agents, alone or in combination with nitrous oxide-oxygen inhalation, for the purpose of obtaining conscious sedation in the minor or adult dental patient.
(b) The educational program shall be approved by the board and shall consist of satisfactory completion of at least 25 hours of instruction including a clinical component utilizing at least one age-appropriate patient. The program shall be directed solely toward either the administration of oral conscious sedation to adult patients or the administration of oral conscious sedation to minor patients. The program shall include but not be limited to, the following areas:
(1) Historical, philosophical, and legal aspects of age-appropriate oral conscious sedation of dental patients, including the Business and Professions Code.
(2) Indications and contraindications for the utilization of age-appropriate oral conscious sedation in dental patients.
(3) Patient evaluation and selection through a review of the medical history, physical assessment, and medical consultation.
(4) Definitions and characteristics for levels of sedation achieved with oral sedative agents, with special emphasis on the distinctions between conscious sedation, deep sedation, and general anesthesia as recognized by such organizations as the American Dental Association and the American Academy of Pediatric Dentistry and the board.
(5) Review of respiratory and circulatory physiology and related anatomy, with special emphasis on, and clinical experience in, establishing and maintaining an age-appropriate patent airway in the patient.
(6) Pharmacology of agents used in contemporary oral conscious sedation techniques, including drug interactions, incompatibilities and side effects and adverse reactions.
(7) Indications, contraindications and technique considerations in the use of different contemporary age-appropriate oral conscious sedation modalities for dental patients.
(8) Patient monitoring during all stages of the procedure by clinical observation and appropriate mechanical devices for responsiveness, airway patency, and recording of vital signs.
(9) Importance of and techniques for maintaining proper documentation of the procedure, including aspects of informed consent, pre- and post-operative instructions, dietary considerations, preoperative health evaluation, rationale for the procedure, baseline and intermittent vital signs, a detailed record of all oral and inhalation drugs administered, the patient response to the drugs, and recovery and discharge criteria.
(10) Prevention, recognition and management of complications and life-threatening situations that may arise during age-appropriate oral conscious sedation of the dental patient, including the principles of advanced life support.
(c) A provider of a course in oral medications and sedation intending to meet the requirements of this section shall submit to the board an application, on form OCS-6 (rev. 07/07), “Application for Course Approval for Oral Conscious Sedation,” incorporated herein by reference. The board may approve or deny approval of any such course. Approval shall be granted after an evaluation of all components of the course has been performed and such evaluation indicates that the course meets the requirements of this section.
(d) Approval by the board of a course in oral medications and sedation shall remain in effect for a period of twenty-four months, unless withdrawn sooner, after which a new application for approval must be submitted to the board.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1647.10, 1647.12 and 1647.20, Business and Professions Code.
HISTORY

1. New section filed 3-14-2000; operative 4-13-2000 (Register 2000, No. 11). 
2. Amendment of section and Note filed 12-13-2007; operative 12-13-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 50). 
§1044.4. Documentation of 10 Cases.
Note     •     History

(a) For the purposes of Section 1647.20(d), an applicant for an oral conscious sedation certificate for adult patients who has been using oral conscious sedation in connection with the treatment of adult patients shall submit the following documentation for each of the 10 cases of oral conscious sedation on form OCS-4 (Rev 03/07) “Documentation of Oral Conscious Sedation Cases,” incorporated herein by reference.
(1) Patient's sex, age, and weight.
(2) Date of oral conscious sedation procedure.
(3) Type of dental procedure performed and duration of sedation.
(4) A description of the method, amount, and specific oral conscious sedation agent administered.
(5) A statement on how the patient was monitored and by whom.
(6) Patient's condition at discharge.
(b) Applicants shall also provide documentation or patient records for each oral conscious sedation case, including preoperative evaluation, medical history, monitoring of vital signs throughout the procedure, and condition at discharge for each patient.
(c) Applicants shall submit legible copies of the above required information with patient identifying information redacted.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1647.10, 1647.12, 1647.20 and 1647.22, Business and Professions Code.
HISTORY

1. New section and amendment of Note filed 12-13-2007; operative 12-13-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 50). For prior history, see Register 2002, No. 13.
2. Editorial correction of subsection (a) (Register 2012, No. 5).
§1044.5. Facility and Equipment Standards.
Note     •     History

A facility in which oral conscious sedation is administered to patients pursuant to this article shall meet the standards set forth below.
(a) Facility and Equipment.
(1) An operatory large enough to adequately accommodate the patient and permit a team consisting of at least three individuals to freely move about the patient.
(2) A table or dental chair which permits the patient to be positioned so the attending team can maintain the airway, quickly alter patient position in an emergency, and provide a firm platform for the management of cardiopulmonary resuscitation.
(3) A lighting system which is adequate to permit evaluation of the patient's skin and mucosal color and a backup lighting system which is battery powered and of sufficient intensity to permit completion of any treatment which may be underway at the time of a general power failure.
(4) An appropriate functional suctioning device that permits aspiration of the oral and pharyngeal cavities. A backup suction device that can function at the time of general power failure must also be available.
(5) A positive-pressure oxygen delivery system capable of administering greater than 90% oxygen at a 10 liter/minute flow for at least sixty minutes (650 liter “E” cylinder), even in the event of a general power failure. All equipment must be age-appropriate and capable of accommodating the patients being seen at the permit-holder's office.
(6) Inhalation sedation equipment, if used in conjunction with oral sedation, must have the capacity for delivering 100%, and never less than 25%, oxygen concentration at a flow rate appropriate for an age appropriate patient's size, and have a fail-safe system. The equipment must be maintained and checked for accuracy at least annually.
(b) Ancillary equipment, which must include the following, and be maintained in good operating condition:
(1) Age-appropriate oral airways capable of accommodating patients of all sizes.
(2) An age-appropriate sphygmomanometer with cuffs of appropriate size for patients of all sizes.
(3) A precordial/pretracheal stethoscope.
(4) A pulse oximeter.
(c) The following records shall be maintained:
(1) An adequate medical history and physical evaluation, updated prior to each administration of oral conscious sedation. Such records shall include, but are not limited to, an assessment including at least visual examination of the airway, the age, sex, weight, physical status (American Society of Anesthesiologists Classification), and rationale for sedation of the minor patient as well as written informed consent of the patient or, as appropriate, parent or legal guardian of the patient.
(2) Oral conscious sedation records shall include baseline vital signs. If obtaining baseline vital signs is prevented by the patient's physical resistance or emotional condition, the reason or reasons must be documented. The records shall also include intermittent quantitative monitoring and recording of oxygen saturation, heart and respiratory rates, blood pressure as appropriate for specific techniques, the name, dose and time of administration of all drugs administered including local and inhalation anesthetics, the length of the procedure, any complications of oral sedation, and a statement of the patient's condition at the time of discharge.
(d) An emergency cart or kit shall be available and readily accessible and shall include the necessary and appropriate drugs and age- and size-appropriate equipment to resuscitate a nonbreathing and unconscious patient and provide continuous support while the patient is transported to a medical facility. There must be documentation that all emergency equipment and drugs are checked and maintained on a prudent and regularly scheduled basis. Emergency drugs of the following types shall be available:
(1) Epinephrine
(2) Bronchodilator
(3) Appropriate drug antagonists
(4) Antihistaminic
(5) Anticholinergic
(6) Anticonvulsant
(7) Oxygen
(8) Dextrose or other antihypoglycemic
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1647.10, 1647.16, 1647.22 and 1647.24, Business and Professions Code.
HISTORY

1. New section and new forms OCS-5 and OCS-3 filed 3-14-2000; operative 4-13-2000 (Register 2000, No. 11).  
2. Amendment of section and Note and repealer of printed forms (this action incorporates applicable forms within article 5.5 by reference) filed 12-13-2007; operative 12-13-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 50). 
Article 6. Additional Offices
§1045. Application for Permit.
Note     •     History

(a) A complete application for an additional place of practice should be presented to the board for its consideration at the first meeting of the board following its filing. The board may, in its discretion, postpone consideration of the application to such time and place as it selects.
(b) Notwithstanding subsection (a), the board may delegate to its executive officer the power to:
(1) Review and approve or disapprove applications for additional offices;
(2) Present questionable applications for additional offices to the board.
(c) The processing times for registration of an additional place of practice are set forth in section 1061.
NOTE

Authority cited: Sections 1614 and 1658.7, Business and Professions Code. Reference: Sections 1658 and 1658.7, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New subsection (c) filed 2-22-88; operative 3-23-88 (Register 88, No. 10).
§1046. Requirement for Personal Attendance.
Note     •     History

NOTE

Authority cited: Sections 1614 and 1658.7, Business and Professions Code. Reference: Sections 1658 and 1658.1, Business and Professions Code.
HISTORY

1. New section filed 2-1-89; operative 3-3-89 (Register 89, No. 8).
2. Change without regulatory effect amending subsection (b) filed 2-24-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 9).
3. Repealer filed 4-2-2001; operative 5-2-2001 (Register 2001, No. 14).
§1047. Issuance of Permit.
Note

Upon granting of an application under this article, the board's executive officer shall within ten days thereafter execute the requested permission. Such permission shall be in writing, over the name and seal of the board, and shall be in such form as the board may from time to time prescribe.
NOTE

Authority cited: Sections 1614 and 1658.7, Business and Professions Code. Reference: Sections 1658 and 1658.7, Business and Professions Code.
§1048. Transfer of Additional Office.
Note

A licensee who transfers an additional office to another licensee shall within 30 days thereafter notify the board's executive officer of such transfer.
NOTE

Authority cited: Sections 1614 and 1658.7, Business and Professions Code. Reference: Sections 1658 and 1658.4, Business and Professions Code.
§1049. Mobile Dental Clinics.
Note     •     History

(a) Definition. For purposes of Section 1657 of the code, a “mobile dental clinic” or “mobile dental unit” means any self-contained facility in which dentistry will be practiced which may be moved, towed, or transported from one location to another.
(b) Application for Permit. A licensed dentist who wishes to operate a mobile dental clinic shall apply to the board for a permit by providing evidence of compliance with the requirements of this section and paying the fee prescribed in Section 1021 for application for an additional office permit.
The board shall inform an applicant for a permit in writing within 7 days whether the application is complete and accepted for filing or is deficient and what specific information is required.
The board shall decide within 60 days after the filing of a completed application whether the applicant meets the requirements of a permit.
(c) Requirements.
(1) The applicant shall certify that:
(A) There is a written procedure for emergency follow-up care for patients treated in the mobile dental clinic and that such procedure includes arrangements for treatment in a dental facility which is permanently established in the area.
(B) The mobile dental clinic has communication facilities which will enable the operator thereof to contact necessary parties in the event of a medical or dental emergency.
(C) The mobile dental clinic conforms to all applicable federal, state and local laws, regulations and ordinances dealing with radiographic equipment, flammability, construction, sanitation and zoning and the applicant possesses all applicable county and city licenses or permits to operate the unit.
(D) The driver of the unit possesses a valid California driver's license.
(2) The applicant shall maintain an official business or mailing address of record which shall be filed with the board. The board shall be notified within 30 days of any change in the address of record. All written or printed documents available from or issued by the mobile dental clinic shall contain the official address of record for the mobile dental clinic.
(3) Each mobile dental clinic shall:
(A) Have ready access to a ramp or lift if services are provided to disabled persons.
(B) Have a properly functioning sterilization system.
(C) Have ready access to an adequate supply of potable water, including hot water.
(D) Have ready access to toilet facilities.
(E) Have a covered galvanized, stainless steel, or other noncorrosive metal container for deposit of refuse and waste materials.
(d) Transferability. A permit to operate a mobile dental clinic is not transferable.
(e) Renewal. A permit to operate a mobile dental clinic expires at the same time as the permit holder's dental license. The permit holder may apply for renewal and shall pay the fee set for renewal of an additional office permit.
NOTE

Authority cited: Sections 1614 and 1657, Business and Professions Code. Reference: Section 1657, Business and Professions Code.
HISTORY

1. New section filed 2-1-89; operative 3-3-89 (Register 89, No. 8).
Article 7. Advertising
§1050. Fee Advertising.
Note

Pursuant to Section 651(c) of the Code, fee advertising must be accurate and precise. Fees for dental services may be advertised provided the advertisement fully discloses all services customarily included by the dental profession as part of the advertised service, including but not limited to necessary diagnosis, radiographs, restorative treatment, drugs, local anesthesia or analgesia, materials, laboratory fees and post-operative care. The advertisement must also disclose any additional services not part of the procedure but for which the patient will be charged, together with the fees for such services.
NOTE

Authority cited: Sections 651 and 1614, Business and Professions Code. Reference: Sections 651 and 1680, Business and Professions Code.
§1051. Advertising Discounts.
Note

An advertisement of a discount must:
(a) List the dollar amount of the non-discounted fee for the service; and
(b) List either the dollar amount of the discount fee or the percentage of the discount for the specific service; and
(c) Inform the public of the length of time, if any, the discount will be honored; and
(d) List verifiable fees pursuant to Section 651 of the Code; and 
(e) Identify specific groups who qualify for the discount or any other terms and conditions or restrictions for qualifying for the discount.
NOTE

Authority cited: Sections 651 and 1614, Business and Professions Code. Reference: Section 651, Business and Professions Code.
§1052. Advertising Claims.
Note

(a) Any advertisement must be capable of substantiation, particularly that the services offered are actually delivered and at the fees advertised.
(b) Illustrations, graphics or visuals used in any type of advertising may include only those permitted by Section 651 of the Code. These may include, for example: 
(1) Representations of the dentist, the dentist's staff or facility.
(2) Representations of other people, provided that these are not used to make claims of professional superiority (including testimonials), illustrate any dental condition, or the recovery therefrom.
(3) Representations of single teeth, dentures, or other dental appliances, provided that these are not used to illustrate any dental condition, recovery therefrom, or to make claims of professional superiority.
NOTE

Authority cited: Sections 651 and 1614, Business and Professions Code. Reference: Section 651, Business and Professions Code.
§1053. Advertising Dentures.
Note

Advertising of dentures shall include the following information:
(a) Whether these are preformed or custom-made.
(b) In the case of “immediate dentures,” details of (including charges for) later relines or other necessary procedures.
(c) Advertising may include fees for various grades of dentures, providing that potentially misleading descriptive phrases are not used and the advertising discloses the major variables.
NOTE

Authority cited: Sections 651 and 1614, Business and Professions Code. Reference: Section 651, Business and Professions Code.
§1054. Recognized Dental Specialty Boards and Associations.
Note     •     History

For purposes of this article and Section 651 of the Code, the board recognizes those dental specialty boards which are affiliated with specialties recognized by the American Dental Association, including: American Board of Dental Public Health; American Board of Endodontics; American Board of Oral Pathology; American Board of Oral and Maxillofacial Surgery; American Board of Orthodontics; American Board of Pediatric Dentistry; American Board of Periodontology; and American Board of Prosthodontics. The board also recognizes those boards that require two or more years of training in a formal advanced education program affiliated with a school of dentistry or medicine that follows educational guidelines developed by the Council on Dental Education of the American Dental Association, dated January 1975, which are hereby incorporated by reference.
NOTE

Authority cited: Sections 651 and 1614, Business and Professions Code. Reference: Section 651, Business and Professions Code.
HISTORY

1. New section filed 4-24-2000; operative 5-24-2000 (Register 2000, No. 17).
§1054.1. Advertising Credentials.
Note     •     History

(a) A dentist may advertise that he or she has credentials from one of the dental specialty boards recognized by the Board of Dental Examiners of the State of California, pursuant to Section 1054.
(b) A dentist may not advertise credentials granted by a private or public board or parent association which is not recognized pursuant to Section 1054, unless:
(1) The private or public board or parent association which grants the credentials currently requires:
(A) Successful completion of an oral and written examination based on psychometric principles; and
(B) Training and experience subsequent to successful completion of (A) above, to assure competent practice in the dental discipline as determined by the private or public board or parent association which grants the credentials.
(2) Any advertisement which references the dentist's credentials shall include the following statement: “[Name of announced dental discipline] is a discipline not recognized as a dental specialty by the Board of Dental Examiners of the State of California”.
(3) The dentist discloses that he or she is a general dentist in any advertising which references the dentist's credentials.
(c) Subdivision (b)(1)(B) shall not be construed to prohibit a dentist from advertising credentials on the basis that the credentials were granted without examination if the credentials were granted prior to 1985.
NOTE

Authority cited: Sections 651 and 1614, Business and Professions Code. Reference: Section 651, Business and Professions Code.
HISTORY

1. New section filed 4-24-2000; operative 5-24-2000 (Register 2000, No. 17).
2. Change without regulatory effect repealing subsection (b)(1)(A), relettering subsections and amending newly designated subsection (b)(1)(B) and subsections (b)(2)-(3) filed 11-15-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 46).
§1054.2. Advertising as a Specialist.
Note     •     History

A dentist may not advertise that he or she is a “specialist” unless he or she is certified or eligible for certification by a dental specialty board recognized pursuant to Section 1054.
NOTE

Authority cited: Sections 651 and 1614, Business and Professions Code. Reference: Section 651, Business and Professions Code.
HISTORY

1. New section filed 4-24-2000; operative 5-24-2000 (Register 2000, No. 17).
§1054.3. Definition of Advertising.
Note     •     History

(a) For purposes of this article, “advertising” or “advertisement” means:
(1) Any written or printed communication for the purpose of soliciting, describing, or promoting a dentist's licensed activities, including a brochure, letter, pamphlet, newspaper, telephone listing, periodical, business card or other writing.
(2) Any directory listing caused or permitted by a dentist which indicates his or her licensed activity.
(3) Any radio, television, computer network or similar airwave or electronic transmission which solicits or promotes the dentist's practice.
(4) Any printing or writing on novelty objects or dental care products.
(b) “Advertising” or “advertisement” does not include any of the following:
(1) Any printing or writing used on buildings, uniforms or badges, where the purpose of the writing is for identification.
(2) Any printing or writing on memoranda or other communications used in the ordinary course of business where the sole purpose of the writing is other than the solicitation or promotion of the dentist's practice.
NOTE

Authority cited: Sections 651 and 1614, Business and Professions Code. Reference: Section 651, Business and Professions Code.
HISTORY

1. New section filed 4-24-2000; operative 5-24-2000 (Register 2000, No. 17).
Article 8. Dental Corporations
§1055. Professional Relationships, Responsibilities, and Conduct Not Affected.
Note

Nothing in the laws or rules relating to dental corporations alters the dentist's duties and responsibilities to and professional relationships with his patients. Nor do such laws or rules in any way impair the disciplinary powers of the board over its licentiates or impair any other law or rule pertaining to the standards of professional conduct of dentists.
NOTE

Authority cited: Sections 1614 and 1808, Business and Professions Code. Reference: Sections 1807 and 1808, Business and Professions Code.
§1056. Application for Registration.
Note     •     History

NOTE

Authority cited: Sections 1614 and 1808, Business and Professions Code. Reference: Sections 1801 and 1808, Business and Professions Code, and Section 15376, Government Code.
HISTORY

1. New subsection (d) filed 2-22-88; operative 3-23-88 (Register 88, No. 10).
2. Change without regulatory effect repealing section filed 2-24-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 9).
§1057. Additional Offices.
Note

A dental corporation is subject to the additional office requirements of Article 3.5, Chapter 4 of Division 2 of the Code. A dental corporation which desires to have more than one place of practice shall, prior to opening any additional office, apply for and receive permission in writing from the board.
NOTE

Authority cited: Sections 1614 and 1808, Business and Professions Code. Reference: Sections 1658, 1807 and 1808, Business and Professions Code.
§1058. Continuing Validity of Certificate; Reports.
Note     •     History

NOTE

Authority cited: Sections 1614 and 1808, Business and Professions Code. Reference: Sections 1801, 1802 and 1803, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 2-24-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 9).
§1059. Security for Claims Against a Dental Corporation.
Note

(a) When a dental corporation provides security by means of insurance for claims against it by its patients, the security shall consist of a policy or policies of insurance insuring either the corporation or all the employed licensed persons rendering such dental services against liability imposed by law for damages arising out of the rendering of, or failure to render, dental services by the corporation in an amount for each claim of at least $50,000 multiplied by the number of employed licensed persons rendering such dental services and an aggregate maximum limit of liability per policy year of at least $150,000 multiplied by the number of such employees; provided that the maximum coverage shall not be required to exceed $150,000 for each claim and $450,000 for all claims during the policy year, and provided further that the deductible portion of such insurance shall not exceed $5,000 multiplied by the number of such employees.
(b) All shareholders of the corporation shall be jointly and severally liable for all claims established against the corporation by its patients arising out of the rendering of, or failure to render, dental services up to the minimum amounts specified for insurance under subsection (a) hereof except during periods of time when either the corporation or all the employed licensed persons rendering dental services provide and maintain insurance for claims by its patients arising out of the rendering of, or failure to render dental services. Said insurance when provided shall meet the minimum standards established in subsection (a) above.
NOTE

Authority cited: Sections 1614 and 1808, Business and Professions Code. Reference: Section 1808, Business and Professions Code.
§1060. Shares: Ownership and Transfer.
Note

(a) The shares of a dental corporation may be owned only by a dental corporation or by licensed dentists, hereinafter referred to as eligible shareholders; provided, however, that no issuance or transfer of shares may be made which violates the provisions of Article 3.5, Chapter 4 of Division 2 of the Code (Sections 1658 through 1658.7 of the Code).
(b) Where there are two or more shareholders in a dental corporation and one of the shareholders:
(1) Dies;
(2) Ceases to be an eligible shareholder; or
(3) Becomes a disqualified person as defined in Section 13401(d) of the Corporations Code, for a period exceeding 90 days; his shares shall be sold and transferred to the corporation, its shareholders, or other eligible persons on such terms as are agreed upon. Such sale or transfer shall be not later than six months after any such death and not later than 90 days after the date he ceases to be an eligible shareholder, or 90 days after the date he becomes a disqualified person. The requirements of subsections (a) and (b) of this section shall be set forth in the dental corporation's articles of incorporation or bylaws, except that the terms of the sale or transfer provided for in said subsection need not be set forth in said articles or bylaws if they are set forth in a written agreement.
(c) A corporation and its shareholders may, but need not, agree that shares sold to it by a person who becomes a disqualified person may be resold to such person if and when he again becomes an eligible shareholder.
(d) The share certificates of a dental corporation shall contain an appropriate legend setting forth the restrictions of section (a) and, where applicable, the restrictions of sections (b) and (c).
(e) The income of a dental corporation attributable to dental services rendered while a shareholder is a disqualified person shall not in any manner accrue to the benefit of such shareholder or his shares.
NOTE

Authority cited: Sections 1614 and 1608, Business and Professions Code. Reference: Sections 1806 and 1808, Business and Professions Code.
Article 9. Miscellaneous
§1061. Permit Processing Times.
Note     •     History

“Permit” as defined by the Permit Reform Act of 1981 means any license, certificate, registration, permit, or any other form of authorization required by a state agency to engage in a particular activity or act. Processing times for the board's various programs are set forth below. The actual processing times apply to those persons who take and pass the first available examination.

				Maximum period
		Maximum period		of time after
		of time in which		the filing of
		the Board will		a complete
		notify applicant		application
		that application		in which the
		is complete or		Board will
		deficient and		notify
		what specific		applicant		ACTUAL PROCESSING TIMES
		information		of a permit		BASED ON PRIOR TWO YEARS
	Name of Program	is required		decision		Minimum	Median	Maximum

	Dental License	90 days	90 days	14 days	56 days	165 days
	General Anesthesia permit	30 days	120 days	1 day 	9 days	29 days
	Conscious sedation permit	30 days	120 days
	Fictitious Name permit	30 days	75 days	17 days	44 days	75 days
	Additional office permit	30 days	75 days	17 days	47 days	85 days
	Extramural facilities	30 days	75 days	15 days	24 days	58 days
	Referral services	30 days	30 days	1 day 	16 days	44 days
	Radiation Safety	60 days	75 days	14 days	67 days	192 days
	Special permits	30 days	75 days	3 days	38 days	117 days
	Mobile dental clinics	30 days	75 days	1 day 	9 days	15 days
	Continuing Education providers	45 days	75 days	9 days	35 days	90 days
	Renewals:	30 days	90 days
	 Dental license			7 days	43 days	139 days
	 Additional office			13 days	26 days	57 days
	 Fictitious name			13 days	22 days	48 days
	 General Anesthesia			10 days	15 days	28 days
	 Conscious sedation			New Program)
	 Special permits			11 days	52 days	82 days
	 Mobile dental clinics			(New program)
	 Continuing education providers			1 day 	37 days	74 days
	
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 15375 and 15376, Government Code; and Section 1614, Business and Professions Code.
HISTORY

1. New section filed 2-22-88; operative 3-23-88 (Register 88, No. 10).
2. Amendment filed 4-1-91; operative 5-1-91 (Register 91, No. 18).
3. Change without regulatory effect amending table filed 2-24-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 9).
§1062. Submission of Information as a Requirement for License Renewal.
Note

To permit maintenance of current information regarding availability of dental care to the citizens of California, and in conjunction with efforts extended by the State Department of Health, the board may require submission of basic dental practice information as part of license renewal under Section 1717 of the Code. Statistical summation of such data will be compiled on a confidential basis as to individual sources of information received.
NOTE

Authority cited: Section 1614, Business and Professions Code; and Section 429.993, Health and Safety Code. Reference: Sections 429.97 through 429.993, Health and Safety Code.
§1063. Written Orders to Dental Technicians.
Note

Any written authorization issued by a licensed dentist pursuant to Section 1626(e) of the Code shall include the following:
(a) The date of its issuance;
(b) A description of the work authorized by the dentist to be done by the technician;
(c) The signature of the dentist issuing the written authorization;
(d) The license number of the dentist issuing the written authorization.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1626, Business and Professions Code.
§1064. Acupuncture Training.
Note     •     History

(a) A dentist who has successfully completed a course of instruction which complies with the requirements of this section may engage in the practice of acupuncture only as part of the practice of dentistry.
(b) The course of instruction shall meet the following requirements:
(1) It shall consist of not less than 50 hours of didactic instruction and 30 hours of clinical training and shall be of sufficient length to ensure that all students will possess the necessary skills to consistently perform acupuncture safely and effectively on a patient.
(2) It shall include instruction in the following subjects:
(A) Theoretical foundation of acupuncture, with emphasis on current physiological concepts as they relate to traditional Chinese medicine.
(B) Acupuncture anatomy and physiology.
(C) Acupuncture techniques, including instruction in the use of needling techniques; moxibustion, electroacupuncture and other noninvasive techniques for stimulating acupuncture points; precautions (e.g. sterilization of needles); contraindications and complications, including adverse systemic effects.
(D) Application of acupuncture to the practice of dentistry.
(3) Each instructor shall be either an acupuncturist certified by the Acupuncture Examining Committee or a dentist who has completed a course in acupuncture and has utilized acupuncture prior to July 1, 1982.
(4) The course of instruction shall be obtained from a dental school approved by the board or from a college or school of acupuncture which has been approved by the Acupuncture Examining Committee.
(5) Each dentist who successfully completes the course of instruction shall be given a certificate evidencing such completion.
NOTE

Authority cited: Sections 1614 and 4947, Business and Professions Code. Reference: Section 4947, Business and Professions Code.
HISTORY

1. New section filed 10-24-88; operative 11-23-88 (Register 88, No. 45).
Chapter 3. Dental Auxiliaries
Article 1. General Provisions
§1067. Definitions.
Note     •     History

As used in this subchapter:
(a) “Dental auxiliary” means a person who may perform dental supportive procedures authorized by the provisions of these regulations under the specified supervision of a licensed dentist.
(b) “Dental assistant” means an unlicensed person who may perform basic supportive dental procedures specified by these regulations under the supervision of a licensed dentist.
(c) “Registered dental assistant” or “RDA” means a licensed person who may perform all procedures authorized by the provisions of these regulations and in addition may perform all functions which may be performed by a dental assistant under the designated supervision of a licensed dentist.
(d) “Registered dental hygienist” or “RDH” means a licensed person who may perform all procedures authorized by the provisions of these regulations and in addition may perform all functions which may be performed by a dental assistant and registered dental assistant, under the designated supervision of a licensed dentist.
(e) “Registered dental assistant in extended functions” or “RDAEF” means a person licensed as a registered dental assistant who has completed post-licensure clinical and didactic training approved by the board and satisfactorily performed on an examination designated by the board for registered dental assistant in extended function applicants.
(f) “Registered dental hygienist in extended functions” or “RDHEF” means a person licensed as a registered dental hygienist who has completed post-licensure clinical and didactic training approved by the board and satisfactorily performed on an examination designated by the board for registered dental hygienist in extended functions applicants.
(g) “Oral prophylaxis” means the preventive dental procedures including complete removal of explorer-detectable calculus, soft deposits, plaque, stains, and the smoothing of unattached tooth surfaces. The objective of this treatment shall be creation of an environment in which hard and soft tissues can be maintained in good health by the patient.
(h) “Coronal polishing” means a procedure limited to the removal of plaque and stain from exposed tooth surfaces, utilizing an appropriate rotary instrument with rubber cup or brush and a polishing agent.
(i) “Direct supervision” means supervision of dental procedures based on instructions given by a licensed dentist who must be physically present in the treatment facility during performance of those procedures.
(j) “General supervision” means supervision of dental procedures based on instructions given by a licensed dentist, but not requiring the
physical presence of the supervising dentist during the performance of those procedures.
(k) “Satisfactory educational qualification” means theory, laboratory and/or clinical experience approved by the board.
(l) “Basic supportive dental procedures” means fundamental duties or functions which may be performed by an unlicensed dental assistant under the supervision of a licensed dentist because of their technically elementary characteristics, complete reversibility and inability to precipitate potentially hazardous conditions for the patient being treated.
(m) “Root planing” means the process of instrumentation by which the unattached surfaces of the root are made smooth by the removal of calculus and/or cementum. 
(n) “Periodontal soft tissue curettage” means the closed removal of tissue lining the periodontal pocket, not involving the reflection of a flap.
(o) “Gingival” means pertaining to the gingivae, the mucous membrane with the supporting fibrous tissue.
NOTE

Authority cited: Sections 1614 and 1762, Business and Professions Code. Reference: Sections 1741(d), 1754, 1759, 1760 and 1762, Business and Professions Code.
HISTORY

1. Change without regulatory effect amending subsection (h) filed 9-11-89 pursuant to section 100, title 1, California Code of Regulations (Register 89, No. 37).
2. Repealer of subsections (q), (r) and (s) filed 2-28-92; operative 3-30-92 (Register 92, No. 12).
3. Repealer of subsection (l), subsection relettering and amendment of newly designated subsection (m) filed 6-11-98; operative 7-11-98 (Register 98, No. 24).
§1068. Posting of Dental Auxiliary Duties.
Note

All dentists utilizing the services of dental auxiliaries shall post a notice in a common area of the office which delineates duties and functions deemed by the board as delegable within stipulated settings and/or circumstances. Such notice shall be readily accessible to all individuals under supervision of the dentist.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1751, 1754, 1757, 1759 and 1762, Business and Professions Code.
§1069. Permit Reform Act
Note     •     History

Permit” as defined by the Permit Reform Act of 1981 means any license, certificate, registration, permit, or any other form of authorization required by a state agency to engage in a particular activity or act. Processing times for the committee's programs are set forth below. The actual processing times apply to those persons who take and pass the first available examination. 

	Maximum
	period of time	Maximum
	in which the	period of
	Board will	time after 
	notify applicant	the filing
	that application	of a complete
	is complete	application 
	or deficient	in which
	and what 	the Board 
	specific	will notify	Actual Processing Times Based On 
	information	applicant of a	Prior Two Years        
Name of Program	is required	permit decision	Minimum	Median	Maximum

RDA Licensure	90 days	180 days	75 days	114 days	358 days

RDAEF Licensure	75 days	120 days	28 days	35 days	55 days

RDH Licensure	90 days	120 days	32 days	113 days	270 days

RDHEF Licensure	75 days	120 days	32 days	113 days	270 days

Education Program
Review and Approval

RDA Educational Programs	120 days	150 days	64 days	219 days	370 days

RDA Coronal Polish	90 days	120 days	67 days	102 days	191 days
and/or Ultrasonic
Scaler Course

RDAEF Educational	90 days	120 days	60 days	90 days	150 days
Programs

RDHEF Educational	90 days	120 days	60 days	90 days	150 days
Programs

Auxiliary Licensure	30 days	90 days	20 days	39 days	60 days
Renewal
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 15375 and 15376, Government Code; and Section 1614, Business and Professions Code.
HISTORY

1. New section filed 2-22-88; operative 3-23-88 (Register 88, No. 10).
2. Amendment of table filed 2-22-2001; operative 3-24-2001 (Register 2001, No. 8).
Article 2. Educational Programs
§1070. General Provisions Governing All Dental Assistant Educational Programs and Courses.
Note     •     History

(a)	(1) The criteria in subdivisions (b) to (j), inclusive, shall be met by a dental assisting program or course and all orthodontic assisting and dental sedation assisting permit programs or courses to secure and maintain approval by the Board as provided in this Article.
(2) The Board may approve, provisionally approve, or deny approval of any program or course for which an application to the Board for approval is required. All Registered Dental Assistant (RDA) and Registered Dental Assistant in Extended Functions (RDAEF) programs and dental assisting educational courses shall be re-evaluated approximately every seven years, but may be subject to re-evaluation and inspection by the Board at any time to review and investigate compliance with this Article and the Dental Practice Act (Act). Re-evaluation may include a site visit or written documentation that ensures compliance with all regulations. Results of re-evaluation shall be reported to the Board or its designee for final consideration and continuance of program or course approval, provisional approval or denial of approval. 
(3) Program and course records shall be subject to inspection by the Board at any time.
(4) The Board may withdraw approval at any time that it determines that a program or course does not meet the requirements of this Article or any other requirement in the Act.
(5) All programs and courses shall be established at the postsecondary educational level or deemed equivalent thereto by the Board.
(6) The Board or its designee may approve, provisionally approve, or deny approval to any such program. Provisional approval shall not be granted for a period which exceeds the length of the program. When the Board provisionally approves a program, it shall state the reasons therefore. Provisional approval shall be limited to those programs which substantially comply with all existing standards for full approval. A program given provisional approval shall immediately notify each student of such status. If the Board denies approval of a program, the specific reasons therefore shall be provided to the program by the Board in writing within 90 days after such action. 
(b) The program or course director shall possess a valid, active, and current license issued by the Board or the dental hygiene committee. The program or course director shall actively participate in and be responsible for the administration of the program or course. Specifically, the program or course director shall be responsible for the following requirements:
(1) Maintaining for a period of not less than five years copies of curricula, program outlines, objectives, and grading criteria, and copies of faculty credentials, licenses, and certifications, and individual student records, including those necessary to establish satisfactory completion of the program or course.
(2) Informing the Board of any major change to the program or course content, physical facilities, or faculty, within 10 days of the change.
(3) Ensuring that all staff and faculty involved in clinical instruction meet the requirements set forth in this Article.
(c) Course faculty and instructional staff shall be authorized to provide instruction by the program or course director at the educational facility in which instruction is provided.
(d) No faculty or instructional staff member shall instruct in any procedure that he or she does not hold a license or permit in California to perform. Each faculty or instructional staff member shall possess a valid, active, and current license issued by the Board or the Dental Hygiene Committee of California, shall have been licensed or permitted for a minimum of two years, and possess experience in the subject matter he or she is teaching. An instructor who has held a license as a registered dental assistant or registered dental assistant in extended functions for at least two years, who then becomes a permit holder as an Orthodontic Assistant on or after January 1, 2010, shall not be required to have held such a permit for two years in order to instruct in the subject area.
(e) A certificate, diploma, or other evidence of completion shall be issued to each student who successfully completes the program or course and shall include the following: the student's name, the name of the program or course, the date of completion, and the signature of the program or course director or his or her designee.
(f) Facilities and class scheduling shall provide each student with sufficient opportunity, with instructor supervision, to develop minimum competency in all duties for which the program or course is approved to instruct.
(1) The location and number of general use equipment and armamentaria shall ensure that each student has the access necessary to develop minimum competency in all of the duties for which the program or course is approved to instruct. The program or course provider may either provide the specified equipment and supplies or require that the student provide them. Nothing in this Section shall preclude a dental office that contains the equipment required by this Section from serving as a location for laboratory instruction.
(2) Clinical instruction shall be of sufficient duration to allow the procedures to be performed to clinical proficiency. Operatories shall be sufficient in number to allow a ratio of at least one operatory for every five students who are simultaneously engaged in clinical instruction.
(A) Each operatory shall contain functional equipment, including a power-operated chair for patient or simulation-based instruction in a supine position, operator and assistant stools, air-water syringe, adjustable light, oral evacuation equipment, work surface, handpiece connection, and adjacent hand-washing sink.
(B) Each operatory shall be of sufficient size to simultaneously accommodate one student, one instructor, and one patient or student partner.
(C) Prior to clinical assignments, students must demonstrate minimum competence in laboratory or preclinical performance of the procedures they will be expected to perform in their clinical experiences.
(g) The program or course shall establish written clinical and laboratory protocols that comply with the Board's Minimum Standards for Infection Control (Cal. Code Regs., Title 16, Section 1005) and other federal, state, and local requirements governing infection control. The program or course shall provide these protocols to all students, faculty, and instructional staff to ensure compliance. Adequate space shall be provided for handling, processing, and sterilizing all armamentarium. 
(h) A written policy on managing emergency situations shall be made available to all students, faculty, and instructional staff. All faculty and staff involved in the direct oversight of patient care activities shall be certified in basic life support procedures, including cardiopulmonary resuscitation. Recertification intervals may not exceed two years. The program or course director shall ensure and document compliance by faculty and instructional staff. A program or course shall sequence curriculum in such a manner so as to ensure that students complete instruction in basic life support prior to performing procedures on patients used for clinical instruction and evaluation.
(i) A detailed program or course outline shall clearly state, in writing, the curriculum subject matter, hours of didactic, laboratory, and clinical instruction, general program or course objectives, instructional objectives, theoretical content of each subject, and, where applicable, the use of practical application. Objective evaluation criteria shall be used for measuring student progress toward attainment of specific program or course objectives. Students shall be provided with all of the following:
(1) Specific performance objectives and the evaluation criteria used for measuring levels of competence for each component of a given procedure including those used for examinations.
(2) Standards of performance that state the minimum number of satisfactory performances that are required for each performance-evaluated procedure.
(3) Standards of performance for laboratory, preclinical, and clinical functions, those steps that would cause the student to fail the task being evaluated, and a description of each of the grades that may be assigned during evaluation procedures.
(j)(1) If an extramural dental facility is utilized, students shall, as part of an extramural organized program of instruction, be provided with planned, supervised clinical instruction. Laboratory and preclinical instruction shall be performed under the direct supervision of program or course faculty or instructional staff and shall not be provided in an extramural dental facility.
(2) The program or course director, or a designated faculty member, shall be responsible for selecting extramural dental facility and evaluating student competence before and after the clinical assignment.
(3) Prior to student assignment in an extramural dental facility, the program or course director, or a designated faculty or instructional staff member, shall orient dentists and all licensed dental healthcare workers who may provide instruction, evaluation, and oversight of the student in the clinical setting. Orientation shall include, at a minimum, the objectives of the program or course, the student's preparation for the clinical assignment, and a review of procedures and criteria to be used by the dentist or the licensed personnel in the extramural dental facility in evaluating the student during the assignment, which shall be the same as the evaluation criteria used within the program or course. 
(4) There shall be a written contract of affiliation between the program and each extramural dental facility that includes written affirmation of compliance with the regulations of this Article.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1750, 1750.2, 1750.4, 1752.1, 1752.4, 1752.6 and 1753, Business and Professions Code.
HISTORY

1. New subsection (d) filed 2-22-88; operative 3-23-88 (Register 88, No. 10).
2. Amendment of section heading, section and Note filed 4-30-2003; operative 5-30-2003 (Register 2003, No. 18).
3. Repealer and new section heading, section and Note filed 10-12-2011; operative 11-11-2011 (Register 2011, No. 41).
§1070.1. Educational Program and Course Definitions and Instructor Ratios.
Note     •     History

As used in this Article, the following definitions shall apply:
(a) “Clinical instruction” means instruction in which students receive supervised experience in performing procedures in a clinical setting on patients. Clinical procedures shall only be allowed upon successful demonstration and evaluation of laboratory and preclinical skills. There shall be at least one instructor for every six students who are simultaneously engaged in clinical instruction.
(b) “Didactic instruction” means lectures, demonstrations, and other instruction involving theory that may or may not involve active participation by students. The faculty or instructional staff of an educational institution or approved provider may provide didactic instruction via electronic media, home study materials, or live lecture modality. 
(c) “Extramural dental facility” means any clinical facility utilized by a Board-approved dental assisting educational program for instruction in dental assisting that exists outside or beyond the walls, boundaries or precincts of the primary location of the Board-approved program and in which dental treatment is rendered.
(d) “Laboratory instruction” means instruction in which students receive supervised experience performing procedures using study models, mannequins, or other simulation methods. There shall be at least one instructor for every 14 students who are simultaneously engaged in instruction.
(e) “Preclinical instruction” means instruction in which students receive supervised experience within the educational facilities performing procedures on simulation devices or patients which are limited to students, faculty, or instructional staff members. There shall be at least one instructor for every six students who are simultaneously engaged in instruction.
(f) “Simulated clinical instruction” means instruction in which students receive supervised experience performing procedures using simulated patient heads mounted in appropriate position and accommodating an articulated typodont in an enclosed intraoral environment, or mounted on a dental chair in a dental operatory. Clinical simulation spaces shall be sufficient to permit one simulation space for each 2 students at any one time.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1750, 1750.2, 1750.4, 1752.1, 1752.4, 1752.6 and 1753, Business and Professions Code.
HISTORY

1. Renumbering of former Section 1018 to Section 1070.1 filed 7-17-85; effective thirtieth day thereafter (Registered 85, No. 29). For prior history, see Register 85, No. 17.
2. Duplicate order renumbering former Section 1018 to Section 1070.1 filed 9-27-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 41).
3. Renumbering of former section 1070.1 to section 1070.2 and new section 1070.1 filed 4-30-2003; operative 5-30-2003 (Register 2003, No. 18).
4. Repealer and new section heading, section and Note filed 10-12-2011; operative 11-11-2011 (Register 2011, No. 41).
§1070.2. Approval of Registered Dental Assistant Educational Programs.
Note     •     History

(a) All Registered Dental Assistant (RDA) programs in California shall apply for and receive Board approval prior to operation.
(b) The Board may, in lieu of conducting its own investigation, accept the findings of any commission or accreditation agency approved by the Board and adopt those findings as its own. All programs accredited by the American Dental Association Commission on Dental Accreditation (Commission) shall submit to the Board after each site visit a copy of the final report of the Commission's findings within 30 days of the final report issuance. New programs approved by the Commission shall apply to the Board and shall submit proof of Provisional Approval status by the Commission, a copy of the institutional self study, and applications for Radiation Safety, Coronal Polish, Pit and Fissure Sealants and any other courses required of an RDA educational program. Acceptance of the Commission's or any accrediting agencies' findings is at the discretion of the Board and does not prohibit the Board from exercising its right to site-evaluate a program. 
(c) If the program is granted the status of “Approved with Reporting Requirements” from the Commission, the program shall submit to the Board copies of any and all correspondence received from or submitted to the Commission until such time as the status of “Approval without Reporting Requirements” is granted. Additionally, if the program withdraws from accredited status by the Commission, the program shall notify the Board, in writing, of such status within 30 days. 
(d) In order for a registered dental assistant program to secure and maintain approval by the Board, it shall meet the requirements of Sections 1070 and 1070.1 and the requirements contained in this Section. 
(1) A program shall notify the Board in writing if it wishes to increase the maximum student enrollment for which it is approved and shall provide documentation to the Board to demonstrate compliance with Section 1070 and Section 1070.1 to reapprove the program for the increased enrollment prior to accepting additional students. 
(2) Programs shall establish and maintain an advisory committee whose membership provides for equal representation of dentists and dental assistants, all currently licensed by the Board. In addition, consideration shall be given to a student, a recent graduate or a public representative to serve on the advisory committee. The advisory committee shall meet at least once each academic year with the program director, faculty, and appropriate institutional personnel to monitor the ongoing quality and performance of the program and to receive advice and assistance from the committee.
(3) Adequate provision for the supervision and operation of the program shall be made. In addition to the requirements of Sections 1070 and 1070.1, the following requirements shall be met:
(A) By January 1, 2012, each faculty member shall have completed a course or certification program in educational methodology of at least 30 hours, unless he or she holds any one of the following: a postgraduate degree in education, a Ryan Designated Subjects Vocational Education Teaching Credential, a Standard Designated Subjects Teaching Credential, or a Community College Teaching Credential. Each faculty member employed after January 1, 2012, shall complete a course or certification program in educational methodology within six months of employment. The program director or designated administrator shall be responsible to obtain and maintain records of each faculty member showing evidence of having met this requirement.
(B) The program director shall have teaching responsibilities that are less than those of a full-time faculty member. He or she shall actively participate in and be responsible for the administration of the program including the following:
(i) Participating in budget preparation and fiscal administration, curriculum development and coordination, determination of teaching assignments, supervision and evaluation of faculty, establishment of criteria and procedures, design and operation of program facilities, and selection of extramural facilities and coordination of instruction in those facilities.
(ii) Holding periodic staff meetings to provide for subject matter review, instructional calibration, curriculum evaluation, and coordinating activities of full-time, part-time, and volunteer faculty or instructional staff.
(iii) Maintaining copies of minutes of all advisory committee and staff meetings for not less than five years.
(C) The owner or school administrator shall be responsible for the compliance of the program director with the provisions of this Section and Sections 1070 and 1070.1.
(4) The program shall have sufficient financial resources available to support the program and to comply with this Section. If the program or school requires approval by any other governmental agency, that approval shall be obtained prior to application to the Board for approval and shall be maintained at all times. The failure to maintain that approval shall result in the automatic withdrawal of Board approval of the program.
(5) The program shall be of sufficient duration for the student to develop minimum competence in performing dental assistant and registered dental assistant duties, but in no event less than 800 hours, including at least 275 hours of didactic instruction, at least 260 hours of combined laboratory or preclinical instruction conducted in the program's facilities under the direct supervision of program faculty or instructional staff, and the remaining hours utilized in clinical instruction in extramural dental facilities. No more than 20 hours of instruction shall be devoted to clerical, administrative, practice management, or similar duties. Programs whose demonstrated total hours exceed 800 and who meet all the instructional requirements in this Section, may utilize the additional instructional hours as deemed appropriate for program success. To maintain approval, programs approved prior to the effective date of these regulations shall submit to the Board a completed “Notice of Compliance with New Requirements for Registered Dental Assistant Educational Programs (New 9/10)”, hereby incorporated by reference, within ninety (90) days of the effective date of these regulations. 
(6) In addition to the requirements of Section 1070 with regard to extramural instruction: 
(A) No more than 25 percent of extramural clinical instruction shall take place in a specialty dental practice.
(B) Program faculty shall visit each extramural dental facility at least once every ten clinical days. 
(7) Facilities and class scheduling shall provide each student with sufficient opportunity, with instructor supervision, to develop minimum competency in all duties that registered dental assistants are authorized to perform. The following requirements are in addition to those contained in Sections 1070 and 1070.1:
(A) The following are minimum requirements for equipment and armamentaria during laboratory, preclinical, and clinical sessions as appropriate to each type of session: amalgamator, model trimmers in the ratio of one for every seven students, dental rotary equipment in the ratio of one for every three students, vibrators in the ratio of one for every three students, light curing devices in the ratio of one for every operatory, functional typodonts and bench mounts in the ratio of one for every two students, functional orthodontically banded typodonts in the ratio of one for every four students, facebows in the ratio of one for every ten students, automated blood pressure device, EKG machine, pulse oximeters in the ratio of one for every ten students, capnograph or simulated device, one set of hand instruments in the ratio of one set for every two students for each procedure, respiration device, camera for intraoral use, camera for extraoral use, CAD machine or simulated device, caries detection device in the ratio of one for every ten students, and all other equipment and armamentaria required to teach dental assistant and registered dental assistant duties. With the exception of a CAD machine and patient monitoring equipment specific to EKG machine, pulse oximeter, and capnograph, the program shall own the necessary equipment and have it readily available upon inspection. Patient monitoring equipment owned by the institution and utilized by more than one program within the institution premises is acceptable and may be used by the RDA program as needed for instruction. Instruction by a licensed healthcare provider is acceptable. In the event instruction in patient monitoring procedures and use of the CAD machine is provided by an outside provider, the RDA program shall not be required to have available or own patient monitoring equipment or CAD machine.
(B) Instruments must be provided to accommodate students needs in learning to identify, exchange, and prepare procedural trays and assist in procedures as they relate to general and specialty dentistry.
(C) Provision shall be made for reasonable access to current and diverse dental and medical reference texts, current journals, audiovisual materials, and other necessary resources. Library holdings, which may include, in total or in part, access through the Internet, shall include materials relating to all subject areas of the program curriculum. 
(D) Emergency materials shall include, at a minimum, an oxygen tank that is readily available and functional. Medical materials for treating patients with life-threatening conditions shall be available for instruction and accessible to the operatories. Facilities that do not treat patients shall maintain a working model of a kit of such emergency materials for instructional purposes.
(8) Curriculum documentation shall be reviewed annually and revised, as needed, to reflect new concepts and techniques. This content must be integrated and of sufficient depth, scope, sequence of instruction, quality and emphasis to ensure achievement of the curriculum's defined competencies. 
(A) Programs that admit students in phases, including modular or open-entry programs, shall provide, at minimum, basic instruction in tooth anatomy, tooth numbering, general program guidelines, basic chairside skills, emergency and safety precautions, infection control, and sterilization protocols associated with and required for patient treatment. Such instruction shall occur prior to any other program content and prior to performances or activities involving patients. 
(B) All programs shall provide students with additional instruction in the California Division of Occupational Safety and Health (Cal/OSHA) Regulations (Cal. Code Regs., Title 8, Sections 330-344.85) and the Board's Minimum Standards for Infection Control (Cal. Code Regs., Title 16, Section 1005) prior to the student's performance of procedures on patients.
(9) In addition to the requirements of Sections 1070 and 1070.1 and subdivisions (b)(11) and (b)(12) of this Section, programs shall include the following content:
(A) Instruction in radiation safety that meets all of the requirements of Cal. Code Regs., Title 16, Sections 1014 and 1014.1.
(B) Instruction in coronal polishing that meets all of the requirements of Cal. Code Regs., Title 16, Section 1070.4.
(C) Instruction in the application of Pit and Fissure Sealants that meets all of the requirements of Cal. Code Regs., Title 16, Section 1070.3. 
(D) A course in basic life support provided by an instructor approved by the American Red Cross or the American Heart Association, or any other course approved by the Board as equivalent. The program may require that the student complete this course as a prerequisite to program enrollment, or that the student provide evidence of having completed the course from another provider.
(E) Instruction in infection control that meets all of the requirements of Cal. Code Regs., Title 16, Section 1070.6. 
(F) Instruction in the Dental Practice Act that includes the content specified in Cal. Code Regs., Title 16, Section 1016 governing Dental Practice Act continuing education courses.
(10) A program that desires to provide instruction in the following areas shall apply separately for approval to provide the following courses:
(A) A course in the removal of excess cement with an ultrasonic scaler, that shall meet the requirements of Cal. Code Regs., Title 16, Section 1070.5. 
(B) An orthodontic assistant permit course that shall meet the requirements of Cal. Code Regs., Title 16, Section 1070.7, except that a program shall not be required to obtain separate approval to teach the duties of placing ligature ties and archwires, removing orthodontic bands, and removing excess cement from surfaces of teeth with a hand instrument, and shall be no less than 51 hours, including at least 9 hours of didactic instruction, at least 22 hours of laboratory instruction, and at least 20 hours of clinical instruction. 
(C) A dental sedation assistant permit course that shall meet the requirements of Cal. Code Regs., Title 16, Section 1070.8.
(D) A Registered Dental Assisting educational program that includes instructional content for either the orthodontic assistant permit or dental sedation assistant permit, or both, shall provide a certificate or certificates of completion to the graduate. The certificate holder shall be deemed an eligible candidate for the permit examination process as having met all educational requirements for the permit examination. 
(11) General didactic instruction shall include, at a minimum, the following:
(A) Principles of general anatomy, physiology, oral embryology, tooth histology, and head-neck anatomy.
(B) Principles of conditions related to and including oral pathology, orthodontics, periodontics, endodontics, pediatric dentistry, oral surgery, prosthodontics, and esthetic dentistry.
(C) Instruction in the Dental Practice Act that includes the content specified in Cal. Code Regs., Title 16, Section 1016, as well as principles of the Health Insurance Portability and Accountability Act (HIPAA) privacy and security standards, risk management, and professional codes of ethical behavior.
(D) Principles of infection control, waste management, and hazardous communication requirements in compliance with the Board's Minimum Standards for Infection Control (Cal. Code Regs., Title 16, Section 1005) and other federal, state, and local requirements governing infection control. Instruction in infection control shall meet the education requirements set forth in Section 1070.6(e).
(E) Principles related to pharmacology and biomedical sciences including nutrition and microbiology.
(F) Principles of medical-dental emergencies and first aid management.
(G) Principles of the treatment planning process including medical health history data collection, patient and staff confidentiality, and charting.
(H) Principles of record classifications including management, storage, and retention protocol for all dental records including legal and ethical issues involving patient records.
(I) Principles and protocols of special needs patient management, the psychology and management of dental patients, and overall interpersonal relationships.
(J) Principles, protocols, and armamentaria associated with all dental assisting chairside procedures.
(K) Principles, protocols, manipulation, use, and armamentaria for contemporary dental materials used in general and specialty dentistry.
(L) Principles and protocols for oral hygiene preventative methods including, plaque identification, toothbrushing and flossing techniques, and nutrition.
(M) Principles, protocols, armamentaria, and procedures associated with operative and specialty dentistry.
(N) Principles, protocols, armamentaria, and procedures for each duty that dental assistants and registered dental assistants are allowed to perform.
(O) All content for instruction in radiation safety as set forth in Cal. Code Regs., Title 16, Section 1014.1.
(P) All content for instruction in coronal polishing as set forth in Cal. Code Regs., Title 16, Section 1070.4.
(Q) All content for instruction in the application of Pit and Fissure Sealants as set forth in Cal. Code Regs., Title 16, Section 1070.3.
(12) Laboratory and clinical instruction shall be of sufficient duration and content for each student to achieve minimum competence in the performance of each procedure that dental assistant and registered dental assistant is authorized to perform.
(13) Each student shall pass a written examination that reflects the curriculum content, which may be administered at intervals throughout the course as determined by the course director.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1752.1, 1752.4 and 1752.6, Business and Professions Code.
HISTORY

1. Renumbering of former section 1070.1 to section 1070.2, including amendment of section and Note, filed 4-30-2003; operative 5-30-2003 (Register 2003, No. 18).
2. Repealer and new section heading, section and Note filed 10-12-2011; operative 11-11-2011 (Register 2011, No. 41).
§1070.3. Approval of Pit and Fissure Sealant Courses.
Note     •     History

The following minimum criteria shall be met for a course in the application of pit and fissure sealants to secure and maintain approval by the Board.
(a) Educational Setting. The course shall be established at the post-secondary educational level.
(b) Prerequisites. Each student must possess the necessary requirements for application for RDA licensure or currently possess an RDA license. Each student must have already completed a Board-approved course in coronal polishing.
(c) Administration/Facility. Adequate provision for the supervision and operation of the course shall be made.
(1) The course director and each faculty member shall possess a valid, active, and current RDAEF, RDH,  RDHEF, RDHAP, or dentist license issued by the Board, or an RDA license issued by the Board if the person has completed Board-approved courses in coronal polishing and the application of pit and fissure sealants. All faculty shall have been licensed for a minimum of two years. All faculty shall have the education, background, and occupational experience and/or teaching expertise necessary to teach, place, and evaluate the application of pit and fissure sealants. All faculty responsible for clinical evaluation shall have completed a two hour methodology course in clinical evaluation.
(2) The course director must have the education, background, and occupational experience necessary to understand and fulfill the course goals. He/she shall actively participate in and be responsible for the day-to-day administration of the course including the following:
(A) Providing daily guidance of didactic, laboratory and clinical assignments.
(B) Maintaining for a period of not less than 5 years:
1. Copies of curricula, course outlines, objectives, and grading criteria.
2. Copies of faculty credentials, licenses, and certifications.
3. Individual student records, including those necessary to establish satisfactory completion of the course.
(C) Informing the Board of any changes to the course content, physical facilities, and/or faculty, within 10 days of such changes.
(d) Length of Course. The program shall be of sufficient duration for the student to develop minimum competence in the application of pit and fissure sealants, but shall in no event be less than 16 clock hours, including at least 4 hours of didactic training, at least 4 hours of laboratory training, and at least 8 hours of clinical training.
(e) Evidence of Completion. A certificate or other evidence of completion shall be issued to each student who successfully completes the course.
(f) Facilities and Resources. Facilities and class scheduling shall provide each student with sufficient opportunity, with instructor supervision, to develop minimum competency in applying pit and fissure sealants. Such facilities shall include safe, adequate and educationally conducive:
(1) Lecture classrooms. Classroom size and equipment shall accommodate the number of students enrolled.
(2) Operatories. Operatories shall be sufficient in number to allow a ratio of at least one operatory for every five students at any one time.
(A) Each operatory shall replicate a modern dental office containing functional equipment including: a power-operated chair for treating patients in a supine position; operator and assistant stools; air-water syringe; adjustable light; oral evacuation equipment; work surface; hand-washing sink; curing light, and all other armamentarium required to instruct in the application of pit and fissure sealants.
(B) Each operatory must be of sufficient size to accommodate a practitioner, a student, an instructor, and a patient at one time.
(3) Laboratories. The location and number of general use equipment shall assure that each student has the access necessary to develop minimum competency in the application of pit and fissure sealants. Protective eyewear is required for each student.
(4) Infection Control. The program shall establish written clinical and laboratory protocols to ensure adequate asepsis, infection and hazard control, and disposal of hazardous wastes, which shall comply with the board's regulations and other Federal, State, and local requirements. The program shall provide such protocols to all students, faculty, and appropriate staff to assure compliance with such protocols. Adequate space shall be provided for preparing and sterilizing all armamentarium.
(5) Emergency Materials/Basic Life Support.
(A) A written policy on managing emergency situations must be made available to all students, faculty, and staff.
(B) All students, faculty, and staff involved in the direct provision of patient care must be certified in basic life support procedures, including cardiopulmonary resuscitation. Re-certification intervals may not exceed two years. The program must document, monitor, and ensure compliance by such students, faculty, and staff.
(g) Program Content.
(1) Sufficient time shall be available for all students to obtain laboratory and clinical experience to achieve minimum competence in the various protocols used in the application of pit and fissure sealants.
(2) A detailed course outline shall be provided to the board which clearly states curriculum subject matter and specific instruction hours in the individual areas of didactic, laboratory, and clinical instruction.
(3) General program objectives and specific instructional unit objectives shall be stated in writing, and shall include theoretical aspects of each subject as well as practical application. The theoretical aspects of the program shall provide the content necessary for students to make judgments regarding the application of pit and fissure sealants. The course shall assure that students who successfully complete the course can apply pit and fissure sealants with minimum competence.
(4) Objective evaluation criteria shall be used for measuring student progress toward attainment of specific course objectives. Students shall be provided with specific unit objectives and evaluation criteria that will be used for all aspects of the curriculum including written and practical examinations. The program shall establish a standard of performance that states the minimum number of satisfactory performances that are required for each procedure.
(5) Areas of instruction shall include at least the following as they relate to pit and fissure sealants:
(A) Dental Science -- Oral Anatomy, Histology, Physiology, Oral Pathology, Normal/Abnormal Anatomical and Physiological Tooth Descriptions
(B) Morphology and Microbiology
(C) Dental Materials and Pharmacology
(D) Sealant Basics
1. Legal requirements
2. Description and goals of sealants
3. Indications and contraindications
4. Role in preventive programs
(E) Sealant Materials
1. Etchant and/or etchant/bond combination material composition, process, storage and handling
2. Sealant material composition, polymerization type, process, storage and handling
3. Armamentaria for etching and sealant application
4. Problem solving for etchant and sealant material placement/manipulation
(F) Sealant Criteria
1. Areas of application
2. Patient selection factors
3. Other indication factors
(G) Preparation Factors
1. Moisture control protocol
2. Tooth/teeth preparation procedures prior to etching or etchant/bond
(H) Acid Etching or Etchant/Bond Combination
1. Material preparation
2. Application areas
3. Application time factors
4. Armamentaria
5. Procedure
6. Etchant or etchant/bond evaluation criteria
(I) Sealant Application
1. Application areas
2. Application time factors
3. Armamentaria
4. Procedure for chemical cure and light cure techniques
5. Sealant evaluation criteria
6. Sealant adjustment techniques
(J) Infection control protocol
(K) Clinical re-call re-evaluation protocols
(6) There shall be no more than 14 students per instructor during laboratory instruction. Laboratory instruction may be conducted on a typodont, a simulated model, and/or mounted extracted teeth. Sufficient time shall be available for all students to obtain laboratory experience to achieve minimum competence in pit and fissure sealant application prior to the performance of procedures on patients.
(7) Clinical instruction shall be of sufficient duration to allow the procedures to be performed to clinical proficiency. There shall be no more than 6 students per instructor during clinical instruction. Clinical instruction shall include clinical experience on four patients with two of the four patients used for the clinical examination. Each clinical patient must have a minimum of four (4) virgin, non-restored, natural teeth, sufficiently erupted so that a dry field can be maintained, for application of the etching, or etchant/bond combination, and sealant materials. Such clinical instruction shall include teeth in all four quadrants for each patient.
(h) Externship Instruction.
(1) If an extramural clinical facility is utilized, students shall, as part of an organized program of instruction, be provided with planned, supervised clinical instruction in the application of pit and fissure sealants.
(2) The program director/coordinator or a dental faculty member shall be responsible for selecting extern clinical sites and evaluating student competence in performing procedures both before and after the clinical assignment.
(3) Objective evaluation criteria shall be used by the program faculty and clinic personnel. 
(4) Dentists who intend to provide extramural clinical practices shall be oriented by the program director/coordinator or a dental faculty member prior to the student assignment. Orientation shall include the objectives of the course, the preparation the student has had for the clinical assignment, and a review of procedures and criteria to be used by the dentist in evaluating the student during the assignment.
(5) There shall be a written contract of affiliation with each extramural clinical facility utilized by the program. Such contract shall describe the settings in which the clinical training will be received, affirm that the clinical facility has the necessary equipment and armamentarium appropriate for the procedures to be performed, and affirm that such equipment and armamentarium are in safe operating condition.
(i) Evaluation and Examination.
(1) Upon completion of the course, each student must be able to:
(A) Identify the major characteristics of oral anatomy, histology, physiology, oral pathology, normal/abnormal anatomical and physiological tooth descriptions, morphology and microbiology as they relate to pit and fissure application.
(B) Explain the procedure to patients.
(C) Recognize decalcification, caries and fracture lines.
(D) Identify the indications and contraindications for sealants.
(E) Identify the characteristics of self curing and light cured sealant material.
(F) Define the appropriate patient selection factors and indication factors for sealant application.
(G) Utilize proper armamentaria in an organized sequence.
(H) Maintain appropriate moisture control protocol before and during application of etchant and sealant material.
(I) Demonstrate the proper technique for teeth preparation prior to etching.
(J) Select and dispense the proper amount of etchant and sealant material.
(K) Demonstrate the proper techniques for application of the etchant and sealant material.
(L) Implement problem solving techniques associated with pit and fissure sealants.
(M) Evaluate the etchant and sealant placement techniques according to appropriate criteria.
(N) Check the occlusion and proximal contact for appropriate placement techniques.
(O) Adjust occlusion and evaluate or correct proximal areas(s) when indicated.
(P) Maintain aseptic techniques including disposal of contaminated material.
(2) Each student shall pass a written examination which reflects the entire curriculum content.
(3) Each student shall pass a clinical examination in which the student successfully completes the application of pit and fissure sealants on two of the four clinical patients required for clinical instruction. The examination shall include teeth in all four quadrants.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1754 and 1777, Business and Professions Code.
HISTORY

1. New section filed 4-28-2005; operative 5-28-2005 (Register 2005, No. 17).
§1070.4. Approval of Coronal Polishing Courses.
Note     •     History

The following minimum criteria shall be met for a course in coronal polishing to secure and maintain approval by the Board. 
(a) Educational Setting. The course shall be established at the post-secondary educational level. 
(b) Prerequisites. Each student must possess the necessary requirements for application for RDA licensure or currently possess an RDA license. Each student must satisfactorily demonstrate to the instructor clinical competency in infection control requirements prior to clinical instruction in coronal polishing. 
(c) Administration/Faculty. Adequate provision for the supervision and operation of the course shall be made. 
(1) The course director and each faculty member shall possess a valid, active, and current RDAEF, RDH, RDHEF, RDHAP, or dentist license issued by the Board, or an RDA license issued by the Board if the person has completed a board-approved course in coronal polishing. All faculty shall have been licensed for a minimum of two years. All faculty shall have the education, background, and occupational experience and/or teaching expertise necessary to teach, place, and evaluate coronal polishing. All faculty responsible for clinical evaluation shall have completed a two hour methodology course in clinical evaluation. 
(2) The course director must have the education, background, and occupational experience necessary to understand and fulfill the course goals. He/she shall actively participate in and be responsible for the day-to-day administration of the course including the following: 
(A) Providing guidance of didactic, laboratory and clinical assignments. 
(B) Maintaining for a period of not less than 5 years: 
i. Copies of curricula, course outlines, objectives, and grading criteria. 
ii. Copies of faculty credentials, licenses, and certifications. 
iii. Individual student records, including those necessary to establish satisfactory completion of the course. 
(C) Informing the board of any changes to the course content, physical facilities, and/or faculty, within 10 days of such changes. 
(d) Length of Course. The program shall be of sufficient duration for the student to develop minimum competence in coronal polishing, but shall in no event be less than 12 clock hours, including at least 4 hours of didactic training, at least 4 hours of laboratory training, and at least 4 hours of clinical training. 
(e) Evidence of Completion. A certificate or other evidence of completion shall be issued to each student who successfully completes the course. 
(f) Facilities and Resources. Facilities and class scheduling shall provide each student with sufficient opportunity, with instructor supervision, to develop minimum competency in coronal polishing. Such facilities shall include safe, adequate and educationally conducive: 
(1) Lecture classrooms. Classroom size and equipment shall accommodate the number of students enrolled. 
(2) Operatories. Operatories shall be sufficient in number to allow a ratio of at least one operatory for every six students at any one time. 
(A) Each operatory shall replicate a modern dental office containing functional equipment including: a power-operated chair for treating patients in a supine position; operator and assistant stools; air-water syringe; adjustable light; oral evacuation equipment; work surface; hand-washing sink; slow-speed handpiece, and all other armamentarium required to instruct in the performance of coronal polishing. 
(B) Each operatory must be of sufficient size to accommodate a student, an instructor, and a patient at one time. 
(3) Laboratories. The location and number of general use equipment shall assure that each student has the access necessary to develop minimum competency in coronal polishing. Protective eyewear is required for each student. 
(4) Infection Control. The program shall establish written clinical and laboratory protocols to ensure adequate asepsis, infection and hazard control, and disposal of hazardous wastes, which shall comply with the board's regulations and other Federal, State, and local requirements. The program shall provide such protocols to all students, faculty, and appropriate staff to assure compliance with such protocols. Adequate space shall be provided for preparing and sterilizing all armamentarium. 
(5) Emergency Materials/Basic Life Support. 
(A) A written policy on managing emergency situations must be made available to all students, faculty, and staff. 
(B) All students, faculty, and staff involved in the direct provision of patient care must be certified in basic life support procedures, including cardiopulmonary resuscitation. Re-certification intervals may not exceed two years. The program must document, monitor, and ensure compliance by such students, faculty, and staff. 
(g) Program Content. 
(1) Sufficient time shall be available for all students to obtain laboratory and clinical experience to achieve minimum competence in the various protocols used in the performance of coronal polishing. 
(2) A detailed course outline shall be provided to the board which clearly states curriculum subject matter and specific instruction hours in the individual areas of didactic, laboratory, and clinical instruction. 
(3) General program objectives and specific instructional unit objectives shall be stated in writing, and shall include theoretical aspects of each subject as well as practical application. The theoretical aspects of the program shall provide the content necessary for students to make judgments regarding the performance of coronal polishing. The course shall assure that students who successfully complete the course can perform coronal polishing with minimum competence. 
(4) Objective evaluation criteria shall be used for measuring student progress toward attainment of specific course objectives. Students shall be provided with specific unit objectives and the evaluation criteria that will be used for all aspects of the curriculum including written and practical examinations. The program shall establish a standard of performance that states the minimum number of satisfactory performances that are required for each procedure. 
(5) Areas of instruction shall include at least the following as they relate to coronal polishing: 
(A) Coronal Polishing Basics 
i. Legal requirements 
ii. Description and goals of coronal polishing 
iii. Indications and contraindications of coronal polishing 
iv. Criteria for an acceptable coronal polish 
(B) Principles of plaque and stain formation 
i. Clinical description of plaque, intrinsic and extrinsic stains, and calculus 
ii. Etiology of plaque and stain 
iii. Clinical description of teeth that have been properly polished and are free of stain. 
iv. Tooth morphology and anatomy of the oral cavity as they relate to polishing techniques and to retention of plaque and stain 
(C) Polishing materials 
i. Polishing agent composition, storage and handling 
ii. Abrasive material composition, storage, and handling, and factors which affect rate of abrasion 
iii. Disclosing agent composition, storage and handling. 
iv. Armamentaria for disclosing and polishing techniques. 
v. Contraindications for disclosing and polishing techniques. 
(D) Principals of tooth polishing 
i. Clinical application of disclosing before and after a coronal polish. 
ii. Instrument grasps and fulcrum techniques 
iii. Purpose and techniques of the mouth mirror for indirect vision and retraction. 
iv. Characteristics, manipulation and care of dental handpieces when performing a coronal polish. 
v. Pre-medication requirements for the compromised patient. 
vi. Use of adjunct materials for stain removal and polishing techniques 
vii. Techniques for coronal polishing of adults and children. 
viii. Procedures for cleaning fixed and removable prosthesis and orthodontic appliances. 
ix. Disclosing and polishing evaluation criteria. 
(E) Infection control protocols 
(6) There shall be no more than 6 students per instructor during laboratory instruction. Sufficient time shall be available for all students to obtain laboratory experience to achieve minimum competence in the performance of coronal polishing prior to the performance of procedures on patients. 
(7) Clinical instruction shall be of sufficient duration to allow the procedures to be performed to clinical proficiency, which may include externship instruction as provided in subdivision (h). There shall be no more than 6 students per instructor during clinical instruction. Clinical instruction shall include clinical experience on at least three patients, with two of the three patients used for the clinical examination. 
(h) Externship Instruction. 
(1) If an extramural clinical facility is utilized for clinical instruction as provided in subdivision (g)(7), students shall, as part of an organized program of instruction, be provided with planned, supervised clinical instruction in the application of coronal polishing. 
(2) The program director/coordinator or a dental faculty member shall be responsible for selecting extern clinical sites and evaluating student competence in performing procedures both before and after the clinical assignment. 
(3) Objective evaluation criteria shall be used by the program faculty and clinic personnel. 
(4) Dentists who intend to provide extramural clinical practices shall be oriented by the program director/coordinator or a dental faculty member prior to the student assignment. Orientation shall include the objectives of the course, the preparation the student has had for the clinical assignment, and a review of procedures and criteria to be used by the dentist in evaluating the student during the assignment. 
(5) There shall be a written contract of affiliation with each extramural clinical facility utilized by the program. Such contract shall describe the settings in which the clinical training will be received, affirm that the clinical facility has the necessary equipment and armamentarium appropriate for the procedures to be performed, and affirm that such equipment and armamentarium are in safe operating condition. 
(i) Evaluation and Examination. 
(1) Upon completion of the course, each student must be able to: 
(A) Identify the major characteristics of oral anatomy, histology, physiology, oral pathology, normal/abnormal anatomical and physiological tooth descriptions, morphology and microbiology as they relate to coronal polishing. 
(B) Explain the procedure to patients. 
(C) Recognize decalcification and mottled enamel. 
(D) Identify plaque, calculus and stain formation within the oral cavity. 
(E) Identify the indications and contraindications for disclosing and coronal polishing. 
(F) Identify the pre-medications for the compromised patient. 
(G) Utilize proper armamentaria in an organized sequence for disclosing and polishing. 
(H) Perform plaque disclosure. 
(I) Demonstrate the proper instrument grasp, fulcrum position, and cheek/tongue retraction. 
(J) Select and dispense the proper amount of polishing agent. 
(K) Demonstrate proper polishing techniques using appropriate cup adaptation, stroke, and handpiece use. 
(L) Demonstrate the use of floss, tape, and abrasive strips when appropriate. 
(M) Demonstrate techniques for cleaning fixed and removal prosthesis and orthodontic appliances. 
(N) Maintain aseptic techniques including disposal of contaminated material. 
(2) Each student shall pass a written examination which reflects the entire curriculum content. 
(3) Each student shall pass a clinical examination in which the student successfully completes coronal polishing on two of the three clinical patients required for clinical instruction. 
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1645.1 and 1753.5, Business and Professions Code.
HISTORY

1. New section filed 9-6-2005; operative 10-6-2005 (Register 2005, No. 36).
§1070.5. Approval of Ultrasonic Scaling Courses.
Note     •     History

The following minimum criteria shall be met for a course in the removal of excess cement from coronal surfaces of teeth under orthodontic treatment by means of an ultrasonic scaler, hereinafter referred to as “ultrasonic scaling”, to secure and maintain approval by the Board.
(a) Educational Setting. The course shall be established at the post-secondary educational level.
(b) Prerequisites. Each student must possess the necessary requirements for application for RDA licensure or currently possess an RDA license.
(c) Administration/Faculty. Adequate provision for the supervision and operation of the course shall be made.
(1) The course director and each faculty member shall possess a valid, active, and current RDAEF, RDH, RDHEF, RDHAP, or dentist license issued by the Board, or an RDA license issued by the Board if the person has completed a board-approved course in ultrasonic scaling. All faculty shall have been licensed for a minimum of two years. All faculty shall have the education, background, and occupational experience and/or teaching expertise necessary to teach and evaluate ultrasonic scaling.
(2) The course director must have the education, background, and occupational experience necessary to understand and fulfill the course goals. He/she shall actively participate in and be responsible for the day-to-day administration of the course including the following:
(A) Providing guidance of didactic and laboratory assignments.
(B) Maintaining for a period of not less than 5 years:
(i) Copies of curricula, course outlines, objectives, and grading criteria.
(ii) Copies of faculty credentials, licenses, and certifications.
(iii) Individual student records, including those necessary to establish satisfactory completion of the course.
(C) Informing the board of any changes to the course content, physical facilities, and/or faculty, within 10 days of such changes.
(d) Length of Course. The program shall be of sufficient duration for the student to develop minimum competence in ultrasonic scaling, but shall in no event be less than 4 clock hours, including at least 2 hours of laboratory training.
(e) Evidence of Completion. A certificate or other evidence of completion shall be issued to each student who successfully completes the course.
(f) Facilities and Resources. Facilities and class scheduling shall provide each student with sufficient opportunity, with instructor supervision, to develop minimum competency in ultrasonic scaling. Such facilities shall include safe, adequate and educationally conducive:
(1) Lecture classrooms. Classroom size and equipment shall accommodate the number of students enrolled.
(2) Operatories. Operatories shall be sufficient in number to allow a ratio of at least one operatory for every six students at any one time.
(A) Each operatory shall replicate a modern dental office containing functional equipment including: a power-operated chair for treating patients in a supine position; operator and assistant stools; air-water syringe; adjustable light; oral evacuation equipment; work surface, hand-washing sink; and all other armamentarium required to instruct in the performance of ultrasonic scaling.
(B) Each operatory must be of sufficient size to accommodate a student and an instructor at one time.
(3) Laboratories. The location and number of general use equipment shall assure that each student has the access necessary to develop minimum competency in ultrasonic scaling. There shall be at least one ultrasonic unit and orthodontically banded typodont for every four students. This procedure shall be performed by an operator wearing gloves, mask, and safety glasses.
(4) Infection Control. The program shall establish written laboratory protocols to ensure adequate asepsis, infection and hazard control, and disposal of hazardous wastes, which shall comply with the board's regulations and other Federal, State, and local requirements. The program shall provide such protocols to all students, faculty, and appropriate staff to assure compliance with such protocols. Adequate space and equipment shall be provided for preparing and sterilizing all armamentarium.
(g) Program Content.
(1) Sufficient time shall be available for all students to obtain laboratory experience to achieve minimum competence in the various protocols used in the performance of ultrasonic scaling.
(2) A detailed course outline shall be provided to the board which clearly states curriculum subject matter and specific instruction hours in the individual areas of didactic and laboratory instruction and practical examination evaluation criteria.
(3) General program objectives and specific instructional unit objectives shall be stated in writing, and shall include theoretical aspects of each subject as well as practical application. The theoretical aspects of the program shall provide the content necessary for students to make judgments regarding the performance of ultrasonic scaling. The course shall assure that students who successfully complete the course can perform ultrasonic scaling with minimum competence.
(4) Objective evaluation criteria shall be used for measuring student progress toward attainment of specific course objectives. Students shall be provided with specific unit objectives and the evaluation criteria that will be used for all aspects of the curriculum including written and practical examinations. The program shall establish a standard of performance that states the minimum number of satisfactory performances that are required for each procedure.
(5) Areas of instruction shall include at least the following as they relate to ultrasonic scaling:
(A) Ultrasonic Scaling Basics
i. Legal requirements;
ii. Description and goals of ultrasonic scaling;
iii. Indications and contraindication of using an ultrasonic scaler as it relates to other methods of cement removal;
iv. Criteria for acceptable cement removal from orthodontically banded teeth.
(B) Tooth morphology and anatomy of the oral cavity as they relate to the use of an ultrasonic scaler in cement removal of orthodontically banded teeth.
(C) Armamentarium and equipment use and care.
(D) Principles of cement removal from orthodontically banded teeth
i. Characteristics of ultrasonic scaler units and tips for cement removal;
ii. Instrument grasps and fulcrum techniques;
iii. Purpose and techniques of the mouth mirror for indirect vision and retraction;
iv. Characteristics, manipulation and care of ultrasonic scaler unit when removing excess cement from orthodontically banded teeth;
v. Effects of ultrasonic scalers on hard and soft tissue including root damage, enamel damage, thermal damage, and soft tissue damage;
vi. Patient and operator safety including systemic medical complications and managing patients with pacemakers;
vii. Use of adjunct material for removal of excess cement from orthodontically banded teeth;
viii. Techniques for removal of excess cement from orthodontically banded teeth on a banded typodont;
ix. Evaluation criteria for removal of excess cement by an ultrasonic scaler on a banded typodont.
(E) Infection control protocols
(6) There shall be no more than six (6) students per instructor during laboratory instruction. Laboratory experience will consist of practice on orthodontically banded typodonts. Sufficient time shall be available for all students to obtain laboratory experience to achieve minimum competence in the performance of ultrasonic scaling prior to examination on two orthodontically banded typodonts for evaluation of clinical competence.
(h) Extramural Instruction.
(1) If an extramural facility is utilized, students shall, as part of an organized program of instruction, be provided with planned, supervised instruction in the removal of excess cement from orthodontically banded teeth.
(2) The program director/coordinator or a dental faculty member shall be responsible for selecting extramural sites and evaluating student  competence in performing procedures both before and after the extramural assignment.
(3) Objective evaluation criteria shall be used by the program faculty and extramural personnel.
(4) Dentists who intend to provide extramural facilities shall be oriented by the program director/coordinator or a dental faculty member prior to the student assignment. Orientation shall include the objectives of the course, the preparation the student has had for the clinical assignment, and a review of procedures and criteria to be used by the dentist in evaluating the student during the assignment.
(5) There shall be a written contract of affiliation with each extramural facility utilized by the program. Such contract shall describe the settings in which the instruction will be received, affirm that the extramural facility has the necessary equipment and armamentarium appropriate for the procedures to be performed, and affirm that such equipment and armamentarium are in safe operating condition.
(i) Evaluation and Examination.
(1) Upon completion of the course, each student must be able to:
(A) Identify the major characteristics of oral anatomy, histology, physiology, oral pathology, normal/abnormal anatomical and physiological tooth descriptions, morphology and microbiology as they relate to the use of an ultrasonic scaler in the removal of cement from orthodontic bands.
(B) Describe the necessary aspects of pre-operative instructions to patients.
(C) Recognize loose appliances.
(D) Recognize decalcification and mottled enamel.
(E) Identify the indications and contraindications of using an ultrasonic scaler as it relates to other methods of cement removal.
(F) Identify pre-medications for the compromised patient.
(G) Utilize proper armamentaria in an organized sequence for the use of an ultrasonic scaler in cement removal on an orthodontically banded typodont.
(H) Demonstrate, on an orthodontically banded typodont, the proper instrument grasp, fulcrum position, and cheek/tongue retraction.
(I) Demonstrate the proper techniques for removal of cement from teeth under orthodontic treatment without causing damage to hard or soft tissues, removing cement from underneath appliances, or loosening appliances.
(J) Maintain aseptic techniques including disposal of contaminated materials.
(2) Each student shall pass a written examination which reflects the entire curriculum content.
(3) Each student shall pass a laboratory examination on two orthodontically banded typodonts which represent all four quadrants which have been banded using cementation product(s) easily visible to the operator.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1754, Business and Professions Code.
HISTORY

1. New section filed 7-21-2005; operative 8-20-2005 (Register 2005, No. 29).
§1070.6. Approval of Infection Control Courses.
Note     •     History

In addition to the requirements of Sections 1070 and 1070.1 of these regulations, the following criteria shall be met by a course in infection control, as required in Sections 1750, 1750.2, 1750.4, and 1752.1 of the Business and Professions Code, to secure and maintain approval by the Board:
(a) Adequate provisions for the supervision and operation of the course in infection control shall be made in compliance with Section 1070. Notwithstanding Section 1070, faculty shall not be required to be licensed by the Board, but faculty shall have experience in the instruction of California Division of Occupational Safety and Health (Cal/OSHA) regulations (Cal. Code Regs., Title 8, Sections 330-344.85) and the Board's Minimum Standards for Infection Control (Cal. Code Regs., Title 16, Section 1005). In addition, all faculty responsible for clinical evaluation shall have completed a two-hour methodology course in clinical evaluation.
(b) A course in infection control shall be of sufficient duration for the student to develop minimum competency in all aspects of Cal/OSHA regulations (Cal. Code Regs., Title 8, Sections 330-344.85) and the Board's Minimum Standards for Infection Control (Cal. Code Regs., Title 16, Section 1005), but in no event less than eight hours, including at least four hours of didactic instruction, at least two hours of laboratory or preclinical instruction, and at least two hours of clinical instruction. Preclinical instruction shall utilize instruments, surfaces, and situations where contamination is simulated, without actual contamination, from bloodborne and other pathogens being present.
(c) The minimum requirements for equipment and armamentaria shall include personal protective equipment, sterilizer approved by the United States Food and Drug Administration (FDA), ultrasonic unit or instrument processing device, sharps container, selection of instruments, equipment, and armamentaria that are necessary to instruct or demonstrate proper hazardous waste disposal, consistent with Cal/OSHA regulations (Cal. Code Regs., Title 8, Sections 330-344.85), local, state, and federal mandates, and all other armamentaria required to instruct or properly demonstrate the subjects described in the course content.
(d) Areas of instruction shall include, at a minimum, the instruction specified in subdivisions (e) and (f).
(e) Didactic instruction shall include, at a minimum, the following as they relate to Cal/OSHA regulations (Cal. Code Regs., Title 8, Sections 330-344.85) and the Board's Minimum Standards for Infection Control (Cal. Code Regs., Title 16, Section 1005):
(1) Basic dental science and microbiology as they relate to infection control in dentistry.
(2) Legal and ethical aspects of infection control procedures.
(3) Terms and protocols specified in Cal. Code of Regs., Title 16, Section 1005 regarding the minimum standards for infection control.
(4) Principles of modes of disease transmission and prevention.
(5) Principles, techniques, and protocols of hand hygiene, personal protective equipment, surface barriers and disinfection, sterilization, sanitation, and hazardous chemicals associated with infection control.
(6) Principles and protocols of sterilizer monitoring and the proper loading, unloading, storage, and transportation of instruments to work area.
(7) Principles and protocols associated with sharps management.
(8) Principles and protocols of infection control for laboratory areas.
(9) Principles and protocols of waterline maintenance.
(10) Principles and protocols of regulated and nonregulated waste management.
(11) Principles and protocols related to injury and illness prevention, hazard communication, general office safety, exposure control, postexposure requirements, and monitoring systems for radiation safety and sterilization systems.
(f) Preclinical instruction shall include three experiences in the following areas, with one used for a practical examination:
(1) Apply hand cleansing products and perform hand cleansing techniques and protocols.
(2) Apply, remove, and dispose of patient treatment gloves, utility gloves, overgloves, protective eyewear, masks, and clinical attire.
(3) Apply the appropriate techniques and protocols for the preparation, sterilization, and storage of instruments including, at a minimum, application of personal protective equipment, precleaning, ultrasonic cleaning, rinsing, sterilization wrapping, internal or external process indicators, labeling, sterilization, drying, storage, and delivery to work area.
(4) Preclean and disinfect contaminated operatory surfaces and devices, and properly use, place, and remove surface barriers.
(5) Maintain sterilizer including, at a minimum, proper instrument loading and unloading, operation cycle, spore testing, and handling and disposal of sterilization chemicals.
(6) Apply work practice controls as they relate to the following classification of sharps: anesthetic needles or syringes, orthodontic wires, and broken glass.
(7) Apply infection control protocol for the following laboratory devices: impressions, bite registrations, and prosthetic appliances.
(8) Perform waterline maintenance, including use of water tests and purging of waterlines.
(g) Clinical instruction shall include two experiences in the following areas, with one used for a clinical examination:
(1) Apply hand cleansing products and perform hand cleansing techniques and protocols.
(2) Apply, remove, and dispose of patient treatment gloves, utility gloves, overgloves, protective eyewear, masks, and clinical attire.
(3) Apply the appropriate techniques and protocols for the preparation, sterilization, and storage of instruments including, at a minimum, application of personal protective equipment, precleaning, ultrasonic cleaning, rinsing, sterilization wrapping, internal or external process indicators, labeling, sterilization, drying, storage, and delivery to work area.
(4) Preclean and disinfect contaminated operatory surfaces and devices, and properly use, place, and remove surface barriers.
(5) Maintain sterilizer including, at a minimum, proper instrument loading and unloading, operation cycle, spore testing, and handling and disposal of sterilization chemicals.
(6) Apply work practice controls as they relate to the following classification of sharps: anesthetic needles or syringes, orthodontic wires, and broken glass.
(7) Apply infection control protocol for the following laboratory devices: impressions, bite registrations, and prosthetic appliances.
(8) Perform waterline maintenance, including use of water tests and purging of waterlines.
(h) Each student shall pass a written examination that reflects the curriculum content, which may be administered at intervals throughout the course as determined by the course director.
(i) To maintain approval, programs approved prior to the effective date of these regulations shall submit to the Board a completed “Notice of Compliance with New Requirements for Infection Control Courses (New 10/10)”, hereby incorporated by reference, within ninety (90) days of the effective date of these regulations.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1750, 1750.2, 1750.4 and 1752.1, Business and Professions Code. 
HISTORY

1. New section filed 10-12-2011; operative 11-11-2011 (Register 2011, No. 41).
§1070.7. Approval of Orthodontic Assistant Permit Courses.
Note     •     History

In addition to the requirements of Sections 1070 and 1070.1, the following criteria shall be met by an orthodontic assistant permit course to secure and maintain approval by the Board.
(a) The course shall be of sufficient duration for the student to develop minimum competence in all of the duties that orthodontic assistant permitholders are authorized to perform, but in no event less than 84 hours, including at least 24 hours of didactic instruction, at least 28 hours of laboratory instruction, and at least 32 hours of clinical instruction. A registered dental assistant shall not be required to complete further instruction in the duties of placing ligature ties and archwires, removing orthodontic bands, and removing excess cement from tooth surfaces with a hand instrument. The course hours for a student who holds a valid and current registered dental assistant license shall be no less than 55 hours, including 11 didactic hours, 24 laboratory hours, and 20 clinical hours. A registered dental assistant who has completed a Board-approved course in the use of an ultrasonic scaler shall not be required to complete further instruction in that duty. The course hours for a student who holds a valid and current registered dental assistant license and who has completed a Board-approved course in the use of an ultrasonic scaler shall be no less than 51 hours, including 9 didactic hours, 22 laboratory hours, and 20 clinical hours.
(b) The minimum requirements for equipment and armamentaria shall include banded or bonded orthodontic typodonts in the ratio of at least one for every four students, bench mount or dental chair mounted mannequin head, curing light, regular typodont with full dentition and soft gingiva in the ratio of at least one for every four students, and a selection of orthodontic instruments and adjunct material for all of the procedures that orthodontic assistant permitholders are authorized to perform under Business and Professions Code Section 1750.3.
(c) In addition to the requirements of Section 1070, all faculty or instructional staff members responsible for clinical evaluation shall have completed a two-hour methodology course in clinical evaluation prior to conducting clinical evaluations of students.
(d) Areas of instruction shall include, at a minimum, the instruction specified in subdivisions (e) to (j), inclusive, as well as instruction in basic background information on orthodontic practice. “Basic background information on orthodontic practice” means, for purposes of this subdivision, the orthodontic treatment review, charting, patient education, and legal and infection control requirements as they apply to orthodontic practice.
(e) The following requirements shall be met for sizing, fitting, cementing, and removing orthodontic bands:
(1) Didactic instruction shall contain the following:
(A) Theory of band positioning and tooth movement.
(B) Characteristics of band material: malleability, stiffness, ductility, and work hardening.
(C) Techniques for orthodontic banding and removal, which shall include all of the following:
(i) Armamentaria.
(ii) General principles of fitting and removing bands.
(iii) Normal placement requirements of brackets, tubes, lingual sheaths, lingual cleats, and buttons onto bands.
(iv) Orthodontic cements and adhesive materials: classifications, armamentaria, and mixing technique.
(v) Cementing bands: armamentaria, mixing technique, and band cementation procedures.
(vi) Procedure for removal of bands after cementation.
(2) Laboratory instruction shall include typodont experience in the sizing, fitting, cementing, and removal of four posterior first molar bands a minimum of two times, with the cementing and removal of two first molar bands used as a practical examination.
(3) Clinical instruction shall include the sizing, fitting, cementing, and removal of four posterior first molar bands on at least two patients.
(f) The following requirements shall be met for preparing teeth for bonding:
(1) Didactic instruction shall contain the following: 
(A) Chemistry of etching materials and tooth surface preparation
(B) Application and time factors
(C) Armamentaria
(D) Techniques for tooth etching.
(2) Laboratory instruction shall include typodont experience with etchant application in preparation for subsequent bracket bonding on four anterior and four posterior teeth a minimum of four times each, with one of each of the four times used for a practical examination.
(3) Clinical instruction shall include etchant application in preparation for bracket bonding on anterior and posterior teeth on at least two patients.
(g) The following requirements shall be met for bracket positioning, bond curing, and removal of orthodontic brackets.
(1) Didactic instruction shall include the following elements:
(A) Characteristics and methods of orthodontic bonding.
(B) Armamentaria.
(C) Types of bracket bonding surfaces.
(D) Bonding material characteristics, application techniques, and curing time factors.
(E) Procedure for direct and indirect bracket bonding.
(F) Procedures for bracket or tube removal.
(2) Laboratory instruction shall contain typodont experience with selecting, prepositioning, tooth etching, positioning, curing, and removing of four anterior and four posterior brackets a minimum of four times each, with one each of the four times used for a practical examination.
(3) Clinical instruction shall contain selecting, adjusting, prepositioning, etching, curing, and removal of anterior and posterior brackets on at least two patients.
(h) The following requirements shall be met for archwire placement and ligation:
(1) Didactic instruction shall contain the following:
(A) Archwire characteristics.
(B) Armamentaria.
(C) Procedures for placement of archwire previously adjusted by the dentist.
(D) Ligature systems, purpose, and types, including elastic, wire, and self-ligating.
(2) Laboratory instruction shall contain typodont experience on the following:
(A) The insertion of a preformed maxillary and mandibular archwire a minimum of four times per arch, with one of each of the four times used for a practical examination.
(B) Ligation of maxillary and mandibular archwire using elastic or metal ligatures or self-ligating brackets a minimum of four times per arch, with one of each of the four times used for a practical examination.
(3) Clinical instruction shall contain the following:
(A) Insertion of a preformed maxillary and mandibular archwire on at least two patients.
(B) Ligating both preformed maxillary and mandibular archwires using a combination of elastic and metal ligatures or self-ligating brackets on at least two patients for each.
(i) The following requirements shall be met for cement removal with a hand instrument:
(1) Didactic instruction shall contain the following:
(A) Armamentaria
(B) Techniques of cement removal using hand instruments and related materials
(2) Laboratory instruction shall contain typodont experience on the removal of excess cement supragingivally from an orthodontically banded typodont using a hand instrument four times, with one of the four times used for a practical examination.
(3) Clinical instruction shall contain removal of excess cement supragingivally from orthodontic bands with a hand instrument on at least two patients.
(j) Instruction for cement removal with an ultrasonic scaler shall be in accordance with Cal. Code Regs., Title 16, Section 1070.5, which governs courses in the removal of excess cement from teeth under orthodontic treatment with an ultrasonic scaler.
(k) Each student shall pass a written examination that reflects the curriculum content, which may be administered at intervals throughout the course as determined by the course director.
(l) To maintain approval, programs approved prior to the effective date of these regulations shall submit to the Board a completed “Notice of Compliance with New Requirements for Orthodontic Assistant Permit Courses (New 10/10)”, hereby incorporated by reference, within ninety (90) days of the effective date of these regulations.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1750.2 and 1752.4, Business and Professions Code. 
HISTORY

1. New section filed 10-12-2011; operative 11-11-2011 (Register 2011, No. 41).
§1070.8. Approval of Dental Sedation Assistant Permit Courses.
Note     •     History

In addition to the requirements of Sections 1070 and 1070.1, the following criteria shall be met by a dental sedation assistant permit course to secure and maintain approval by the Board. As used in this Section, the following definitions apply: “IV” means intravenous, “AED” means automated external defibrillator, “CO2” means carbon dioxide, and “ECG” and “EKG” both mean electrocardiogram. 
(a)(1) The course director, designated faculty member, or instructional staff member may, in lieu of a license issued by the Board, possess a valid, active, and current license issued in California as a physician and surgeon.
(2) The course director, designated faculty member, or instructional staff member responsible for clinical evaluation shall have completed a two-hour methodology course in clinical evaluation prior to conducting clinical evaluations of students.
(3) Clinical instruction shall be given under direct supervision of the course director, designated faculty member, or instructional staff member who shall be the holder of a valid, active, and current general anesthesia or conscious sedation permit issued by the Board. Evaluation of the condition of a sedated patient shall remain the responsibility of the director, designated faculty member, or instructional staff member authorized to administer conscious sedation or general anesthesia, who shall be at the patient's chairside while conscious sedation or general anesthesia is being administered.
(b) The course shall be of a sufficient duration for the student to develop minimum competence in all of the duties that dental sedation assistant permitholders are authorized to perform, but in no event less than 110 hours, including at least 40 hours of didactic instruction, at least 32 hours of combined laboratory and preclinical instruction, and at least 38 hours of clinical instruction. Clinical instruction shall require completion of all of the tasks described in subdivisions (j), (k), (l), (m), and (n) of this Section during no less than twenty (20) supervised cases utilizing conscious sedation or general anesthesia.
(c) The following are minimum requirements for equipment and armamentaria: 
(1) One pulse oximeter for each six students; one AED or AED trainer; one capnograph or teaching device for monitoring of end tidal CO2; blood pressure cuff and stethoscope for each six students; one pretracheal stethoscope for each six students; one electrocardiogram machine, one automatic blood pressure/pulse measuring system/machine, and one oxygen delivery system including oxygen tank; one IV start kit for each student; one venous access device kit for each student; IV equipment and supplies for IV infusions including hanging device infusion containers and tubing for each six students; one sharps container for each six students; packaged syringes, needles, needleless devices, practice fluid ampules and vials for each student; stopwatch or timer with second hand for each six students; one heart/lung sounds mannequin or teaching device; tonsillar or pharyngeal suction tip, endotracheal tube forceps, endotracheal tube and appropriate connectors, suction equipment for aspiration of oral and pharyngeal cavities, and laryngoscope in the ratio of at least one for each six students; any other monitoring or emergency equipment required by Cal. Code Regs., Title 16, Section 1043 for the administration of general anesthesia or conscious sedation; and a selection of instruments and supplemental armamentaria for all of the procedures that dental sedation assistant permitholders are authorized to perform according to Business and Professions Code Section 1750.5.
(2) Each operatory used for preclinical or clinical training shall contain either a surgery table or a power-operated chair for treating patients in a supine position, an irrigation system or sterile water delivery system as they pertain to the specific practice, and all other equipment and armamentarium required to instruct in the duties that dental sedation assistant permitholders are authorized to perform according to Business and Professions Code Section 1750.5.
(3) All students, faculty, and staff involved in the direct provision of patient care shall be certified in basic life support procedures, including the use of an automatic electronic defibrillator.
(d) Areas of instruction shall include, at a minimum, the instruction specified in subdivisions (e) to (n), inclusive, as they relate to the duties that dental sedation assistant permitholders are authorized to perform.
(e) General didactic instruction shall contain:
(1) Patient evaluation and selection factors through review of medical history, physical assessment, and medical consultation.
(2) Characteristics of anatomy and physiology of the circulatory, cardiovascular, and respiratory systems, and the central and peripheral nervous system.
(3) Characteristics of anxiety management related to the surgical patient, relatives, and escorts, and characteristics of anxiety and pain reduction techniques.
(4) Overview of the classification of drugs used by patients for cardiac disease, respiratory disease, hypertension, diabetes, neurological disorders, and infectious diseases.
(5) Overview of techniques and specific drug groups utilized for sedation and general anesthesia.
(6) Definitions and characteristics of levels of sedation achieved with general anesthesia and sedative agents, including the distinctions between conscious sedation, deep sedation, and general anesthesia.
(7) Overview of patient monitoring during conscious sedation and general anesthesia.
(8) Prevention, recognition, and management of complications.
(9) Obtaining informed consent.
(f) With respect to medical emergencies, didactic instruction shall contain:
(1) An overview of medical emergencies, including, but not limited to, airway obstruction, bronchospasm or asthma, laryngospasm, allergic reactions, syncope, cardiac arrest, cardiac dysrhythmia, seizure disorders, hyperglycemia and hypoglycemia, drug overdose, hyperventilation, acute coronary syndrome including angina and myocardial infarction, hypertension, hypotension, stroke, aspiration of vomitus, and congestive heart failure.
(2) Laboratory instruction shall include the simulation and response to at least the following medical emergencies: airway obstruction, bronchospasm, emesis and aspiration of foreign material under anesthesia, angina pectoris, myocardial infarction, hypotension, hypertension, cardiac arrest, allergic reaction, convulsions, hypoglycemia, syncope, and respiratory depression. Both training mannequins and other students or staff may be used for simulation. The student shall demonstrate proficiency in all simulated emergencies during training and shall then be eligible to complete a practical examination on this Section.
(g) With respect to sedation and the pediatric patient, didactic instruction shall contain the following:
(1) Psychological considerations.
(2) Patient evaluation and selection factors through review of medical history, physical assessment, and medical consultation.
(3) Definitions and characteristics of levels of sedation achieved with general anesthesia and sedative agents, with special emphasis on the distinctions between conscious sedation, deep sedation, and general anesthesia.
(4) Review of respiratory and circulatory physiology and related anatomy, with special emphasis on establishing and maintaining a patient airway.
(5) Overview of pharmacology agents used in contemporary sedation and general anesthesia.
(6) Patient monitoring.
(7) Obtaining informed consent.
(8) Prevention, recognition, and management of complications, including principles of basic life support.
(h) With respect to physically, mentally, and neurologically compromised patients, didactic instruction shall contain the following: an overview of characteristics of Alzheimer's disease, autism, cerebral palsy, Down's syndrome, mental retardation, multiple sclerosis, muscular dystrophy, Parkinson's disease, schizophrenia, and stroke.
(i) With respect to health history and patient assessment, didactic instruction shall include, at a minimum, the recording of the following:
(1) Age, sex, weight, physical status as defined by the American Society of Anesthesiologists Physical Status Classification System, medication use, general health, any known or suspected medically compromising conditions, rationale for anesthesia or sedation of the patient, visual examination of the airway, and auscultation of the heart and lungs as medically required.
(2) General anesthesia or conscious sedation records that contain a time-oriented record with preoperative, multiple intraoperative, and postoperative pulse oximetry and blood pressure and pulse readings, frequency and dose of drug administration, length of procedure, complications of anesthesia or sedation, and a statement of the patient's condition at time of discharge.
(j) With respect to monitoring heart sounds with pretracheal/precordial stethoscope and EKG and use of AED:
(1) Didactic instruction shall contain the following:
(A) Characteristics of pretracheal/precordial stethoscope.
(B) Review of anatomy and physiology of circulatory system: heart, blood vessels, and cardiac cycle as it relates to EKG.
(C) Characteristics of rhythm interpretation and waveform analysis basics.
(D) Characteristics of manual intermittent and automatic blood pressure and pulse assessment.
(E) Characteristics and use of an AED.
(F) Procedure for using a pretracheal/precordial stethoscope for monitoring of heart sounds.
(G) Procedure for use and monitoring of the heart with an EKG machine, including electrode placement, and the adjustment of such equipment.
(H) Procedure for using manual and automatic blood pressure/pulse/respiration measuring system.
(2) Preclinical instruction: Utilizing another student or staff person, the student shall demonstrate proficiency in each of the following tasks during training and shall then be eligible to complete an examination on this Section. 
(A) Assessment of blood pressure and pulse both manually and utilizing an automatic system.
(B) Placement and assessment of an EKG. Instruction shall include the adjustment of such equipment.
(C) Monitoring and assessment of heart sounds with a pretracheal/precordial stethoscope.
(D) Use of an AED or AED trainer.
(3) Clinical instruction: Utilizing patients, the student shall demonstrate proficiency in each of the following tasks, under supervision of faculty or instructional staff as described in Section 1070.8(a)(3), and shall then be eligible to complete an examination on this Section. 
(A) Assessment of blood pressure and pulse both manually and utilizing an automatic system.
(B) Placement and assessment of an EKG. Instruction shall include the adjustment of such equipment.
(C) Monitoring and assessment of heart sounds with a pretracheal/precordial stethoscope.
(k) With respect to monitoring lung/respiratory sounds with pretracheal/precordial stethoscope and monitoring oxygen saturation end tidal CO2 with pulse oximeter and capnograph:
(1) Didactic instruction shall contain the following:
(A) Characteristics of pretracheal/precordial stethoscope, pulse oximeter and capnograph for respiration monitoring.
(B) Review of anatomy and physiology of respiratory system to include the nose, mouth, pharynx, epiglottis, larynx, trachea, bronchi, bronchioles, and alveolus.
(C) Characteristics of respiratory monitoring/lung sounds: mechanism of respiration, composition of respiratory gases, oxygen saturation.
(D) Characteristics of manual and automatic respiration assessment.
(E) Procedure for using a pretracheal/precordial stethoscope for respiration monitoring.
(F) Procedure for using and maintaining pulse oximeter for monitoring oxygen saturation.
(G) Procedure for use and maintenance of capnograph.
(H) Characteristics for monitoring blood and skin color and other related factors.
(I) Procedures and use of an oxygen delivery system.
(J) Characteristics of airway management to include armamentaria and use.
(2) Preclinical instruction: Utilizing another student or staff person, the student shall demonstrate proficiency in each of the following tasks during training and shall then be eligible to complete an examination on this Section. 
(A) Assessment of respiration rates.
(B) Monitoring and assessment of lung sounds and ventilation with a pretracheal/precordial stethoscope.
(C) Monitoring oxygen saturation with a pulse oximeter.
(D) Use of an oxygen delivery system.
(3) Clinical instruction: Utilizing patients, the student shall demonstrate proficiency in each of the following tasks, under supervision by faculty or instructional staff as described in Section 1070.8(a)(3), and shall then be eligible to complete an examination on this Section.
(A) Assessment of respiration rates.
(B) Monitoring and assessment of lung sounds and ventilation with a pretracheal/precordial stethoscope.
(C) Monitoring oxygen saturation with a pulse oximeter.
(D) Use of an oxygen delivery system.
(l) With respect to drug identification and draw:
(1) Didactic instruction shall contain:
(A) Characteristics of syringes and needles: use, types, gauges, lengths, and components.
(B) Characteristics of drug, medication, and fluid storage units: use, type, components, identification of label including generic and brand names, strength, potential adverse reactions, expiration date, and contraindications.
(C) Characteristics of drug draw: armamentaria, label verification, ampule and vial preparation, and drug withdrawal techniques.
(2) Laboratory instruction: The student shall demonstrate proficiency in the withdrawal of fluids from a vial or ampule in the amount specified by faculty or instructional staff and shall then be eligible to complete a practical examination. 
(3) Clinical instruction: The student shall demonstrate proficiency in the evaluation of vial or container labels for identification of content, dosage, and strength and in the withdrawal of fluids from a vial or ampule in the amount specified by faculty or instructional staff as described in Section 1070.8(a)(3), and shall then be eligible to complete an examination on this Section. 
(m) With respect to adding drugs, medications, and fluids to IV lines:
(1) Didactic instruction shall contain:
(A) Characteristics of adding drugs, medications, and fluids to IV lines in the presence of a licensed dentist.
(B) Armamentaria.
(C) Procedures for adding drugs, medications, and fluids, including dosage and frequency.
(D) Procedures for adding drugs, medications, and fluids by IV bolus.
(E) Characteristics of patient observation for signs and symptoms of drug response.
(2) Laboratory instruction: The student shall demonstrate proficiency in adding fluids to an existing IV line on a venipuncture training arm or in a simulated environment, and shall then be eligible to complete a practical examination on this Section. 
(3) Clinical instruction: The student shall demonstrate proficiency in adding fluids to existing IV lines in the presence of course faculty or instructional staff as described in Section 1070.8(a)(3), and shall then be eligible to complete an examination on this Section. 
(n) With respect to the removal of IV lines:
(1) Didactic instruction shall include overview and procedures for the removal of an IV line.
(2) Laboratory instruction: The student shall demonstrate proficiency on a venipuncture training arm or in a simulated environment for IV removal, and shall then be eligible for a practical examination. 
(3) Clinical instruction: The student shall demonstrate proficiency in removing IV lines in the presence of course faculty or instructional staff as described in Section 1070.8(a)(3), and shall then be eligible to complete an examination on this Section. 
(o) Each student shall pass a written examination that reflects the curriculum content, which may be administered at intervals throughout the course as determined by the course director.
(p) To maintain approval, programs approved prior to the effective date of these regulations shall submit to the Board a completed “Notice of Compliance with New Requirements for Dental Sedation Assistant Permit Courses (New 10/10)”, hereby incorporated by reference, within ninety (90) days of the effective date of these regulations.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1750.4, 1750.5 and 1752.4, Business and Professions Code. 
HISTORY

1. New section filed 10-12-2011; operative 11-11-2011 (Register 2011, No. 41).
§1071. Approval of RDAEF Educational Programs.
Note     •     History

(a) All new Registered Dental Assistant in Extended Functions (RDAEF) educational programs shall apply for and receive approval prior to operation. The Board may approve, provisionally approve, or deny approval of any such program. The Board may, in lieu of conducting its own investigation, accept the findings of any commission or accreditation agency approved by the Board and adopt those findings as its own. 
(b) In addition to the requirements of Cal. Code Regs., Title 16, Sections 1070 and 1070.1, the following criteria shall be met by an RDAEF educational program to secure and maintain approval by the Board. 
(1) A program applying for approval to teach all of the duties specified in Business and Professions Code Section 1753.5 shall comply with all of the requirements of this Section.
(2) A program applying for approval to teach RDAEFs licensed on or before January 1, 2010 the additional duties specified in Business and Professions Code Section 1753.6 shall comply with all of the requirements of this Section, except as follows:
(A) The program shall be no less than 318 hours, including at least 76 hours of didactic instruction, at least 186 hours of laboratory instruction, and at least 56 hours of clinical instruction.
(B) Students shall not be required to complete instruction related to the placement of gingival retraction cord, the taking of final impressions for permanent indirect restorations, or the fitting of endodontic master points and accessory points.
(c) In order to be admitted to the program, each student shall possess a valid, active, and current license as a registered dental assistant issued by the Board and shall submit documentary evidence of successful completion of a Board-approved pit and fissure sealant course.
(d) In addition to the requirements of Sections 1070 and 1070.1, all faculty members responsible for clinical evaluation shall have completed a course or certification program in educational methodology of at least six (6) hours by January 1, 2012, unless he or she holds any one of the following: a postgraduate degree in education, a Ryan Designated Subjects Vocational Education Teaching Credential, a Standard Designated Subjects Teaching Credential, or, a Community College Teaching Credential. Each faculty member employed after January 1, 2012, shall complete a course or certification program in educational methodology within six months of employment. The program director or designated administrator shall be responsible to obtain and maintain records of each faculty member showing evidence of having met this requirement.
(e) The program shall be of sufficient duration for the student to develop minimum competence in all of the duties that RDAEFs are authorized to perform, but in no event less than 410 hours, including at least 100 hours of didactic instruction, at least 206 hours of laboratory instruction, and at least 104 hours of clinical instruction. All laboratory and simulated clinical instruction shall be provided under the direct supervision of program staff. Clinical instruction shall be provided under the direct supervision of a licensed dentist and may be completed in an extramural dental facility as defined in Section 1070.1(c).
(f) The following requirements are in addition to the requirements of Sections 1070 and 1070.1:
(1) Minimum requirements for equipment and armamentaria:
(A) Laboratory facilities with individual seating stations for each student and equipped with air, gas and air, or electric driven rotary instrumentation capability. Each station or operatory shall allow an articulated typodont to be mounted in a simulated head position.
(B) Clinical simulation facilities that provide simulated patient heads mounted in appropriate position and accommodating an articulated typodont in an enclosed intraoral environment, or mounted on a dental chair in a dental operatory. Clinical simulation spaces shall be sufficient to permit one simulation space for each two students at any one time.
(C) Articulated typodonts of both deciduous and permanent dentitions with flexible gingival tissues and with prepared teeth for each procedure to be performed in the laboratory and clinical simulation settings. One of each type of typodont is required for each student.
(D) A selection of restorative instruments and adjunct materials for all procedures that RDAEFs are authorized to perform.
(2) Notwithstanding Section 1070, there shall be at least one operatory for every two students who are simultaneously engaged in clinical instruction.
(g) Areas of instruction shall include, at a minimum, the instruction specified in subdivisions (h) to (o), inclusive, and the following didactic instruction:
(1) The following instruction as it relates to each of the procedures that RDAEFs are authorized to perform: restorative and prosthetic treatment review; charting; patient education; legal requirements; indications and contraindications; problem solving techniques; laboratory, preclinical, and clinical criteria and evaluation; and infection control protocol implementation.
(2) Dental science, including dental and oral anatomy, histology, oral pathology, normal or abnormal anatomical and physiological tooth descriptions, tooth morphology, basic microbiology relating to infection control, and occlusion. “Occlusion” is the review of articulation of maxillary and mandibular arches in maximum intercuspation.
(3) Characteristics and manipulation of dental materials related to each procedure.
(4) Armamentaria for all procedures.
(5) Principles, techniques, criteria, and evaluation for performing each procedure, including implementation of infection control protocols.
(6) Tooth isolation and matrix methodology review.
(h) General laboratory instruction shall include:
(1) Rubber dam application for tooth isolation in both maxillary and mandibular arches and for deciduous and permanent dentitions. A minimum of four experiences per arch is required, with two anterior and two posterior applications, with one of the applications used for a practical examination.
(2) Matrix placement for amalgam, and nonmetallic restorative material restorations in both primary and permanent dentitions, with three experiences for each cavity classification and for each material.
(3) Base, liner, and etchant placement on three posterior teeth for each base, liner, or etchant, with one of the three teeth used for a practical examination.
(i) With respect to preliminary evaluation of the patient's oral health, including charting of existing conditions excluding periodontal assessment, intraoral and extraoral evaluation of soft tissue, classifying occlusion, and myofunctional evaluation:
(1) Didactic instruction shall contain the following:
(A) Normal anatomical structures: oral cavity proper, vestibule, and lips.
(B) Deviations from normal to hard tissue abnormalities to soft tissue abnormalities.
(C) Overview of classifications of occlusion and myofunction.
(D) Sequence of oral inspection: armamentaria, general patient assessment, review of medical history form, review of dental history form, oral cavity mouth-mirror inspection, and charting existing conditions.
(2) Preclinical instruction shall include performing an oral inspection on at least two other students.
(3) Clinical instruction shall include performing an oral inspection on at least two patients, with one of the two patients used for a clinical examination.
(j) With respect to sizing, fitting, and cementing endodontic master points and accessory points:
(1) Didactic instruction shall include the following:
(A) Review of objectives, canal preparation, filling of root canal space, including the role of the RDAEF as preparatory to condensation which is to be performed by the licensed dentist.
(B) Description and goals of filling technique using lateral condensation techniques.
(C) Principles and techniques of fitting and cementing master points and accessory points using lateral condensation, including characteristics, manipulation, use of gutta percha and related materials, and criteria for an acceptable master and accessory points technique using lateral condensation.
(2) Laboratory instruction shall include fitting and cementing master points and accessory points on extracted teeth or simulated teeth with canals in preparation for lateral condensation by the dentist, with a minimum of two experiences each on a posterior and anterior tooth. This instruction shall not include obturator-based techniques or other techniques that employ condensation. 
(3) Simulated clinical instruction shall include fitting and cementing master points and accessory points in preparation for condensation by the dentist with extracted or simulated teeth prepared for lateral condensation mounted in simulated patient heads mounted in appropriate position and accommodating and articulated typodont in an enclosed intraoral environment, or mounted on a dental chair in a dental operatory. This instruction shall not include obturator-based techniques that employ condensation. Simulated clinical instruction shall include fitting and cementing master points and accessory points for lateral condensation by the dentist in at least four teeth, one of which shall be used for a practical exam. 
(k) With respect to gingival retraction, general instruction shall include:
(1) Review of characteristics of tissue management as it relates to gingival retraction with cord and electrosurgery.
(2) Description and goals of cord retraction.
(3) Principles of cord retraction, including characteristics and manipulation of epinephrine, chemical salts classification of cord, characteristics of single versus double cord technique, and techniques and criteria for an acceptable cord retraction technique.
(l) With respect to final impressions for permanent indirect and toothborne restorations:
(1) Didactic instruction shall contain the following:
(A) Review of characteristics of impression material and custom.
(B) Description and goals of impression taking for permanent indirect restorations and toothborne prosthesis.
(C) Principles, techniques, criteria, and evaluation of impression taking for permanent indirect restorations and toothborne prosthesis.
(2) Laboratory instruction shall include the following:
(A) Cord retraction and final impressions for permanent indirect restorations, including impression taking of prepared teeth in maxillary and mandibular arches, one time per arch with elastomeric impression materials.
(B) Impressions for toothborne removable prostheses, including, at a minimum, taking a total of four impressions on maxillary and mandibular arches with simulated edentulous sites and rest preparations on at least two supporting teeth in each arch.
(3) Clinical instruction shall include taking final impressions on five cord retraction patients, with one used for a clinical examination.
(m) With respect to placing, contouring, finishing, and adjusting direct restorations:
(1) Didactic instruction shall contain the following:
(A) Review of cavity preparation factors and restorative material.
(B) Review of cavity liner, sedative, and insulating bases.
(C) Characteristics and manipulation of direct filling materials.
(D) Amalgam restoration placement, carving, adjusting and finishing, which includes principles, techniques, criteria and evaluation, and description and goals of amalgam placement, adjusting and finishing in children and adults.
(E) Glass-ionomer restoration placement, carving, adjusting, contouring and finishing, which includes, principles, techniques, criteria and evaluation, and description and goals of glass-ionomer placement and contouring in children and adults.
(F) Composite restoration placement, carving, adjusting, contouring and finishing in all cavity classifications, which includes, principles, techniques, criteria, and evaluation.
(2) Laboratory instruction shall include typodont experience on the following:
(A) Placement of Class I, II, and V amalgam restorations in eight prepared permanent teeth for each classification, and in four deciduous teeth for each classification.
(B) Placement of Class I, II, III, and V composite resin restorations in eight prepared permanent teeth for each classification, and in four deciduous teeth for each classification.
(C) Placement of Class I, II, III, and V glass-ionomer restorations in four prepared permanent teeth for each classification, and in four deciduous teeth for each classification.
(3) Simulated clinical instruction shall include experience with typodonts mounted in simulated heads on a dental chair or in a simulation laboratory as follows:
(A) Placement of Class I, II, and V amalgam restorations in four prepared permanent teeth for each classification, with one of each classification used for a clinical examination.
(B) Placement of Class I, II, III, and V composite resin restorations in four prepared permanent teeth for each classification, with one of each classification used for a clinical examination.
(C) Placement of Class I, II, III, and V glass-ionomer restorations in four prepared permanent teeth for each classification, with one of each classification used for a clinical examination.
(4) Clinical instruction shall require proficient completion of placing, contouring and finishing at least twenty (20) direct restorations in prepared permanent teeth with the following requirements:
(A) At least fifty (50) percent of the experiences shall be Class II restorations using esthetic materials.
(B) At least twenty (20) percent of the experiences shall be Class V restorations using esthetic materials.
(C) At least ten (10) percent of the experiences shall use amalgam.
(D) Students who complete the 20 restorations and meet all the instructional requirements of this Section may complete additional Class I, II, III or V restorations as deemed appropriate for program success. 
(n) With respect to polishing and contouring existing amalgam restorations: 
(1) Didactic instruction shall include principles, techniques, criteria and evaluation, and description and goals of amalgam polishing and contouring in children and adults.
(2) Laboratory instruction shall include typodont experience on polishing and contouring of Class I, II, and V amalgam restorations in three prepared permanent teeth for each classification, and in two deciduous teeth for each classification.
(3) Simulated clinical instruction shall include experience with typodonts mounted in simulated heads on a dental chair or in a simulation laboratory in the polishing and contouring of Class I, II, and V amalgam restorations in two prepared permanent teeth for each classification, with one of each classification used for a clinical examination.
(o) With respect to adjusting and cementing permanent indirect restorations:
(1) Didactic instruction shall contain the following:
(A) Review of fixed prosthodontics related to classification and materials for permanent indirect restorations, general crown preparation for permanent indirect restorations, and laboratory fabrication of permanent indirect restorations.
(B) Interocclusal registrations for fixed prosthesis, including principles, techniques, criteria, and evaluation.
(C) Permanent indirect restoration placement, adjustment, and cementation, including principles, techniques, criteria, and evaluation.
(2) Laboratory instruction shall include:
(A) Interocclusal registrations using elastomeric and resin materials. Two experiences with each material are required.
(B) Fitting, adjustment, and cementation of permanent indirect restorations on one anterior and one posterior tooth for each of the following materials, with one of each type used for a practical examination: ceramic, ceramometal, and cast metallic.
(3) Clinical experience for interocclusal registrations shall be performed on four patients who are concurrently having final impressions recorded for permanent indirect restorations, with one experience used for a clinical examination.
(4) Clinical instruction shall include fitting, adjustment, and cementation of permanent indirect restorations on at least two teeth.
(p) Each student shall pass a written examination that reflects the curriculum content, which may be administered at intervals throughout the course as determined by the course director.
(q) To maintain approval, programs approved prior to the effective date of these regulations shall submit to the Board a completed “Notice of Compliance with New Requirements for Registered Dental Assistant in Extended Functions Educational Programs (New 10/10)”, hereby incorporated by reference, within ninety (90) days of the effective date of these regulations.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1753, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 1071 to Section 1071.1 and new Section 1071 filed 1-23-86; effective thirtieth day thereafter (Register 86, No. 4). 2. Amendment of subsection (c) and new subsection (d) filed 2-22-88; operative 3-23-88 (Register 88, No. 10).
2. Repealer and new section and Note filed 10-12-2011; operative 11-11-2011 (Register 2011, No. 41).
§1071.1. Requirements for Approval of RDAEF Educational Programs. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1756, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 1071 to Section 1071.1 filed 1-22-86; effective thirtieth day thereafter (Register 86, No. 4).
2. Change without regulatory effect amending subsection (d)(1) filed 9-11-89 pursuant to Section 100, Title 1, California Code of Regulations (Register 89, No. 37).
3. Repealer filed 10-12-2011; operative 11-11-2011 (Register 2011, No. 41).
§1072. Approval of RDH Educational Programs.
Note     •     History

(a) It is the intent of this board to approve only those educational programs for dental hygienists which continuously maintain a high quality standard of instruction. The requirements contained in this article are designed to that end and govern the approval of educational programs for dental hygienists. Continuation of approval will be contingent upon compliance with these requirements.
(b) An educational program for registered dental hygienists is one which has as its primary purpose providing college level programs leading to an associate or higher degree, which is either affiliated with or conducted by an approved dental school, or which is accredited to offer college level or college parallel programs by the American Dental Association Commission on Dental Accreditation or an equivalent body.
(c) A new educational program for registered dental hygienists in California shall apply for approval prior to operation. The board may approve, provisionally approve, or deny approval to any such program. The board may, in lieu of conducting its own investigation, accept the findings of any commission or accreditation agency approved by the board and adopt those findings as its own.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1758, Business and Professions Code.
HISTORY

1. Amendment of subsections (b) and (c) filed 6-20-5; effective thirtieth day thereafter (Register 85, No. 25).
§1072.1. Requirements for RDH Educational Programs.
Note     •     History

An educational program for RDHs shall comply with the requirements set forth below in order to secure and maintain approval by the board. 
(a) Physical Plant. The physical plant and equipment shall be maintained and replaced in a manner designed to provide students with the most modern or educationally optimal environment.
(b) Library. The library resources of an educational program for dental hygienists shall be broad enough to meet the teaching and research needs of the institution.
(c) Admission.
(1) The minimum basis for admission to an approved educational program for dental hygienists shall be the successful completion of an accredited high school course, or the recognized equivalent, which will permit entrance to an accredited college of liberal arts. 
(2) An accredited college of liberal arts shall mean an institution approved by the Association of American Universities or by one of the regional accrediting agencies.
(3) The selection of students for admission to a hygiene educational program shall be based on estimates of their capacity for success in the study of dental hygiene as determined by evaluation of all available and significant information including information regarding background, knowledge,aptitude for and interest in the study and practice of dental hygiene, and the range of subject matter and quality of their scholastic record.
(d) Instruction.
(1) Instruction upon all levels in an educational program for dental hygienists shall be conducted upon the premise that dental hygiene education must meet the test of a true university discipline and shall include lectures, laboratory experiments and exercises and clinical practice under supervision.
(2) The term “university discipline” shall be interpreted as a level of instruction at least equivalent to that level of instruction represented by college courses in the basic sciences commonly offered in approved dental schools.
(e) Standards of Proficiency. Each school shall establish and maintain standards of proficiency and accomplishment of a qualitative nature, emphasizing thoroughness of didactic and laboratory requirements and precision in manual skills. Such standards shall be available to each student, and shall be used to ascertain periodic progress or achievement in the curriculum.
(f) Faculty. An educational program for dental hygienists shall employ an adequate staff of competent full-time faculty members having general education, professional training and teaching experience.
(g) Curriculum.
(1) The organization of the curriculum for dental hygienists shall be flexible, creating opportunities for adjustments to and research of, advances in the practice of dentistry and dental hygiene.
(2) The following factors should be considered in establishing and maintaining a balanced curriculum in the sense that it shall not over-emphasize any level or area of instruction:
(A) Respective contribution to the practice of dental hygiene;
(B) Effectiveness of instruction;
(C) Time necessary for student independent study.
(3) The general content of the curriculum shall include four subject areas: general studies, biomedical sciences, dental sciences and clinical sciences and practice. It shall also include didactic and laboratory instruction of those registered dental assistant duties specifically delegable by a licensed dentist to a registered dental hygienist. (The following guidelines are not to be interpreted as requiring specific courses in each, but rather as areas of instruction which shall be included in the curriculum.)
General Subject Matter 
 Speech
 English
 Sociology
 Psychology
Biomedical Sciences
 General and Microscopic
  Anatomy
 Physiology
 Microbiology
 Pathology
 Nutrition
 Pharmacology
 (Basic sciences necessary as a foundation for the instruction of Biomedical Sciences shall be included in, or be a prerequisite to, the curriculum of approved RDH programs)
Dental Sciences 
 Anesthesia
 Dental and Medical Emergencies
 Tooth Morphology
 Head, Neck and Oral Anatomy
 Oral Pathology
 Oral Embryology and Histology
 Dental Materials
Clinical Sciences and Practice
 Periodontology
 Clinical Dental Hygiene
 Legal and Ethical Aspects of Dentistry
 Oral Health Education
 Community Dental Health
(4) Content of the curriculum for approved dental hygiene educational programs shall specifically include instruction in:
(A) periodontal soft tissue curettage;
(B) administration of local anesthetic agents, infiltration and conductive, limited to the oral cavity;
(C) administration of nitrous oxide and oxygen when used as an analgesic, utilizing fail-safe type machines containing no other general anesthetic agents; provided, however, that a graduate of a nonresident program which meets all the requirements of Sections 1072 and 1072.1 except those contained in Section 1072.1(g)(4), shall be deemed to have completed an approved program if such person has successfully completed a board-approved course of instruction in each of the functions described in Section 1072.1(g)(4) which were not taught to clinical proficiency in the nonresident dental hygiene program.
(h) Length of Program. A dental hygienist educational program shall be two academic years, not less than 1,600 clock hours, and lead to a certificate.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1614, 1758 and 1759, Business and Professions Code.
HISTORY

1. Amendment of subsection (g) filed 6-20-85; effective thirtieth day thereafter (Register 85, No. 25).
2. Editorial correction of subsection (g)(3) (Register 2004, No. 12).
§1073. Approval of RDHEF Educational Programs.
Note     •     History

(a) A single standard of care shall be maintained and the Board shall approve only those educational programs for extended functions in dental hygiene which continuously maintain a high quality standard of instruction. The requirements contained in this article are designed to that end and govern the approval of educational programs for RDHEF's. Continuation of approval will be contingent upon compliance with these requirements.
(b) An educational program for RDHEF's is one which has as its primary purpose providing college level education in extended function dental hygiene and which encompasses educational training in the settings, foundation and application of all duties, functions and responsibilities assignable under these regulations to registered dental hygienists in extended functions.
(c) A new educational program for RDHEF's shall apply for approval prior to operation. The Board may approve, provisionally approve, or deny approval of any such program. Provisional approval shall not be granted for a period which exceeds the length of the program and in no event for more than 30 days.When the Board provisionally approves a program, it shall state the reasons therefor. Provisional approval shall be limited to those programs which substantially comply with all existing standards for full approval. A program given provisional approval shall immediately notify each student of such status. The Board's maximum processing time for an application for an RDHEF Educational Program shall not exceed ten days to notify the applicant in writing that the application is complete and accepted for consideration of the Board or, that the application is deficient and what specific information is required. The Board's maximum time to approve, provisionally approve, or deny approval of the RDHEF Educational Program shall not exceed 90 days upon the filing of a completed application.
The Board may, in lieu of conducting its own investigation, accept the findings of any commission or accreditation agency approved by the Board and adopt those findings as its own. If the Board denies approval of a program, the specific reasons therefor shall be provided to the program by the Board in writing within 90 days after such action.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1761, Business and Professions Code.
HISTORY

1. New section filed 1-22-86; effective thirtieth day thereafter (Register 86, No. 4).
§1073.1. Requirements for Approval of RDHEF Educational Programs.
Note     •     History

(a) Licensure Requirements for Students. All students must possess valid, active licenses as registered dental hygienists issued by the Board and current CPR certification and must have satisfactorily completed a Board-approved course of instruction in periodontal soft tissue curettage, administration of local anesthesia, and administration of nitrous oxide and oxygen in order to be eligible for admission to the program.
(b) Administration/Clinical Training. The clinical training shall be given at a dental school or facility which has a written contract of affiliation for such training with a dental school. An extension program of a university shall not be considered a dental school. Such written contract of affiliation shall include a description of the settings in which the clinical training may be received and shall provide for direct supervision of such training by faculty designated by the dental school. An affiliated facility shall not include a private dental office unless such office is a site approved by the Board on recommendation of a dental school. Each RDHEF Educational Program shall provide the clinical facilities and clinical resources necessary to accomplish training of duties assigned to the RDHEF.
(c) Facilities.
(1) There shall be lecture classrooms, operatories, X-ray operatories, and laboratories for use by the students.
(2) All students shall have access to modern equipment in order to develop extended function dental hygiene skills.
(3) Adequate sterilizing facilities shall be provided.
(d) Curriculum Organization/Learning Resources.
(1) The organization of the curriculum for RDHEF shall be flexible, creating opportunities for adjustments to and research of advances in the practice of registered dental hygiene in extended functions.
(2) Students shall have reasonable access to dental/medical reference texts, current journals, audio visual materials and other relevant resources.
(3) Curriculum shall provide students with a basic understanding of extended function dental hygiene procedures and an ability to perform procedures with competence and judgment.
(g) Curriculum Content.
(1) Areas of didactic and laboratory instruction shall include at least the following areas and shall be related specifically to extended functions:
(A) Biomedical sciences: anatomy and physiology; microbiology; oral pathology; periodontology; histology; morphology; and pharmacology.
(B) Dental sciences: anesthesia/analgesia; dental materials; occlusion; and dental morphology.
(C) Emergency procedures.
(2) Students shall be provided, as part of an organized program of instruction, with sufficient clinical experience to attain competence in all functions approved by the Board for performance by an RDHEF.
(D) Instrumentation.
(h) Length of Program. The program shall be not less than 90 hours in length and shall be of sufficient length, as determined by the dental school faculty and approved by the Board to ensure that all students will possess the necessary skills to consistently perform extended functions safely on a patient. The Board shall reevaluate the minimum length of the program one year after the effective date of this rule.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1761, Business and Professions Code.
HISTORY

1. New section filed 1-22-86; effective thirtieth day thereafter (Register 86, No. 4).
§1073.2. Approval of RDHAP Educational Programs.
Note     •     History

(a) The Board shall approve only those educational programs for registered dental hygienists in alternative practice (RDHAPs) which continuously maintain a high quality standard of instruction. The requirements contained in this article are designated to that end and govern the approval of educational programs for RDHAPs. Continuation of approval will be contingent upon compliance with these requirements.
(b) An educational program for RDHAPs is one which has as its primary purpose providing college level education including, but not limited to, dental hygiene technique and theory, which shall include gerontology, medical emergencies, business administration and practice management as they pertain to RDHAPs. The program shall be given by a college or institution of higher education that is accredited by a national agency recognized by the Council for Higher Education Accreditation.
(c) Any program for RDHAPs shall apply for and receive approval prior to operation. The Board may approve, provisionally approve, or deny approval of any such program. Provisional approval shall not be granted for a period which exceeds the length of the program and in no event for more than 30 days. When the Board provisionally approves a program, it shall state the reasons therefor. Provisional approval shall be limited to those programs which substantially comply with all existing standards for full approval. A program given provisional approval shall immediately notify each student of such status. The Board's maximum processing time for an application for an RDHAP educational program shall not exceed ten days to notify the applicant in writing that the application is complete and accepted for consideration by the Board or, that the application is deficient and what specific information is required. The Board's maximum time to approve, provisionally approve, or deny approval of the RDHAP educational program shall not exceed 90 days upon the filing of a completed application.
The Board may, in lieu of conducting its own investigation, accept the findings of any national agency recognized by the Council for Higher Education Accreditation and adopt those findings as its own. If the Board denies approval of a program, the specific reasons therefor shall be provided by the Board in writing within 90 days after denial.
NOTE

Authority cited: Sections 1614 and 1774, Business and Professions Code. Reference: Section 1774, Business and Professions Code.
HISTORY

1. New section filed 5-31-2000; operative 6-30-2000 (Register 2000, No. 22). 
2. Amendment of subsections (b) and (c) and amendment of Note filed 5-22-2003; operative 6-21-2003 (Register 2003, No. 21).
§1073.3. Requirements for Approval of RDHAP Educational Programs.
Note     •     History

(a) Requirements of Students: All students must possess a valid, active registered dental hygienist license issued by the Board and hold a current CPR certification in order to be eligible for admission to the program.
(b) Administration. Each program shall provide the resources necessary to accomplish education of RDHAPs as specified in this section.
(c) Facilities and Equipment. Physical facilities and equipment shall be maintained and replaced in a manner designed to provide students with an educationally optimal environment.
(d) Curriculum Organization/Learning Resources.
(1) The organization for the curriculum for RDHAPs shall be flexible, creating opportunities for adjustments to and research of advances in the practices of registered dental hygiene in alternative practice. In addition each program shall establish and maintain qualitative standards for proficiency and accomplishment.
(2) Students shall have access to dental/medical reference texts, current journals, audiovisual materials and other relevant resources to ensure they achieve and maintain the proficiency standards established by the program.
(e) Curriculum Content. Curriculum must include content designed to prepare the student to assess, plan, implement, and evaluate dental hygiene services as an independent practitioner as specified and in accordance with Business and Professions Code Section 1770. The curriculum content shall include, at least the following:
(1) Dental Hygiene Technique and Theory, including:
(A) Oral pathology;
(B) Pharmacology;
(C) Sociology, psychology, and treatment of special populations, including:
1. Geriatric
2. Medically compromised
3. Developmentally disabled
4. Pediatric
(D) Evaluation of Dental Hygiene status and Dental Hygiene treatment planning;
(E) Medical histories/terminology;
(F) Dental/Medical emergencies.
(G) Apply pit, resin or composite fissure sealants
At least 75% of instructional hours shall be devoted to the subjects specified in this subsection.
(2) Business Administration and Practice Management.
(f) Length of Program. The program shall be not less than 150 hours in length.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1768, Business and Professions Code.
HISTORY

1. New section filed 5-31-2000; operative 6-30-2000 (Register 2000, No. 22).  
§1074. Extramural Facility.
Note

(a) As used in this article “extramural dental facility” means any clinical facility employed by an approved dental hygiene educational program for instruction in dental hygiene which exists outside or beyond the walls, boundaries, or precincts of the primary campus of the approved program and in which dental hygiene services are rendered.
(b) An approved dental hygiene educational program shall register extramural dental facilities with the board. Such registration shall be accompanied by information supplied by the dental hygiene program pertaining to faculty supervision, scope of treatment to be rendered, name and location of the facility, date operation will commence, discipline of which such instruction is a part, and a brief description of the equipment and facilities available. The foregoing information shall be supplemented with a copy of the agreement between the approved dental hygiene program or parent university, and the affiliated institution establishing the contractual relationship. Any change in the information initially provided to the board shall be communicated to the board.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1614 and 1758, Business and Professions Code.
§1075. List of Approved Programs.
Note

The board's executive officer shall maintain on file a current listing of educational programs approved by the board for the giving of resident professional instruction for registered dental auxiliaries. The list of approved RDH educational programs may include those educational programs approved for such instruction by a commission or accreditation agency approved by the board.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1614, 1753 and 1758, Business and Professions Code.
Article 3. Application for Licensure
§1076. General Application Requirements.
Note     •     History

(a) Application for licensure as a registered dental auxiliary shall be made on a form prescribed by the board and shall be accompanied by the following:
(1) The fees fixed by the board;
(2) Two classifiable sets of fingerprints on forms provided by the board;
(3) Where applicable, a record of any previous dental assisting or hygiene practice and verification of license status in another jurisdiction.
(b) Completed applications shall be filed with the board not later than the following number of days prior to the date set for the examination for which application is made;

	RDH	-- 	45 days
	RDA	-- 	60 days
	RDAEF and RDHEF	--	45 days
An incomplete application shall be returned to the applicant together with a statement setting forth the reason for returning the application and indicating the amount of money, if any, which will be refunded.
An application shall not be deemed incomplete for failure to establish compliance with educational requirements if the application is accompanied by a certification from an approved program that the applicant is expected to meet all educational requirements established for the license for which application has been made and if the approved program certifies not less than 30 days prior to examination that the applicant has in fact met such educational requirements.
The processing times for dental auxiliary licensure are set forth in Section 1069.(c) Permission to take an examination shall be granted to those applicants who have paid the necessary fees and whose credentials have been approved by the executive officer. Nothing contained herein shall be construed to limit the board's authority to seek from an applicant such other information as may be deemed necessary to evaluate the applicant's qualifications.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1614, 1753, 1754, 1758 and 1759, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. Amendment of subsections (a) and (b) filed 1-22-86; effective thirtieth day thereafter (Register 86, No. 4).
2. Amendment of subsection (b) filed 2-22-88; operative 3-23-88 (Register 88, No. 10).
3. Amendment of subsection (b) filed 4-16-90; operative 5-16-90 (Register 90, No. 28).
4. Amendment of subsection (b) filed 2-22-2001; operative 3-24-2001 (Register 2001, No. 8).
§1077. RDA Applications.
Note     •     History

(a) In addition to the requirements set forth in Section 1076, an application for licensure as a registered dental assistant shall be accompanied by the following: 
(1) satisfactory evidence that the applicant has been granted a diploma or certificate in dental assisting from an educational program approved by the board; or 
(2) satisfactory evidence that the applicant has met the required 18 months satisfactory work experience as a dental assistant. “Satisfactory work experience” means performance of the duties specified in Section 1085(b) and/or (c) in a competent manner, as determined by the dentist employer. An applicant shall obtain work experience verification forms from the board and supply such forms to those persons in whose employ the applicant obtained the required work experience. The completed form shall be returned to the board by such person.
(A) The 18 months of experience, which must be gained in California while employed by a California licensed dentist(s), shall be considered qualifying only if the experience was comprised of performing duties specified in Section 1085(b) and/or (c) during a majority of the experience hours;
(B) The 18 months shall be calculated as follows:
1. experience gained while working 20 or more hours per week shall be credited on a weekly basis, with 78 weeks considered equivalent to 18 months;
2. experience gained while working less than 20 hours per week shall be credited on an hourly basis, with 1,560 hours considered equivalent to 18 months.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1614, 1753 and 1754, Business and Professions Code.
HISTORY

1. Editorial correction filed 11-7-85; effective thirtieth day thereafter (Register 85, No. 45).
2. Designation of first paragraph as subsection (a), amendment of newly designated subsection (a)(2), new subsections (a)(2)(A)-(a)(2)(B)2. and amendment of Note filed 6-11-98; operative 7-11-98 (Register 98, No. 24).
§1077.1. RDAEF Applications.
Note     •     History

In addition to the requirements, including the processing times, set forth in Section 1076, an application for licensure as an RDAEF shall be accompanied by satisfactory evidence that the applicant has successfully completed an approved RDAEF program.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1614 and 1758, Business and Professions Code.
HISTORY

1. New section filed 1-22-86; effective thirtieth day thereafter (Register 86, No. 4). 
§1079. RDH Applications.
Note     •     History

In addition to the requirements set forth in Section 1076, an application for licensure as a registered dental hygienist shall be accompanied by satisfactory evidence that the applicant has been granted a diploma or certificate in dental hygiene from an approved dental hygiene educational program.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1614 and 1758, Business and Professions Code.
HISTORY

1. Editorial correction filed 11-7-85; effective thirtieth day thereafter (Register 85, No. 45).
§1079.1. RDHEF Applications.
Note     •     History

In addition to the requirements, including the processing times, set forth in Section 1076, an application for licensure as an RDHEF shall be accompanied by satisfactory evidence that the applicant has successfully completed an approved RDHEF program.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 161 and 1758, Business and Professions Code.
HISTORY

1. New section filed 1-22-86; effective thirtieth day thereafter (Register 86, No. 4).
§1079.2. Registered Dental Hygienist in Alternative Practice (RDHAP) Applications.
Note     •     History

An applicant for licensure as a RDHAP shall submit an “RDHAP Application for Licensure and Law & Ethics Exam” (Rev.8/07) which is incorporated herein by reference, a “Certification of Dental Hygiene Clinical Practice (Rev. 3/07),” which is incorporated herein by reference and  pay all applicable fees. In addition, an applicant must meet the requirements in subdivision (a) or the requirement in subdivision (b).
(a) Holds a current California RDH license and meets all of the following requirements:
(1) Has been engaged in clinical practice as a dental hygienist in California for a minimum of 2,000 hours during the immediately preceding 36 months. “Clinical practice” means the practice of dental hygiene, as defined in section 1760.5 of the Code, and includes any practice setting allowed by law under the supervision specified by law.
(2) Has successfully completed a bachelor's degree or its equivalent from a college or institution of higher education that is accredited by a national agency recognized by the Council for Higher Education Accreditation (successor to the Council on Postsecondary Accreditation) or the United States Department of Education. The successful completion of 120 semester units shall be considered the equivalent of a bachelor's degree.
(3) Has completed an approved RDHAP program pursuant to section 1073.2.
(b) Has received a letter of acceptance into the employment utilization phase of the Health Manpower Pilot Project No. 155, prior to June 1, 1997.
(c) Once an applicant has been notified that he or she meets all of the requirements for licensure as a RDHAP, the applicant may be granted a license after submitting a completed “Initial Application for RDHAP License” (Rev. 8/07) form which is incorporated herein by reference and any applicable fees.
NOTE

Authority cited: Sections 1614 and 1767, Business and Professions Code. Reference: Sections 1628.5, 1760.5 and 1774, Business and Professions Code.
HISTORY

1. New section filed 5-31-2000; operative 6-30-2000 (Register 2000, No. 22).  
2. Amendment of section and Note filed 10-8-2004; operative 11-7-2004 (Register 2004, No. 41).
3. Amendment of section and Note filed 5-2-2008; operative 5-2-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 18). 
§1079.3. RDHAP Examination Requirement.
Note     •     History

An applicant for licensure as an RDHAP shall complete a written examination in California law and ethics.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1749.1 and 1774, Business and Professions Code.
HISTORY

1. New section filed 5-31-2000; operative 6-30-2000 (Register 2000, No. 22). 
2. Amendment of section heading, section and Note filed 5-4-2004; operative 6-4-2004 (Register 2004, No. 19).
Article 4. Examinations
§1080. General Procedures for Dental Auxiliary Written and Practical Examinations.
Note     •     History

The following rules, which are in addition to any other examination rules set forth elsewhere in this chapter, are adopted for the uniform conduct of all dental auxiliary written and practical examinations.
(a) The ability of an examinee to read and interpret instructions and examination material is a part of the examination.
(b) No person shall be admitted to an examination room or laboratory unless he or she is wearing the appropriate badge.
(c) An examinee may be dismissed from the entire examination, and a statement of issues may be filed against the examinee, for acts which interfere with the Board's objective of evaluating professional competence. Such acts include, but are not limited to the following:
(1) Allowing another person to take the examination in the place of, and under the identity of, the examinee.
(2) Copying or otherwise obtaining examination answers from other persons during the course of an examination.
(3) Bringing any notes, books, pictures, tape recorders, or other unauthorized materials into the examination area.
(4) Assisting another examinee during the examination process.
(5) Using the equipment, instruments, or materials belonging to another examinee.
(6) Copying, photographing or in any way reproducing or recording examination questions or answers.
(7) Bringing a previously prepared procedure or any portion thereof into a laboratory examination.
(8) Leaving the assigned examination area without the permission of an exam administrator.
(9) Failing to follow directions relative to the conduct of the examination, including termination of the examination at the scheduled or announced time.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1753, 1756, 1758 and 1761, Business and Professions Code.
HISTORY

1. New section filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
§1080.1. 1 General Procedures for Dental Auxiliary Clinical Examinations.
Note     •     History

The following rules, which are in addition to any other examination rules set forth elsewhere in this chapter, are adopted for the uniform conduct of all dental auxiliary clinical examinations.
(a) Each examinee shall furnish patients, instruments, engines and materials necessary to carry the procedures to completion. The board will provide chairs.
(b) A patient provided by an examinee must be at least 18 years of age and shall be in a health condition acceptable for dental treatment. If conditions indicate a need to consult the patient's physician or for the patient to be premedicated (e.g. high blood pressure, heart murmur, rheumatic fever, heart condition, prosthesis), the examinee must obtain the necessary written medical clearance and/or evidence of premedication before the patient will be accepted. The examiners may, in their discretion, reject a patient who in the opinion of at least two examiners has a condition which interferes with evaluation or which may be hazardous to the patient, other patients, examinees or examiners. A hazardous condition includes, but is not limited to, acute symptomatic hepatitis, active herpetic lesions, acute periodontal or periapical abscesses, or necrotizing ulcerative gingivitis. Whenever a patient is rejected, the reason for such rejection shall be noted on the examination record and shall be signed by both rejecting examiners.
(c) No person shall be admitted to an examination clinic unless he or she is wearing the appropriate identification badge.
(d) An examinee may be dismissed from the entire examination, and a statement of issues may be filed against the examinee, for acts which interfere with the Board's objective of evaluating professional competence. Such acts include, but are not limited to the following:
(1) Allowing another person to take the examination in the place of, and under the identity of, the examinee.
(2) Bringing any notes, books, pictures, tape recorders, or other unauthorized materials into the examination area.
(3) Assisting another examinee during the examination process.
(4) Using the equipment, instruments, or materials belonging to another examinee.
(5) Presenting radiographs which have been altered, or contrived to represent other than the patient's true condition, whether or not the misleading radiograph was created by the examinee.
(6) Failing to comply with the board's infection control regulations.
(7) Failing to use an aspirating syringe for administering local anesthesia.
(8) Premedicating a patient for purposes of sedation.
(9) Dismissing a patient without the approval and signature of an examiner.
(10) Leaving the assigned examination area without the permission of an exam administrator.
(11) Failing to follow directions relative to the conduct of the examination, including termination of the examination at the scheduled or announced time.
(e) An examinee may be declared by the board to have failed the entire examination for demonstration of gross incompetence in treating a patient.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1753, 1756, 1758 and 1761, Business and Professions Code.
HISTORY

1. New section filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
2. New subsection (b) and subsection relettering filed 3-26-99; operative 3-26-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 13).
§1080.2. Conduct of Dental Auxiliary Examinations.
Note     •     History

Examinations shall be anonymous. An anonymous examination is one conducted in accordance with procedures, including but not limited to those set forth below, which ensure and preserve anonymity of applicants.
(a) The board shall randomly assign each applicant a number, and said applicant shall be known by that number throughout the entire examination.
(b) Grading examiners shall not view examinees during the performance of the examination assignments.
(c) There shall be no communications between grading examiners and floor examiners except for oral communications conducted in the presence of board staff. There shall be no communication between grading examiners and examinees except written communications on board approved forms.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1753, 1756, 1758 and 1761, Business and Professions Code.
HISTORY

1. New section filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
§1080.3. Dental Auxiliary Licensure Examination Review Procedures; Appeals.
Note     •     History

(a) An examinee who has failed an examination shall be provided with notice, upon written request, of those areas in which he/she is deficient in the practical or clinical phases of such examination.
(b) An unsuccessful examinee who has been informed of the areas of deficiency in his/her performance on the practical or clinical phases of the examination and who has determined that one or more of the following errors was made during the course of his/her examination and grading may appeal to the board within sixty (60) days following receipt of his/her examination results:
(1) Significant procedural error in the examination process;
(2) Evidence of adverse discrimination;
(3) Evidence of substantial disadvantage to the examinee. Such appeal shall be made by means of a written letter specifying the grounds upon which the appeal is based. The Board shall respond to the appeal in writing and may request a personal appearance by the examinee. The Board shall thereafter take such action as it deems appropriate.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1753, 1756, 1758 and 1761, Business and Professions Code.
HISTORY

1. New section filed 2-13-98; operative 3-15-98 (Register 98, No. 7).
§1081. RDA Examination.
Note     •     History

An applicant for licensure as an RDA shall complete a written, task-oriented examination encompassing all duties assignable to RDAs and the settings in which they may be performed. Such examination may also include any or all of the following subjects:
Nutrition and preventive dentistry; materials; oral anatomy and physiology; oral pathology; pharmacology; morphology; microbiology; dental assisting procedures in general and special dentistry; principles of business and practice management; legal/ethical aspects of dentistry; patient-dental personnel psychology; four-handed chairside dental assisting; X-ray; sterilization; laboratory and office emergency procedures.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1614 and 1753, Business and Professions Code.
HISTORY

1. Editorial correction filed 7-17-85; effective thirtieth day thereafter (Register 85, No. 29).
§1081.1. RDA Practical Examination--Requirements.
Note     •     History

(a) In addition to the written examination, each applicant for licensure as an RDA shall also take a practical examination consisting of any or all of the procedures listed below. The specific procedures will be assigned by an RDA examination committee appointed by the board. The procedures shall be performed on a full articulated maxillary and mandibular typodont secured with a bench clamp and shall be graded by examiners appointed by the board for that purpose. Each applicant shall furnish the required materials necessary to complete all of the following procedures.
(1) Placement of a rubber dam;
(2) Placement of a matrix band for amalgam preparation;
(3) Placement of a base into a prepared tooth (For purposes of the examination, “prepared tooth” means a tooth from which material has been removed so as to simulate the surgical excision of dental caries);
(4) Placement of a liner into a prepared tooth;
(5) Placement of orthodontic separators;
(6) Placement of a periodontal dressing;
(7) Placement of a temporary sedative dressing into a prepared tooth.
(8) Sizing and placement, or intra-oral fabrication, of a temporary crown.
(9) Temporary cementation of a temporary crown.
(10) Removal of excess cement from supragingival surfaces with a hand instrument or floss.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1614 and 1753, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 2-4-92; operative 3-5-92 (Register 92, No. 12).
2. Amendment filed 5-2-96; operative 6-1-96 (Register 96, No. 18).
3. Amendment of subsection (a)(8) filed 3-9-2000; operative 4-8-2000 (Register 2000, No. 10).
§1081.2. RDAEF Examination Requirements.
Note     •     History

(a) Each applicant for licensure as an RDAEF shall successfully complete an examination on a patient consisting of the procedures set forth below.
(1) Cord retraction of gingivae for impression procedures;
(2) Taking impressions for cast restorations.
The total examination period shall not exceed two and one-half hours.
(b) Each applicant shall provide one patient upon whom the retraction and impression procedures shall be performed. If a patient is deemed unacceptable by the examiners, it is the applicant's responsibility to provide another patient who is acceptable. The applicant's ability to select an appropriate patient is considered part of the examination. An acceptable patient shall meet the criteria set forth in Section 1080.1 and the following additional criteria: 
(1) Must have a minimum of ten teeth per arch.
(2) Must have a prepared tooth, which is a bicuspid or molar and which, prior to preparation, had mesial and distal contact. The preparation performed shall have margins at or below the free gingival crest and shall be one of the following: 7/8 crown, 3/4 crown, or full crown, including porcelain fused to metal. Alginate impression materials alone are not acceptable.
(c) These procedures shall be graded by examiners appointed by the Board. These procedures may be tested, at the Board's discretion, in a Board-approved dental office or other facilities, by examiners appointed by the Board.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1756, Business and Professions Code.
HISTORY

1. New section filed 1-22-86; effective thirtieth day thereafter (Register 86, No. 4).
2. Amendment filed 1-11-96; operative 2-10-96 (Register 96, No. 2).
3. Amendment of subsection (b) and new subsections (b)(1) and (b)(2) filed 3-26-99; operative 3-26-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 13).
§1082. RDH Written Examination.
Note

Each applicant for licensure as an RDH shall successfully complete the National Board of Dental Examiner's examination for dental hygienists and shall submit confirmation thereof to the board in sufficient time for the board to receive it prior to the date set for the practical examination.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1614 and 1758, Business and Professions Code.
§1082.1. RDH Clinical Examination Requirements.
Note     •     History

(a) Every applicant shall be given a clinical examination which shall consist of the examination of a patient, complete scaling of one or two quadrants (depending upon patient selection), and root planing. Scaling and root planing includes but is not limited to the complete removal of calculus, soft deposits and plaque, and smoothing of the unattached tooth surfaces. Unattached tooth surface means the portion of the crown and root surface to which no tissue is attached. Ultrasonic, sonic, handpiece or other mechanical scaling devices may be used only at the direction of the Board. If so permitted, an applicant who chooses to use an ultrasonic or sonic scaling device shall bring to the exam and use the services of an assistant to perform high volume evacuation at all times when the ultrasonic or sonic scaling device is being used. Only the services of a dental assistant or registered dental assistant shall be permitted.
The clinical examination shall be completed within a two hour period. Such period shall commence with the acceptance or rejection of the initial patient presented by the applicant.
(b) One patient shall be provided by the applicant. If a patient is deemed unacceptable by the examiners, it is the applicant's responsibility to provide another patient who is acceptable. The applicant's ability to select an appropriate patient is considered part of the examination. An acceptable patient shall meet the criteria set forth in Section 1080.1 and the following additional criteria:
(1) Does not have extreme tissue or tooth sensitivity which would interfere with proper probing and exploring by examiners.
(2) Has at least one quadrant with the following:
(A) At least 6 natural teeth which are free of conditions which would interfere with evaluation, including but not limited to probing depths greater than 6mm, class 3 furcation, class 3 mobility, gross decay, faulty restorations, or full or partial veneer crowns. Crowns with smooth margins are acceptable. A patient will not be rejected because he/she has one tooth with a probing depth greater than 6mm.
(B) At least 3 of the natural teeth in the quadrant must be posterior teeth with interproximal pocket depths of 4 to 6mm. Two of these posterior teeth must be molars.
(C) Demonstrable, explorer-detectable moderate to heavy subgingival calculus must be present on a majority of the subgingival tooth surfaces and there must be some subgingival calculus on every tooth. Explorer-detectable moderate to heavy interproximal ledges must be present.
(c) If an applicant is unable to find a patient with one quadrant which meets the requirements of subsection (b)(2) above, the applicant may provide a patient in which those requirements can be found in two quadrants. An applicant who presents such a patient shall be required to scale all teeth in both quadrants in the same time allotted for scaling one quadrant.
(d) The applicant shall provide full mouth radiographs of the patient, which shall consist of 18 radiographs at least 4 of which must be bite-wing and the radiographs must be of diagnostic quality. All radiographs shall have been taken not more than one year prior to the examination at which they are presented.
(e) The applicant shall provide the following instruments:
(1) Color coded Marquis-type periodontal probe.
(2) Sharp explorers.
(3) Clear-plane mouth mirror.
(4) Saliva ejector.
(5) All necessary armamentarium for local anesthesia, including an aspirating syringe.
(6) Any other scaling or root planing instruments which he/she intends to use.
(f) The applicant shall offer to the patient the option of the administration of local anesthetic in the area(s) to be scaled, except that anesthesia shall not be administered to both mandibular quadrants of a patient during the same day.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1614 and 1766, Business and Professions Code.
HISTORY

1. Change without regulatory effect amending subsection (a) filed 9-11-89 pursuant to Section 100, Title 1, California Code of Regulations (Register 89, No. 37).
2. Amendment of subsection (d) filed 12-18-95; operative 1-17-95 (Register 95, No. 51).
3. Amendment of subsection (e)(2) filed 2-3-98; operative 3-5-98 (Register 98, No. 6).
4. Amendment of subsections (a) and (b), repealer of subsections (a)(1), (a)(2), (a)(4) and (a)(5), subsection renumbering, and amendment of newly designated subsection (a)(2) filed 4-29-99; operative 5-29-99 (Register 99, No. 18).
5. Amendment of subsections (a), (b)(2)(A), (c) and (f) and amendment of Note filed 2-6-2003; operative 3-8-2003 (Register 2003, No. 6).
§1082.2. RDHEF Examination Requirements.
Note     •     History

(a) Each applicant for licensure as an RDHEF shall successfully complete an examination on a patient consisting of the procedures set forth below.
(1) Cord retraction of gingivae for impression procedures;
(2) Taking impressions for cast restorations.
The total examination period shall not exceed two and one-half hours.
(b) Each applicant shall provide one patient upon whom the retraction and impression procedures shall be performed. If a patient is deemed unacceptable by the examiners, it is the applicant's responsibility to provide another patient who is acceptable. The applicant's ability to select an appropriate patient is considered part of the examination. An acceptable patient shall meet the criteria set forth in Section 1080.1 and the following additional criteria: 
(1) Must have a minimum of ten teeth per arch.
(2) Must have a prepared tooth, which is bicuspid or molar and which, prior to preparation, had mesial and distal contact. The preparation performed shall have margins at or below the free gingival crest and shall be one of the following: 7/8 crown, 3/4 crown, or full crown, including porcelain fused to metal. Alginate impression materials alone are not acceptable.
(c) These procedures shall be graded by examiners appointed by the Board. These procedures may be tested, at the Board's discretion, in a Board-approved dental office or other facilities, by examiners appointed by the Board.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1761, Business and Professions Code.
HISTORY

1. New section filed 1-22-86; effective thirtieth day thereafter (Register 86, No. 4).
2. Amendment of subsections (a)(3), (c) and NOTE filed 2-28-92; operative 3-30-92 (Register 92, No. 12).
3. Amendment of subsections (a)-(b), repealer of subsection (c) and subsection relettering, and amendment of newly designated subsection (c) and Note filed 1-11-96; operative 2-10-96 (Register 96, No. 2).
4. Amendment of subsection (b) and new subsections (b)(1) and (b)(2) filed 3-26-99; operative 3-26-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 13).
§1082.3. Supplemental Examinations in California Law and Ethics.
Note     •     History

Prior to issuance of a license, an applicant for licensure as a registered dental hygienist shall successfully complete a supplemental written examination in California Law and Ethics.
(a) The examination on California law shall test the applicant's knowledge of California law as it relates to the practice of dental hygiene.
(b) The examination on ethics shall test the applicant's ability to recognize and apply ethical principles as they relate to the practice of dental hygiene.
(c) An examinee shall be deemed to have passed the examination if his/her score is at least 75% in each examination.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1749.1 and 1766, Business and Professions Code.
HISTORY

1. New section filed 9-7-2004; operative 10-7-2004 (Register 2004, No. 37).
§1083. Passing Grades.
Note     •     History

(a) Registered Dental Hygienist. Each applicant for licensure as a registered dental hygienist who attains a grade of 75% in the practical examination designated by the Board shall be considered as having passed the examination.
(b) Registered Dental Assistant. An applicant for licensure as a registered dental assistant shall be deemed to have passed the required examination only if the applicant has obtained a score of at least 75 on the written examination and at least 75% on the practical examination; provided, however, that an applicant who attains a grade of less than 75% in any single procedure shall be considered to have failed the entire practical examination.
(c) Registered Dental Assistant in Extended Functions. Each applicant for licensure as an RDAEF who attains a grade of at least 75% on each procedure in the examination shall be deemed to have passed the required examination.
(d) Registered Dental Hygienist in Extended Functions. Each applicant for licensure as an RDHEF who attains a grade of at least 75% on each procedure in the examination shall be deemed to have passed the required examination. A registered dental hygienist who has passed the RDAEF examination prior to December 31, 1991 shall be eligible for licensure as an RDHEF without further examination.
NOTE

Authority cited: Sections 1614 and 1762, Business and Professions Code. Reference: Sections 1611, 1614, 1634, 1753, 1758 and 1759, Business and Professions Code.
HISTORY

1. New subsections (c) and (d) filed 1-22-86; effective thirtieth day thereafter (Register 86, No. 4).
2. Amendment of subsection (d) and NOTE filed 2-28-92; operative 3-30-92 (Register 92, No. 12).
3. Amendment of subsection (b) and Note filed 3-21-2002; operative 4-20-2002 (Register 2002, No. 12).
Article 5. Duties and Settings
§1085. Dental Assistant Duties and Settings.
Note     •     History

(a) Unless specifically so provided by regulation, a dental assistant may not perform the following functions or any other activity which represents the practice of dentistry or requires the knowledge, skill and training of a licensed dentist:
(1) Diagnosis and treatment planning;
(2) Surgical or cutting procedures on hard or soft tissue;
(3) Fitting and adjusting of correctional and prosthodontic appliances;
(4) Prescription of medicines;
(5) Placement, condensation, carving or removal of permanent restorations, including final cementation procedures;
(6) Irrigation and medication of canals, try-in cones, reaming, filing or filling of root canals;
(7) Taking of impressions for prosthodontic appliances, bridges or any other structures which may be worn in the mouth;
(8) Administration of injectable and/or general anesthesia;
(9) Oral prophylaxis procedures.
(b) A dental assistant may perform such basic supportive dental procedures as the following under the general supervision of a licensed dentist:
(1) Extra-oral duties or functions specified by the supervising dentist;
(2) Operation of dental radiographic equipment for the purpose of oral radiography if the dental assistant has complied with the requirements of section 1656 of the Code.
(3) Examine orthodontic appliances.
(c) A dental assistant may perform such basic supportive dental procedures as the following under the direct supervision of a licensed dentist when done so pursuant to the order, control and full professional responsibility of the supervising dentist. Such procedures shall be checked and approved by the supervising dentist prior to dismissal of the patient from the office of said dentist.
(1) Take impressions for diagnostic and opposing models, bleaching trays, temporary crowns and bridges, and sports guards;
(2) Apply non-aerosol and non-caustic topical agents;
(3) Remove post-extraction and periodontal dressings;
(4) Placement of elastic orthodontic separators;
(5) Remove orthodontic separators;
(6) Assist in the administration of nitrous oxide analgesia or sedation; however, a dental assistant shall not start the administration of the gases and shall not adjust the flow of the gases unless instructed to do so by the dentist who shall be present at the patient's chairside at the implementation of these instructions. This regulation shall not be construed to prevent any person from taking appropriate action in the event of a medical emergency.
(7) Hold anterior matrices;
(8) Remove sutures;
(9) Take intra-oral measurements for orthodontic procedures;
(10) Seat adjusted retainers or headgears, including appropriate instructions;
(11) Check for loose bands;
(12) Remove arch wires;
(13) Remove ligature ties;
(14) Apply topical fluoride, after scaling and polishing by the supervising dentist or a registered dental hygienist;
(15) Place and remove rubber dams;
(16) Place, wedge and remove matrices.
(17) Cure restorative or orthodontic materials in operative site with light-curing device.
For the purpose of this section a supervising licensed dentist is defined as a dentist whose patient is receiving the services of a dental assistant in the treatment facility and is under the direct control of said licensed dentist.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1751, Business and Professions Code.
HISTORY

1. Editorial correction of subsection (c)(6) filed 7-17-85; effective thirtieth day thereafter (Register 85, No. 29).
2. Editorial correction of subsection (a) (Register 91, No. 30).
3. New subsections (b)(3) and (c)(17) filed 8-2-95; operative 9-1-95 (Register 95, No. 31).
4. Amendment of subsections (c)(1) and (c)(6) filed 2-23-98; operative 3-25-98 (Register 98, No. 9).
5. Change without regulatory effect amending subsection (c)(1) filed 7-15-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 29).
§1086. RDA Duties and Settings.
Note     •     History

(a) Unless specifically so provided by regulation, the prohibitions contained in section 1085 of these regulations apply to registered dental assistants. 
(b) A registered dental assistant may perform all functions which may be performed by a dental assistant. 
(c) Under general supervision, a registered dental assistant may perform the following duties:
(1) Mouth-mirror inspection of the oral cavity, to include charting of obvious lesions, existing restorations and missing teeth;
(2) Placement and removal of temporary sedative dressings. 
(d) A registered dental assistant may perform the following procedures under the direct supervision of a licensed dentist when done so pursuant to the order, control and full professional responsibility of the supervising dentist. Such procedures shall be checked and approved by the supervising dentist prior to dismissal of the patient from the office of said dentist. 
(1) Obtain endodontic cultures; 
(2) Dry canals, previously opened by the supervising dentist, with absorbent points; 
(3) Test pulp vitality; 
(4) Place bases and liners on sound dentin; 
(5) Remove excess cement from supragingival surfaces of teeth with a hand instrument or floss; 
(6) Size stainless steel crowns, temporary crowns and bands; 
(7) Fabrication of temporary crowns intra-orally;
(8) Temporary cementation and removal of temporary crowns and removal of orthodontic bands; 
(9) Placement of orthodontic separators; 
(10) Placement and ligation of arch wires; 
(11) Placement of post-extraction and periodontal dressings;
(12) Apply bleaching agents;
(13) Activate bleaching agents with non-laser light-curing device;
(14) Take bite registrations for diagnostic models for case study only;
(15) Coronal polishing (Evidence of satisfactory completion of a board-approved course of instruction in this function must be submitted to the board prior to any performance thereof). The processing times for coronal polishing course approval are set forth in section 1069. 
This procedure shall not be intended or interpreted as a complete oral prophylaxis (a procedure which can be performed only by a licensed dentist or registered dental hygienist). A licensed dentist or registered dental hygienist shall determine that the teeth to be polished are free of calculus or other extraneous material prior to coronal polishing. 
(16) Removal of excess cement from coronal surfaces of teeth under orthodontic treatment by means of an ultrasonic scaler. (Evidence of satisfactory completion of a board-approved course of instruction or equivalent instruction in an approved RDA program in this function must be submitted to the board prior to any performance thereof.) The processing times for ultrasonic scaler course approval are set forth in section 1069.
(e) Settings. Registered dental assistants may undertake the duties authorized by this section in a treatment facility under the jurisdiction and control of the supervising licensed dentist, or in an equivalent facility approved by the board. 
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1614 and 1754, Business and Professions Code; and Section 15376, Government Code. 
HISTORY

1. Amendment of subsection (d) filed 2-22-88; operative 3-23-88 (Register 88, No. 10). 
2. Change without regulatory effect amending subsection (d)(11) filed 9-11-89 pursuant to section 100, title 1, California Code of Regulations (Register 89, No. 37). 
3. Amendment of subsection (d)(11) filed 10-29-90; operative 11-28-90 (Register 90, No. 48).
4. New subsection (d)(11) and subsection renumbering filed 5-9-96; operative 6-8-96 (Register 96, No. 19).
5. New subsections (d)(7), (d)(12) and (d)(13) and subsection renumbering filed 1-24-2000; operative 2-23-2000 (Register 2000, No. 4).  
§1087. RDAEF Duties and Settings.
Note     •     History

(a) Unless specifically so provided by regulation, the prohibitions contained in Section 1085 apply to RDAEFs.
(b) An RDAEF may perform all duties assigned to dental assistants and registered dental assistants.
(c) An RDAEF may perform the procedures set forth below under the direct supervision of a licensed dentist when done so pursuant to the order, control and full professional responsibility of the supervising dentist. Such procedures shall be checked and approved by the supervising dentist prior to dismissal of the patient from the office of said dentist.
(1) Cord retraction of gingivae for impression procedures;
(2) Take impressions for cast restorations;
(3) Take impressions for space maintainers, orthodontic appliances and occlusal guards.
(4) Prepare enamel by etching for bonding;
(5) Formulate indirect patterns for endodontic post and core castings;
(6) Fit trial endodontic filling points;
(7) Apply pit and fissure sealants;
(8) Remove excess cement from subgingival tooth surfaces with a hand instrument;
(9) Apply etchant for bonding restorative materials.
(d) Settings. Registered dental assistants in extended functions may undertake the duties authorized by this section in a treatment facility under the jurisdiction and control of the supervising licensed dentist, or in an equivalent facility approved by the board.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1614, 1756 and 1757, Business and Professions Code.
HISTORY

1. Amendment of subsection (c)(7) and new subsections (c)(8)-(9) filed 4-27-2000; operative 5-27-2000 (Register 2000, No. 17).
§1088. RDH Duties and Settings.
Note     •     History

(a) Unless specifically so provided by regulation, the prohibition contained in Section 1085(a), subsections (1) through (8) of these regulations shall apply to duties performed by a registered dental hygienist.
(b) A registered dental hygienist may perform all duties assigned to dental assistants and registered dental assistants, under the supervision of a licensed dentist as specified in these regulations. 
(c) Under general supervision, a registered dental hygienist may perform the following duties in addition to those provided by Section 1760(b) of the Code:
(1) Root planing;
(2) Polish and contour restorations;
(3) Oral exfoliative cytology;
(4) Apply pit and fissure sealants;
(5) Preliminary examination, including but not limited to:
(A) Periodontal charting;
(B) Intra and extra-oral examination of soft tissue;
(C) Charting of lesions, existing restorations and missing teeth; 
(D) Classifying occlusion;
(E) Myofunctional evaluation;
(6) Irrigate sub-gingivally with an antimicrobial and/or antibiotic liquid solution(s).
(7) The following direct supervision duties of dental assistants and registered dental assistants:
(A) Dental Assistant.
(1) Taking impressions for diagnostic and opposing models;
(2) Applying non-aerosol and non-caustic topical agents;
(3) Removing post-extraction and periodontal dressings;
(4) Removing sutures;
(5) Taking intra-oral measurements for orthodontic procedures;
(6) Checking for loose bands;
(7) Removing ligature ties;
(8) Applying topical fluoride;
(9) Placing elastic separators.
(B) Registered Dental Assistant
(1) Test pulp vitality;
(2) Removing excess cement from supragingival surfaces of teeth;
(3) Sizing stainless steel crowns, temporary crowns and bands;
(4) Temporary cementation and removal of temporary crowns and removal of orthodontic bands.
(5) Placing post-extraction and periodontal dressings.
(d) A registered dental hygienist may perform the procedures set forth below under the direct supervision of a licensed dentist when done so pursuant to the order, control and full professional responsibility of the supervising dentist. Such procedures shall be checked and approved by the supervising dentist prior to dismissal of the patient from the office of said dentist.
(1) Placement of Antimicrobial or Antibiotic Medicaments which do not later have to be removed.
(2) All duties so assigned to a dental assistant or a registered dental assistant, unless otherwise indicated;
(3) Periodontal soft tissue curettage (Evidence of satisfactory completion of a board-approved course of instruction in this function must be submitted to the board prior to any performance thereof);
(4) Administration of local anesthetic agents, infiltration and conductive, limited to the oral cavity (Evidence of satisfactory completion of a board-approved course of instruction in this function must be submitted to the board prior to any performance thereof);
(5) Administration of nitrous oxide and oxygen when used as an analgesic, utilizing fail-safe type machines containing no other general anesthetic agents. (Evidence of satisfactory completion of a board-approved course of instruction in this function must be submitted to the board prior to any performance thereof.)
(e) A registered dental hygienist may undertake the duties authorized by this section in the following settings, provided the appropriate supervision requirements are met:
(1) The treatment facility of a licensed dentist;
(2) Licensed health facilities as defined in Section 1250 of the Health and Safety Code,
(3) Licensed clinics as defined in Section 1203 of the Health and Safety Code,
(4) Licensed community care facilities as defined in Section 1502 of the Health and Safety Code,
(5) Schools of any grade level whether public or private,
(6) Public institutions, including but not limited to federal, state and local penal and correctional facilities.
(7) Mobile units operated by a public or governmental agency or a nonprofit and charitable organization approved by the board; provided, however, that the mobile unit meets the statutory and regulatory requirements for mobile units,
(8) Home of a non-ambulatory patient, provided there is a written note from a physician or registered nurse stating that the patient is unable to visit a dental office.
(9) Health fairs or similar non-profit community activities. Each such fair or activity shall be approved by the board.
Any other facility must be approved by the board.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1614 and 1759, Business and Professions Code.
HISTORY

1. New subsection (c)(6) and subsection renumbering filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
2. New subsection (d)(1) and subsection renumbering filed 12-17-2001; operative 1-16-2002 (Register 2001, No. 51).
§1089. RDHEF Duties and Settings.
Note     •     History

(a) Unless specifically provided by regulation, the prohibitions contained in Section 1085(a) (1) through (8) shall apply to RDHEFs. 
(b) An RDHEF may perform all duties assigned to dental assistants, registered dental assistants and registered dental hygienists.
(c) An RDHEF may perform the procedures set forth below under the direct supervision of a licensed dentist when done so pursuant to the order, control and full professional responsibility of the supervising dentist. Such procedures shall be checked and approved by the supervising dentist prior to dismissal of the patient from the office of said dentist.
(1) Cord retraction of gingivae for impression procedures;
(2) Take impressions for cast restorations;
(3) Take impressions for space maintainers, orthodontic appliances and guards;
(4) Prepare enamel by etching for bonding;
(5) Formulate indirect patterns for endodontic post and core castings;
(6) Fit trial endodontic filling points;
(7) Apply etchant for bonding restorative materials.
(d) Settings. Registered dental hygienists in extended functions may undertake the duties authorized by this section in a treatment facility under the jurisdiction and control of the supervising licensed dentist, or an equivalent facility approved by the Board.
NOTE

Authority cited: Sections 1614 and 1762, Business and Professions Code. Reference: Sections 1614 and 1762, Business and Professions Code.
HISTORY

1. Amendment of subsection (c) filed 6-20-85; effective thirtieth day thereafter (Register 85, No. 25).
2. Repealer and new subsections (c) and (d) and amendment of NOTE filed 2-28-92; operative 3-30-92 (Register 92, No. 12).
3. Amendment of subsection (c)(6) and new subsection (c)(7) filed 4-27-2000; operative 5-27-2000 (Register 2000, No. 17).
§1090. RDHAP Duties and Settings.
Note     •     History

(a) Unless specifically so provided by regulation, an RDHAP may not perform the following functions or any activity which represents the practice of dentistry or requires knowledge, skill and training of a licensed dentist:
(1) Diagnosing and treatment planning;
(2) Surgical or cutting procedures on hard or soft tissue;
(3) Fitting and adjusting of correctional and prosthodontic appliances;
(4) Prescribing medication;
(5) Placing, condensing, carving or removal of permanent restorations, including final cementation procedures;
(6) Irrigating and medicating canals, try-in cones, reaming, filing or filling of root canals;
(7) Taking of impressions for prosthodontic appliances, bridges, or any other devices which may be worn in the mouth;
(8) Administering local or general anesthesia, oral or parental conscious sedation.
(b) Under the supervision of a licensed dentist, an RDHAP may perform the duties assigned to registered dental hygienists by Section 1088, under the same levels of supervision and in the same settings as specified in that section, in addition to those duties permitted by Section 1768(b)(3).
(c) Independently and without the supervision of a licensed dentist, an RDHAP may, upon the prescription of a dentist or a physician and surgeon licensed in California, perform the duties assigned to a registered dental hygienist by Section 1088(c).
(1) All prescriptions shall contain the following information:
(A) The pre-printed name, address, license number, and signature of the prescribing dentist or physician and surgeon.
(B) The name, address and phone number of the patient.
(C) The date the services are prescribed and the expiration date of the prescription. The prescription shall be for dental hygiene services and, if necessary, include special instructions for the care of that patient.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Sections 1614 and 1768, Business and Professions Code.
HISTORY

1. New section filed 5-31-2000; operative 6-30-2000 (Register 2000, No. 22).
2. New subsections (c)(1)-(c)(1)(C) filed 8-15-2000; operative 9-14-2000 (Register 2000, No. 33).
§1090.1. RDHAP Documentation of Dentist Relationship.
Note     •     History

Prior to the establishment of an independent practice, an RDHAP shall provide to the board documentation of an existing relationship with at least one dentist for referral, consultation, and emergency services, on the form entitled: Documentation of RDHAP Relationship with Dentist, (rev. 5/99), which is hereby incorporated by reference. The dentist's license shall be current, active and not under discipline by the board. Any change shall be reported to the Board in writing, within 30 days following such change.
NOTE

Authority cited: Section 1614, Business and Professions Code. Reference: Section 1770, Business and Professions Code.
HISTORY

1. New section filed 5-31-2000; operative 6-30-2000 (Register 2000, No. 22). 
Division 11. Dental Hygiene Committee of California
Article 7. General Rules Regarding Fingerprint Requirements
§1131. Response to Committee Inquiry.
Note     •     History

If the committee or its designee asks a licensee to provide criminal history information, a licensee shall respond to that request within 30 days. The licensee shall make available all documents and other records requested and shall respond with accurate information.
NOTE

Authority cited: Section 1906, Business and Professions Code. Reference: Sections 1916 and 1950, Business and Professions Code; and Section 11105, Penal Code.
HISTORY

1. New division 11, article 7 (sections 1131-1132) and section filed 4-28-2011; operative 7-1-2011 (Register 2011, No. 17). For prior history of division 11 (sections 1100-1171), see Register 74, No. 13 and Register 76, No. 37.
§1132. Fingerprint and Disclosure Requirements for Renewal of License.
Note     •     History

(a) As a condition of renewal for a license, a licensee who was initially licensed prior to January 1, 1994, or for whom an electronic record of the submission of fingerprints no longer exists, shall furnish to the Department of Justice a full set of electronic fingerprints for the purpose of conducting a criminal history record check and to undergo a state and federal level criminal offender record information search conducted through the Department of Justice.
(1) The licensee shall pay any costs for furnishing the fingerprints and conducting the searches.
(2) As a condition of renewal, a licensee shall certify whether his or her fingerprints have been furnished to the Department of Justice in compliance with this section.
(3) This requirement is waived if the licensee is actively serving in the military outside the country.
(4) A licensee shall retain, for at least three years from the renewal date, either a receipt showing the electronic transmission of his or her fingerprints to the Department of Justice or a receipt evidencing that the licensee's fingerprints were taken.
(b) As a condition of renewal, a licensee shall disclose whether, in the prior renewal cycle, he or she has been convicted of any violation of the law in this or any other state, the United States, or other country, omitting traffic infractions under $1000 not involving alcohol, dangerous drugs, or controlled substances. In addition, a licensee shall disclose any disciplinary actions against any other license he or she may hold.
(c) Failure to comply with the requirements of this section renders any renewal incomplete and the license will not be renewed until the licensee demonstrates compliance with all requirements.
NOTE

Authority cited: Section 1906, Business and Professions Code. Reference: Sections 1916 and 1950, Business and Professions Code; and Section 11105, Penal Code.
HISTORY

1. New section filed 4-28-2011; operative 7-1-2011 (Register 2011, No. 17). For prior history of division 11 (sections 1100-1171), see Register 74, No. 13 and Register 76, No. 37.
Division 12. Cemetery and Funeral Bureau

(Originally Printed 12-5-46)

(Originally Printed 12-5-46)
Article 1. General Provisions
§1200. Location of Offices. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Sections 7735-7742, Business and Professions Code.
HISTORY

1. Amendment filed 11-14-57; effective thirtieth day thereafter (Register 57, No. 20).
2. Amendment of NOTE filed 6-17-77; effective thirtieth day thereafter (Register 77, No. 25).
3. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
4. Change without regulatory effect amending division heading filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1201. Tenses, Gender, and Number. [Repealed]
History

HISTORY

1. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1202. Delegation of Certain Functions.
Note     •     History

The power and discretion conferred by law upon the bureau to receive and file accusations; issue notices of hearing, statements to respondent and statements of issues; receive and file notices of defense; determine the time and place of hearings under Section 11508 of the Government Code; issue subpoenas and subpoenas duces tecum; set and calendar cases for hearing and perform other functions necessary to the business-like dispatch of the business of the bureau in connection with proceedings under the provisions of Sections 11500 through 11528 of the Government Code, prior to the hearing of such proceedings; and the certification and delivery or mailing of copies of decisions under Section 11518 of said code are hereby delegated to and conferred upon the bureau chief.
NOTE

Authority cited: Sections 7602 and 7606, Business and Professions Code. Reference: Sections 7602 and 7606, Business and Professions Code; and Section 11500 et seq., Government Code.
HISTORY

1. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
2. Change without regulatory effect amending section and Note filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1203. Filing of Addresses.
Note     •     History

Each person holding a certificate of registration, license, permit or any other authority to practice or engage in any activity in the State of California under any and all laws administered by the bureau shall file his or her proper and current mailing address with the bureau at its office in Sacramento and shall immediately notify the bureau at its said office of any and all changes of mailing address, giving both his or her old and his or her new address.
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Section 7606, Business and Professions Code.
HISTORY

1. Change without regulatory effect amending section and adding Note filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
Article 1.5. Funeral Director
§1204. Management of Funeral Establishment.
Note     •     History

(a) Any person, association, partnership, corporation or other organization licensed and conducting business as a funeral establishment shall designate a licensed funeral director to manage the establishment, and shall report the designation to the bureau within ten (10) days of the effective date of the designation.
(b) The designated managing licensed funeral director of a licensed funeral establishment shall be responsible for exercising such direct supervision and control over the conduct of said funeral establishment as is necessary to ensure full compliance with the Funeral Directors and Embalmers Law, the provisions of this chapter and the applicable provisions of the Health and Safety Code. Failure of the designated managing licensed funeral director and/or the licensed funeral establishment to exercise such supervision or control, or failure of the holder of the funeral establishment license to make such designation shall constitute a ground for disciplinary action.
(c) A licensed funeral establishment may, upon approval by the bureau, designate a licensed funeral director to manage more than one (1) facility under the following conditions:
(1) the licensed funeral establishments are under common ownership, and;
(2) the common owners have designated one (1) funeral establishment as the main office. The main office is defined as a designated location registered with the bureau where the principals of the funeral establishment can be contacted, and;
(3) the remaining establishment must be within a sixty (60) mile radius of the main office, and;
(4) the licensed funeral establishments requesting permission from the bureau to use one (1) designated managing licensed funeral director, must make a written request, on a form 21F-12 (4/93) provided by the bureau. An inspection shall be scheduled and completed to ensure that the conditions set forth in this section have been satisfied.
(d) A funeral director who advertises his or her services shall hold a current, active license, and shall include his or her license number, the name and license number of the funeral establishment at which he or she is employed, and the name of the city or community where the funeral establishment is located on any television and print advertising including, but not limited to, telephone and other directory listings, and newspaper and magazine advertisements.
NOTE

Authority cited: Sections 7606 and 7616.2, Business and Professions Code. Reference: Sections 7606, 7616, 7616.2, 7618, 7619, 7620, 7621 and 7622, Business and Professions Code.
HISTORY

1. New article 1.5 (sections 1204-1205) and section filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
2. Change without regulatory effect amending subsections (a), (c) and (c)(2)-(4) filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1205. Review of Funeral Director License Applications; Processing Time.
Note     •     History

(a) The bureau shall inform an applicant for a funeral director license, in writing, within seven (7) days of receipt whether the application is complete and acceptable for filing or is deficient and what specific information is required to complete the application.
(b) The bureau shall make a decision within sixty (60) days after the date the application is deemed to be completed whether the applicant meets the requirements for licensure. “Completion of an application” means that a completed application form together with all required information, documentation and fees has been filed by the applicant.
(c) The minimum, median and maximum processing times for an application for a funeral director license from the date of acceptance and filing of the initial application until the bureau makes a final decision on the application are:
(1) Minimum--one (1) day.
(2) Median--ten (10) days.
(3) Maximum--sixty (60) days.
NOTE

Authority cited: Section 7615, Business and Professions Code; and Section 15376, Government Code. Reference: Sections 7615, 7618, 7619, 7621 and 7622, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New section filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
2. Change without regulatory effect amending section filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
Article 2. Funeral Establishments
§1208. Application for Funeral Establishment License.
Note     •     History

Within ten (10) days after the receipt of an application for a funeral establishment license, notice of such filing shall be sent to such persons and organizations as the bureau chief may deem expedient, located at or near the place where such applicant proposes to engage in business as a funeral establishment, and to such other persons or organizations that may request such information. 
NOTE

Authority cited: Sections 7602 and 7606, Business and Professions Code. Reference: Sections 7602, 7617, 7617.1, 7619.3 and 7621, Business and Professions Code.
HISTORY

1. Originally published 12-5-46 (Title 16).
2. Amendment filed 11-4-47 as an emergency (Register 10, No. 2).
3. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
4. Change without regulatory effect amending article heading filed 4-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 16).
5. Amendment of section heading, section and Note filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
6. Change without regulatory effect amending section and Note filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1208.1. Review of Funeral Establishment License Applications; Processing Time.
Note     •     History

(a) The bureau shall inform an applicant for licensure as a funeral establishment, in writing, within ten (10) days whether the application is complete and accepted for filing or is deficient and what specific information is required to complete the application.
(b) The bureau shall make a decision within ninety (90) days after the date the application is deemed to be completed whether the applicant meets the requirements for licensure. “Completion of an application” means that a completed application form, together with all required information, documentation and fees, has been filed by the applicant. This period may be extended if the applicants' proposed facility is not ready for or fails to pass any required inspection.
(c) The minimum, median and maximum processing times for an application for licensure as a funeral establishment from the date of acceptance and filing of the initial application until the bureau makes a final decision on the application are:
(1) minimum--forty (40) days.
(2) median--seventy (70) days.
(3) maximum--ninety (90) days.
NOTE

Authority cited: Section 7606, Business and Professions Code; and Section 15376, Government Code. Reference: Sections 7618-7627, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New section filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
2. Amendment of section heading and section filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
3. Change without regulatory effect amending section filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1209. Ambulances, Hearses, and First-Call or Pickup Cars.
Note     •     History

All ambulances, hearses and first-call or pickup cars and the equipment therein shall be kept clean and sanitary and free from deleterious odors at all times. Such vehicles shall be cleansed with a suitable and effective disinfectant, immediately after being used to transport human remains dead of any contagious disease, or as soon thereafter as practical, so as not to endanger the public health or safety.
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Sections 7606 and 7707, Business and Professions Code.
HISTORY

1. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
2. Change without regulatory effect amending section filed 4-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 16).
§1210. Funeral Establishment License, Possession of.
Note     •     History

The certificate of licensure shall remain the property of the State of California, in possession of the licensee only so long as he/she or it exercises the license at the location specified in the license, and said certificate shall be surrendered to the bureau upon change of address, change of name, assignment or upon discontinuance of business at the specified address. This rule shall not prevent a licensed funeral director from conducting a funeral in another licensed establishment, nor shall it prevent a licensed funeral director from conducting a funeral at a church, cemetery, home, public hall, lodge room, or other suitable place.
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Sections 7617, 7620, 7624, 7625 and 7628, Business and Professions Code.
HISTORY

1. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
2. Change without regulatory effect amending section heading  filed 4-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 16).
3. Change without regulatory effect amending section filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1211. Name of Funeral Establishment.
Note     •     History

(a) A funeral establishment shall include its name and license number, exactly as shown by the bureau's records, and city or community where located in all television and print advertisements, including but not limited to telephone and other directory listings, television, newspaper and magazine advertisements.
(b) Each applicant for a funeral establishment license shall select one (1) specific trade name under which the license is to be issued and held. Such trade name may not include “also known as” (“aka”) designations, but must be a word or group of words combined to form one specific trade name.
(c) A funeral establishment shall not operate under a name utilizing an “also known as” (“aka”) designation, or which bears two (2) or more separate and distinct name styles.
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Section 7629, Business and Professions Code.
HISTORY

1. Amendment filed 11-14-57; effective thirtieth day thereafter (Register 57, No. 20).
2. Amendment filed 12-2-75; effective thirtieth day thereafter (Register 75, No. 49).
3. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
4. Amendment filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
5. Change without regulatory effect amending subsections (a)-(b) filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1212. Manager of Funeral Establishment. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Sections 7606, 7618, 7619, 7620, 7621, and 7622, Business and Professions Code.
HISTORY

1. New section filed 12-2-75; effective thirtieth day thereafter (Register 75, No. 49).
2. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
3. Repealer filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1213. Change in Corporate Officers, Designated Managing Funeral Director, or Ownership.
Note     •     History

(a) Where there is a change in the corporate officers or the designated managing licensed funeral director of a funeral establishment, such change, including the names and titles of the new corporate officers or the name of the new designated managing licensed funeral director, shall be reported to the bureau, in writing, within ten (10) days of such change on the form NC1 (12/93) prescribed by the bureau accompanied by the fee fixed by this division.
(b) Any transfer, in a single transaction or in a related series of transactions, of more than fifty percent (50%) of the equitable interest in the ownership of a licensed funeral establishment shall constitute a change of ownership and shall require assignment of the funeral establishment license, subject to the provisions of Section 7630, Division 3, Chapter 12, Article 2 of the Business and Professions Code. Such proposed change shall be reported to the bureau no later than thirty (30) days prior to the effective date thereof, however, no public notice shall be given by the bureau until after the effective date of the transaction.
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Sections 7606, 7618, 7619, 7622 and 7630, Business and Professions Code.
HISTORY

1. New section filed 12-2-75; effective thirtieth day thereafter (Register 75, No. 49).
2. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
3. Amendment of section heading and section filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
4. Change without regulatory effect amending section filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
Article 3. Embalming
§1214. Authorization for Disposition with and Without Embalming.
Note     •     History

Except as otherwise provided in Health and Safety Code Section 7304, human remains shall not be embalmed without the express authorization of a person having the legal right to control disposition of the remains. Such authorization shall be secured by use of the form prescribed by the bureau, attached hereto as Exhibit 1, and made a part of this regulation. The form shall be used in the exact form set forth below, without additions, substitutions, or amendments.

EXHIBIT 1

AUTHORIZATION FOR DISPOSITION WITH 
OR WITHOUT EMBALMING

TO: ________________________ (Funeral Establishment Name)
RE: 	 (Decedent) I, 	do __ do not __ (check one) request embalming, which I understand is the addition to, or the replacement of, body fluids by chemical preservatives or the application of chemical preservatives for the temporary preservation of the body. I understand that embalming is not required by law.
I understand that for storage or embalming purposes the decedent may be transported to the following licensed funeral establishment:

      (name and address of funeral establishment)
then returned for funeral services. I understand I may be charged an additional fee for transport.
The undersigned hereby represents that he/she has the legal right to control disposition of the remains of the decedent.

Signed: 	, Relationship 	

Executed this __ day of ________________, ___, at City _________, State ___.
To Be Completed by funeral establishment if Authorization to Embalm and Notification to Transport Is Obtained Orally (by Telephone):

The above statement of authorization and notification was read to __________________(Relationship	, who  did __ did not __ (check one) authorize embalming at the above named funeral establishment. City ____________, State ___, Phone (________)
Date and time authorization granted:___________________________
Signature of funeral establishment representative accepting authorization.
I declare under penalty of perjury that the foregoing is true and correct. Executed this _____ day of ________________, ___, at City ________, State ______.

(s) ______________________________                          
NOTE

Authority cited: Sections 7606 and 7616, Business and Professions Code. Reference: Section 7606, Business and Professions Code.
HISTORY

1. New section filed 6-22-79; effective thirtieth day thereafter (Register 79, No. 25).
2. Amendment filed 7-3-80; effective thirtieth day thereafter (Register 80, No. 27).
3. Amendment of section and Note filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
4. Change without regulatory effect amending first paragraph filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1215. Attire While Embalming.
History

Every person, while engaged in actually embalming human remains, shall be attired in a clean and sanitary smock or gown covering the person from neck to below the knees, and shall, while so engaged, wear impervious gloves; and the body being embalmed shall at all times be so covered as to insure the privacy of said body.
HISTORY

1. Change without regulatory effect amending section filed 4-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 16).
§1216. Sanitation.
Note     •     History

(a) All preparation, embalming or storage room shall, at all times, be kept and maintained in a clean and sanitary condition.
(b) Every preparation, embalming or storage room shall be provided with proper and convenient receptacles for refuse, bandages, cotton and other waste materials and supplies. All such waste materials shall be disposed of in accordance with State and local health and sanitation requirements or in such a manner as not to endanger the public health and safety.
(c) All instruments, appliances and equipment used in the embalming or other preparation and handling of human remains shall be thoroughly cleansed and disinfected immediately at the conclusion of each individual case.
(d) All areas of a funeral establishment which are open to public use or occupancy shall be kept and maintained in a clean and orderly condition so as not to endanger the public health and safety.
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Sections 7606 and 7707, Business and Professions Code.
HISTORY

1. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
2. Change without regulatory effect amending subsection (c) filed 4-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 16).
§1217. Preparation or Storage Room and Destruction of Waste Materials. [Repealed]
History

HISTORY

1. Amendment filed 11-14-57; effective thirtieth day thereafter (Register 57, No. 20).
2. Amendment filed 2-11-75 as an emergency; effective upon filing. Certificate of Compliance included (Register 75, No. 7).
3. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1218. Sanitary Condition of Mortuaries. [Repealed]
History

HISTORY

1. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1219. Embalming Table. [Repealed]
History

HISTORY

1. Amendment filed 11-14-57; effective thirtieth day thereafter (Register 57, No. 20).
2. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1220. Ventilation of Preparation Room. [Repealed]
History

HISTORY

1. Repealer filed 2-29-56; effective thirtieth day thereafter (Register 56, No. 4). Refiled 6-13-56 (Register 56, No. 12).
§1221. Care and Preparation for Burial.
Note     •     History

(a) The care and preparation for burial or other disposition of all human remains shall be strictly private, and no one shall be allowed in the embalming or storage room while human remains are being embalmed or prepared for disposition, except the licensed funeral director and his or her duly authorized officers and/or employees, licensed embalmers and their duly registered apprentices, instructors of the science of embalming in embalming schools or colleges duly accredited by the bureau and their students, and except public officials in the discharge of their duties; provided, that this rule shall not apply to duly accredited nurses employed in a case, nor to members of the immediate family of the deceased as defined by section 7100 of the Health and Safety Code.
(b) All human remains being transferred into or out of a funeral establishment or storage facility, except in a casket, shall be covered and kept out of the public view, to the extent reasonably possible.
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Sections 7606, 7616, 7704 and 7707, Business and Professions Code.
HISTORY

1. Amendment filed 2-11-75 as an emergency; effective upon filing. Certificate of Compliance included (Register 75, No. 7).
2. Editorial correction (Register 75, No. 35).
3. New subsection (b) filed 6-15-88; operative 7-15-88 (Register 88, No. 25).
4. Change without regulatory effect amending section filed 4-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 16).
5. Change without regulatory effect amending subsection (a) filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1222. Embalming Fluids.
Note     •     History

No embalming fluids shall be used in embalming which contain heavy minerals or metallic substances which have a poisonous effect, such as arsenic, lead and mercury.
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Sections 7606 and 7707, Business and Professions Code.
HISTORY

1. New section filed 8-11-53 as an emergency; designated effective 9-9-53 (Register 53, No. 13).
2. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 7).
§1223. Embalming, Preparation and Storage Rooms.
Note     •     History

(a) No embalming, preparation or storage room shall be located in any public storage, mini-storage, mini-warehouse, multi-unit storage complex or similar facility used by members of the general public for the storage of goods. Any existing embalming, preparation or storage room located in a prohibited facility shall be relocated and brought into full compliance with this section, within twelve (12) months of this subsection's effective date.
(b) Every licensed funeral establishment shall maintain in its embalming, preparation and/or storage room, a sufficient supply of a suitable and effective disinfectant to provide for the cleansing and disinfection of the facility and its contents.
(c) Every licensed funeral establishment and funeral director who holds unembalmed human remains for a period longer than twenty-four (24) hours shall cause the body to be refrigerated at an approved facility with sufficient capacity as defined under section 1223.1(d).
(d) All embalming, preparation or storage rooms shall contain only the equipment and supplies necessary for the preparation or care and handling of human remains for disposition or transportation.
(e) As used in this chapter, a storage room is a suitable room, other than a chapel, viewing or visitation room, office, supply room, closet or other room open to public access, which is used by a licensed funeral establishment for the storage or holding of human remains prior to effecting disposition. A storage room may be maintained in conjunction with an embalming or preparation room.
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Sections 7606, 7616, 7621, 7630, 7704 and 7707, Business and Professions Code.
HISTORY

1. New section filed 2-29-56; effective thirtieth day thereafter (Register 56, No. 4).
2. Amendment filed 6-13-56; effective thirtieth day thereafter (Register 56, No. 12).
3. Amendment filed 2-11-75 as an emergency; effective upon filing. Certificate of Compliance included (Register 75, No. 7).
4. Editorial correction (Register 75, No. 35).
5. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
6. Relettering of former subsections (a)-(d) to subsections (b)-(e), new subsection (a) and change without regulatory effect of subsection (e) filed 6-15-88; operative 7-15-88 (Register 88, No. 25).
7. Amendment filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
8. Change without regulatory effect amending subsection (c) filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1223.1. Shared Preparation and Storage Rooms.
Note     •     History

A licensed funeral establishment may share a preparation and/or a storage room with other licensed funeral establishments, upon approval by the bureau, under the following conditions:
(a) the licensed funeral establishments are under common ownership or have a contractual agreement to share a preparation and/or storage room;
(b) the common owners have designated one funeral establishment as the main office as defined in Section 1204(c)(2);
(c) the remaining establishments or the establishments using the facilities of the main office are within a sixty (60) mile radius of the main office;
(d) the licensed funeral establishment in which the common storage room is located has designated a separate labeled area within the storage room for each of the establishments using its facilities and has sufficient capacity to accommodate each licensee using the space;
(e) An identification and labeling system shall be in place to effectively identify the human remains being prepared and/or stored in the facilities;
(f) The facilities meet the requirements as specified in Section 7616 of the Business and Professions Code and have passed inspection by the bureau to determine its suitability for shared purposes;
(g) A licensed funeral establishment requesting permission from the bureau to share their preparation and/or storage room, must make a request, in writing, on a form 21 F-12 (4/93) provided by the bureau. An inspection will then be scheduled and completed to ensure that the above mentioned conditions have been met before the establishment can begin sharing its facilities.
NOTE

Authority cited: Sections 7606 and 7616, Business and Professions Code. Reference: Sections 7606, 7616, 7621, 7630, 7704 and 7707, Business and Professions Code.
HISTORY

1. New section filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
2. Change without regulatory effect amending first paragraph and subsections (c) and (f)-(g) filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1224. Equipment Requirements. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7606, Business and Professions Code.
HISTORY

1. New section filed 2-29-56; effective thirtieth day thereafter (Register 56, No. 4). Refiled 6-13-56 (Register 56, No. 12).
2. Amendment filed 2-11-75 as an emergency; effective upon filing. Certificate of Compliance included (Register 75, No. 7).
3. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
Article 4. Apprentices
§1225. Review of Apprentice Embalmer Registration Applications; Processing Time.
Note     •     History

(a) The bureau shall inform an applicant for registration as an apprentice embalmer, in writing, within seven (7) days whether the application is complete and acceptable for filing or is deficient and what specific information is required to complete the application.
(b) The bureau shall make a decision within sixty (60) days after the date the application is deemed to be completed whether the applicant meets the requirements for registration. “Completion of an application” means that a completed application form together with all required information, documentation and fees has been filed by the applicant.
(c) The minimum, median and maximum processing times for an application for registration as an apprentice embalmer from the date of acceptance and filing of the initial application until the bureau makes a final decision on the application are:
(1) Minimum--one (1) day.
(2) Median--ten (10) days.
(3) Maximum--sixty (60) days.
NOTE

Authority cited: Section 7606, Business and Professions Code; and Section 15376, Government Code. Reference: Section 7661, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. Originally published 12-5-46 (Title 16).
2. Amendment filed 11-4-47 as an emergency (Register 10, No. 2).
3. Amendment filed 12-7-65; effective thirtieth day thereafter (Register 65, No. 24).
4. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
5. Change without regulatory effect amending section and Note filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1226. Record of Changes in Apprenticeship. [Repealed]
History

HISTORY

1. Originally published 12-5-46 (Title 16).
2. Amendment filed 11-4-47 as an emergency (Register 10, No. 2). 3. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
3. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1227. Leave of Absence by Apprentice. [Repealed]
History

HISTORY

1. Originally published 12-5-46 (Title 16).
2. Amendment filed 11-4-47 as an emergency (Register 10, No. 2).
3. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1228. Completion of Apprenticeship. [Repealed]
History

HISTORY

1. Originally published 12-5-46 (Title 16).
2. Amendment filed 11-4-47 as an emergency (Register 10, No. 2).
3. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1229. Embalming by an Apprentice.
Note     •     History

(a) An apprentice shall embalm or assist in embalming at least the first twenty-five (25) of the one hundred (100) bodies required pursuant to Section 7643(d), Article 3, Chapter 12, Division 3 of the Business and Professions Code, only under the direct supervision and in the presence of his or her designated supervising embalmer.
(b) When an apprentice embalms a body out of the presence of the embalmer under whom he or she is apprenticed, the death certificate shall not be signed by such embalmer until he or she makes a personal inspection, in the presence of the apprentice, of the body as embalmed and passes thereon.
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Sections 7606, 7607, 7648, 7649 and 7660, Business and Professions Code.
HISTORY

1. Originally published 12-5-46 (Title 16).
2. Amendment filed 11-4-47 as an emergency (Register 10, No. 2).
3. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
4. Change without regulatory effect amending subsection (a) filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1230. Training Apprentices.
Note     •     History

(a) A licensed funeral establishment may, upon approval by the bureau, request to be treated in aggregate for the purpose of training apprentices pursuant to the provisions of Section 7670(b) of the Business and Professions Code under the following conditions:
(1) the licensed funeral establishments are under common ownership;
(2) the common owners have designated one (1) funeral establishment as the main office as defined in Section 1204(c)(2), and;
(3) the remaining establishments must be within a sixty (60) mile radius of the main office.
(b) The licensed funeral establishments requesting permission from the bureau to be treated in aggregate, shall make a request, in writing, on a form 21 A-12 (12/96) provided by the bureau. An inspection shall be scheduled and completed to ensure that the requirements of this section and section 7670 of the Business and Professions Code have been satisfied prior to approval by the bureau.
NOTE

Authority cited: Sections 7606 and 7670, Business and Professions Code. Reference: Sections 7606, 7607, 7648, 7649, 7660 and 7670, Business and Professions Code.
HISTORY

1. New section filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
2. Change without regulatory effect amending section filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
Article 5. Embalmer's Licenses
§1234. Review of Embalmer's License Application; Processing Time.
Note     •     History

(a) The bureau shall inform an applicant for licensure as an embalmer, in writing, within ten (10) days whether the application is complete and accepted for filing or is deficient and what specific information is required to complete the application.
(b) The bureau shall make a decision within one hundred twenty (120) days after the date the application is deemed to be complete whether the applicant meets the requirements for licensure. “Completion of an application” means that a completed application form, together with all required information, documentation and fees, has been filed by the applicant. This period may be extended by that time necessary for retaking or rescheduling an application or if the applicant is delayed in completing any required term of apprenticeship or meeting any educational requirements.
(c) The minimum, median and maximum processing times for an application for licensure as an embalmer from the date of acceptance and filing of the initial application until the bureau makes a final decision on the application are:
(1) minimum--ninety (90) days.
(2) median--one hundred five (105) days.
(3) maximum--one hundred twenty (120) days.
These processing times apply to those applicants who have completed the required term of apprenticeship and take and pass the first available licensing examination.
NOTE

Authority cited: Section 7606, Business and Professions Code; and Section 15376, Government Code. Reference: Section 7642, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. Amendment filed 12-7-65; effective thirtieth day thereafter (Register 65, No. 24).
2. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
3. Change without regulatory effect amending section filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1235. Examination Prior to Completion of Apprenticeship.
History

Applicants for an examination for embalmer's license shall be permitted to take such examination after they have completed their embalming college course, notwithstanding that they may not, at such time, have completed their embalming apprenticeship and in the event of passing such examination the embalmer's license shall be withheld until apprenticeship has been served in full and all other requirements of the law complied with.
HISTORY

1. Originally published 12-5-46 (Title 16).
2. Amendment filed 11-4-47 (Register 10, No. 2).
§1236. Approval of Embalming Schools. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Sections 7616, 7643 and 7646, Business and Professions Code.
HISTORY

1. Amendment filed 3-1-74; effective thirtieth day thereafter (Register 74, No. 9). For prior history, see Register 56, No. 12.
2. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1237. Conduct of Examination. [Repealed]
History

HISTORY

1. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1238. Same: Applicant to Furnish Pen and Ink. [Repealed]
History

HISTORY

1. Amendment filed 11-14-57; effective thirtieth day thereafter (Register 57, No. 20).
2. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1239. Smoking in Examination Room Prohibited. [Repealed]
History

HISTORY

1. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
Article 5.5 Citations, Fines and Orders of Abatement
§1240. Issuance of Citations; Content.
Note     •     History

(a) The board is authorized to issue citations containing orders of abatement and assessing administrative fines for violations by any licensee of the board of any provision of the Funeral Directors and Embalmers Law or of any regulation adopted by the board, as specified in Section 1241 of this article.
(b) Each citation shall be in writing and shall describe with particularity the nature of the violation, including reference to the statute or regulation alleged to have been violated. Each citation shall contain a statement informing the cited person or entity of his, her or its right to contest the citation and to request a hearing pursuant to subdivision (b)(4) of Business and Professions Code Section 125.9, and Section 1245 of this code. Each citation may contain an assessment of an administrative fine, an order of abatement fixing a reasonable period of time for abatement of the violation, or both an administrative fine and an order of abatement. Each citation shall be served in accordance with the provisions of Section 11505(c) of the Government Code.
(d) If a hearing is not requested pursuant to subdivision (b)(4) of Business and Professions Code Section 125.9, and Section 1245 of this code, payment of any fine shall not constitute an admission of the violation charged.
NOTE

Authority cited: Sections 125.9, 125.95, 7606 and 7740, Business and Professions Code. Reference: Sections 125.9 and 125.95, Business and Professions Code.
HISTORY

1. New article heading and section filed 11-13-92; operative 12-14-92 (Register 92, No. 46). For prior history, see Register 86, No. 27.
§1241. Classes of Violations; Assessment of Fines.
Note     •     History

(a) Violations of the following code sections shall be designated Class A violations, the administrative fine for which may range from one thousand one dollars ($1,001.00) to two thousand five hundred dollars ($2,500.00):
(1) Business and Professions Code Section 7615, 7616 and 7617.
(2) Business and Professions Code Section 7632.
(3) Business and Professions Code Section 7640 and 7641.
(4) Business and Professions Code Section 7692.
(5) Business and Professions Code Section 7692.5.
(6) Business and Professions Code Section 7705.
(7) Business and Professions Code Section 7707.
(8) Business and Professions Code Section 7737.
(9) California Code of Regulations Section 1258.2.
(10) California Code of Regulations Section 1262.
(11) California Code of Regulations Section 1263(b).
(12) California Code of Regulations Section 1268.
(b) Violations of the following code sections shall be designated Class B violations, the administrative fine for which may range from five hundred one dollars ($501.00) to one thousand dollars ($1,000.00):
(1) Business and Professions Code Section 7623.
(2) Business and Professions Code Section 7629.
(3) Business and Professions Code Section 7635.
(4) Business and Professions Code Section 7685.
(5) Business and Professions Code Section 7685.1.
(6) Business and Professions Code Section 7685.2.
(7) Business and Professions Code Section 7685.3.
(8) Business and Professions Code Section 7693.
(9) Business and Professions Code Sections 7694, 7695, 7696 and 7697.
(10) Business and Professions Code Section 7699.
(11) Business and Professions Code Section 7702.
(12) Business and Professions Code Section 7706.
(13) Business and Professions Code Section 7735.
(14) California Code of Regulations Section 1204.
(15) California Code of Regulations Section 1213.
(16) California Code of Regulations Section 1214.
(17) California Code of Regulations Section 1216.
(18) California Code of Regulations Section 1221.
(19) California Code of Regulations Section 1223.
(20) California Code of Regulations Section 1223.1.
(21) California Code of Regulations Section 1229. 
(22) California Code of Regulations Section 1258.1.
(23) California Code of Regulations Section 1258.3.
(24) California Code of Regulations Section 1263(a).
(25) California Code of Regulations Section 1264.
(26) California Code of Regulations Section 1265.
(27) California Code of Regulations Section 1267.
(28) California Code of Regulations Section 1275.
(c) Violations of the following code sections shall be designated Class C violations, the administrative fine for which may range from one hundred dollars ($100.00) to five hundred dollars ($500.00):
(1) Business and Professions Code Section 7628.
(2) Business and Professions Code Section 7633.
(3) Business and Professions Code Section 7665.
(4) Business and Professions Code Section 7668.
(5) Business and Professions Code Section 7670.
(6) Business and Professions Code Section 7680.
(7) Business and Professions Code Section 7700.
(8) Business and Professions Code Sections 7701 and 7701.5.
(9) Business and Professions Code Section 7704.
(10) California Code of Regulations Section 1203.
(11) California Code of Regulations Section 1209.
(12) California Code of Regulations Section 1211.
(13) California Code of Regulations Section 1215. 
(14) California Code of Regulations Sections 1255 and 1256.
(15) California Code of Regulations Section 1258.
(16) California Code of Regulations Section 1269.
(17) California Code of Regulations Section 1271.
(d) In assessing an administrative fine, or in issuing an order of abatement, the following factors shall be given due consideration:
(1) The gravity of the violation.
(2) The good or bad faith of the cited person or entity.
(3) The history of previous violations.
(4) Evidence that the violation was or was not willful.
(5) The extent to which the cited person or entity has cooperated with the board's investigation.
(6) The extent to which the cited person or entity has mitigated or attempted to mitigate any damage or injury caused by the violation.
(7) Such other matters as may be proper.
NOTE

Authority cited: Sections 125.9, 125.95, 7606 and 7740, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 11-13-92; operative 12-14-92 (Register 92, No. 46). For prior history, see Register 86, No. 27.
2. New subsections (a)(9)-(10), (b)(6), and (b)(17)-(18), subsection renumbering and amendment of Note filed 7-10-95, operative 8-9-95 (Register 95, No. 28).
3. New subsections (b)(3), (b)(14)-(15) and (b)(19)-(20), subsection renumbering, and repealer of subsections (c)(13)-(14) and (c)(16) and subsection renumbering filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1242. Order of Abatement; Extension of Time.
Note     •     History

If a cited person or entity who has been issued an order of abatement is unable to complete the correction within the time specific in the citation because of conditions beyond his, her or its control after exercise of reasonable diligence, the person or entity cited may request an extension of time in which to complete the correction. Such a request shall be in writing.
NOTE

Authority cited: Sections 125.9, 125.95, 7606 and 7740, Business and Professions Code. Reference: Sections 125.9 and 125.95, Business and Professions Code.
HISTORY

1. New section filed 11-13-92; operative 12-14-92 (Register 92, No. 46). For prior history, see Register 86, No. 27.
§1243. Assessment of Fine; Failure to Pay.
Note     •     History

When a citation containing an assessment of an administrative fine is not contested or if the citation and fine is contested and the licensee cited does not prevail, failure of the licensee to pay the fine within 30 days of the issuance or affirmation shall constitute a violation and may result in disciplinary action being taken by the board. When a citation is not contested and a fine is not paid, the full amount of the fine shall be added to the fee for renewal of the license and the license shall not be renewed without payment of the renewal fee and fine.
NOTE

Authority cited: Sections 125.9, 125.95, 7606 and 7740, Business and Professions Code. Reference: Sections 125.9 and 125.95, Business and Professions Code.
HISTORY

1. New section filed 11-13-92; operative 12-14-92 (Register 92, No. 46). For prior history, see Register 86, No. 27.
§1244. Appeal of Citation.
Note     •     History

(a) Any person or entity served with a citation pursuant to this article and Section 125.9 and 125.95 of the Business and Professions Code may contest the citation by filing with the board, within 30 days of the date of issuance of the citation, a written request for a hearing. All hearings under this section shall be conducted in accordance with the provisions of Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code. The cited person or entity may contest any or all of the following aspects of the citation:
(1) The occurrence of a violation of the Funeral Directors and Embalmers Law or of a regulation adopted by the board.
(2) The reasonableness of the order of abatement, if an order of abatement is included in the citation.
(3) The reasonableness of the period of time allowed for correction in an order of abatement, if an order of abatement is included in the citation.
(4) The amount of the fine, if a fine is included in the citation.
(b) Failure of a cited person or entity to appear at the time and location of the requested hearing shall be deemed a withdrawal of his, her or its appeal, and the citation shall constitute a final order of the board and shall not be subject to appeal or review.
NOTE

Authority cited: Sections 125.9, 125.95, 7606 and 7740, Business and Professions Code. Reference: Sections 125.9 and 125.95, Business and Professions Code.
HISTORY

1. New section filed 11-13-92; operative 12-14-92 (Register 92, No. 46). For prior history, see Register 86, No. 27.
§1245. Informal Office Conference.
Note     •     History

(a) Without waiving his, her or its right to contest the citation pursuant to subdivision (b)(4) of Business and Professions Code Section 125.9, and Section 1244 of this code, the cited person or entity may, within ten (10) days after service of the citation, notify the board in writing of his, her or its request for an informal office conference regarding the violations charged in the citation.
(b) An informal office conference shall be held with the cited person or entity or his, her or its legal counsel or authorized representative, within 30 days of receipt of the request. After conclusion of the informal office conference, the citation may be affirmed, modified or dismissed. The cited person or entity shall be notified of the actions taken, in writing, within 15 days of the conclusion of the conference, stating the reasons for the actions, the findings, and the decision. This written notification shall be served in accordance with the provisions of Section 11505(c) of the Government Code. This decision shall be deemed to be a final order with regard to the citation issued, including the fine levied and the order of abatement.
(c) The person or entity cited does not waive his, her or its right to contest the citation pursuant to subdivision (b)(4) of Business and Professions Code Section 125.9, and Section 1245 of this code, by requesting an informal office conference after which the citation is affirmed. However, if the citation is dismissed after an informal office conference, any request for a hearing on the matter shall be deemed to be withdrawn. If the citation, including any fine levied or any order of abatement issued, is modified, the citation originally issued shall be considered withdrawn and a new citation issued. If a hearing is requested for a subsequent citation, it shall be requested in accordance with subdivision (b)(4) of Business and Professions Code Section 125.9 and Section 1245 of this code.
NOTE

Authority cited: Sections 125.9, 125.95, 7606 and 7740, Business and Professions Code. Reference: Sections 125.9 and 125.95, Business and Professions Code.
HISTORY

1. New section filed 11-13-92; operative 12-14-92 (Register 92, No. 46). For prior history, see Register 86, No. 27.
§1246. Citations; Unlicensed Activity.
Note     •     History

The board is authorized to issue citations containing orders of abatement and assessing administrative fines against unlicensed persons, partnerships, corporations, associations or other organizations who engage in any activity including advertising for which licensure is required as a funeral establishment, funeral director, embalmer, or an apprentice embalmer under  the Funeral Directors and Embalmers Law. The citation may include a fine for such unlicensed activity which may range from one thousand one dollars ($1,001.00) to two thousand five hundred dollars ($2,500.00). The provisions of Sections 125.9 of the Business and Professions Code shall apply to  the issuance of citations for unlicensed activity under this section. The sanctions authorized under this section shall be separate from and in addition to any other civil or criminal remedies.
NOTE

Authority cited: Sections 125.9, 125.95 and 7606, Business and Professions Code. Reference: Sections 125.9 and 125.95, Business and Professions Code.
HISTORY

1. New section filed 11-13-92; operative 12-14-92 (Register 92, No. 46). 
2. Change without regulatory effect amending section filed 4-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 16).
Article 6. Procedure Before the Board
§1248. Calendar of Cases.
History

HISTORY

1. Originally published 12-5-46 (Title 16).
2. Amendment filed 11-4-47 as an emergency (Register 10, No. 2).
3. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1249. Hearings to Be Public.
History

HISTORY

1. Repealer filed 11-14-57; effective thirtieth day thereafter (Register 57, No. 20).
§1250. Reinstatement of Licenses.
History

HISTORY

1. Originally published 12-5-46 (Title 16).
2. Amendment filed 11-4-47 (Register 10, No. 2).
3. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1251. Proof of Law Violation.
History

HISTORY

1. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1252. Substantial Relationship Criteria.
Note     •     History

For the purposes of denial, suspension, or revocation of a license pursuant to Division 1.5 (commencing with Section 475) of the Business and Professions Code, a crime or act shall be considered to be substantially related to the qualifications, functions or duties of a licensed funeral establishment, licensed funeral director, or licensed embalmer if to a substantial degree it evidences present or potential unfitness of a licensed funeral establishment, licensed funeral director, or licensed embalmer to perform the functions authorized by his license in a manner consistent with the public health, safety, or welfare. Such crimes or acts shall include but not be limited to those involving the following:
(a) Conviction of a crime involving fiscal dishonesty.
(b) Any violation of the provisions of Chapter 12, Division 3 of the Business and Professions Code.
NOTE

Authority cited: Sections 482, 492 and 7606, Business and Professions Code.
HISTORY

1. New section filed 3-22-73 as an emergency; effective upon filing (Register 73, No. 12).
2. Certificate of Compliance filed 5-25-73 (Register 73, No. 21).
3. Repealer and new section filed 2-11-75 as an emergency; effective upon filing. Certificate of Compliance included (Register 75, No. 7).
4. Amendment of first paragraph and Note filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1253. Criteria for Rehabilitation.
Note     •     History

When considering the denial of a license under Section 480 of the Business and Professions Code, the Board, in evaluating the rehabilitation of the applicant and his present eligibility for a license, will consider the following criteria:
(a) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(b) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the Business and Professions Code.
(c) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).
(d) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(e) Evidence, if any, of rehabilitation submitted by the applicant.
NOTE

Authority cited: Sections 488, 492 and 7606, Business and Professions Code.
HISTORY

1. New section filed 3-22-73 as an emergency; effective upon filing (Register 73, No. 12).
2. Certificate of Compliance filed 5-25-73 (Register 73, No. 21).
3. Repealer and new section filed 2-11-75 as an emergency; effective upon filing. Certificate of Compliance included (Register 75, No. 7).
§1253.5. Rehabilitation Criteria for Suspensions or Revocations.
Note     •     History

(a) When considering the suspension or revocation of a license on the ground that a licensed funeral establishment, licensed funeral director, or licensed embalmer has been convicted of a crime, the Board, in evaluating the rehabilitation of such person and his eligibility for a license, will consider the following criteria:
(1) Nature and severity of the act(s) or offense(s).
(2) Total criminal record.
(3) The time that has elapsed since commission of the act(s) or offense(s).
(4) Whether the licensee has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against the licensee.
(5) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(6) Evidence, if any, of rehabilitation submitted by the licensee.
(b) Petition for Reinstatement. When considering a petition for reinstatement of a license under the provisions of Section 11522 of the Government Code, the Board shall evaluate evidence of rehabilitation submitted by the petitioner considering those criteria specified in Section 1253 of this article.
NOTE

Authority cited: Sections 7606 and 7740, Business and Professions Code. Reference: Sections 480, 7615, 7616, 7691, 7711, 7735, 7736, 7737 and 7738, Business and Professions Code.
HISTORY

1. New section filed 2-11-75 as an emergency; effective upon filing. Certificate of Compliance included (Register 75, No. 7).
2. Amendment of subsection (a) filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1253.6. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et. seq.), the board shall consider the disciplinary guidelines entitled “A Manual of Disciplinary Guidelines for  Funeral Establishments, Funeral Directors, Embalmers, and Apprentice Embalmers (September 1997)” which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the board in its sole discretion determines that the facts of the particular case warrant such a deviation--for example, the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Section 7606, Business and Professions Code; and Section 11400.20, Government Code. Reference: Sections 11400.20 and 11425.50(e), Government Code.
HISTORY

1. New section filed 7-20-98; operative 8-19-98 (Register 98, No. 30).
Article 7. Miscellaneous
§1254. Abandonment of Applications.
Note     •     History

If an applicant for licensure as an embalmer or funeral director fails to take a required examination within one year after being notified of eligibility, the application for licensure and/or examination shall be considered to have been abandoned. An application subsequent to the abandonment of a previous application shall be considered a new application and must be accompanied by the required fee.
If an applicant for licensure as an embalmer or funeral director who has taken and passed an examination after January 1, 1997, fails to apply for licensure within 12 months of passing the examination, the application and examination results shall be considered to have been abandoned. An application subsequent to the abandonment of a previous application and/or examination shall be considered a new application and must be accompanied by the required fees. Apprentice Embalmers are exempt from this provision pursuant to Section 7664 of the Business and Professions Code.
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Sections 7620, 7622, 7642 and 7646, Business and Professions Code.
HISTORY

1. Repealer of former Section 1254, and renumbering and amendment of former Section 1245 to Section 1254 filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27). For prior history, see Register 65, No. 24. and 7740, Business and Professions Code.
2. New second paragraph filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1255. Posting Rules.
Note     •     History

A placard upon which Section 1221 of these rules shall be printed must be fastened to the outside of all doors leading directly into the preparation, embalming, and storage rooms in every funeral establishment.
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Sections 7606, 7615, 7616, 7640, 7641, 7704 and 7707, Business and Professions Code; and Section 7100, Health and Safety Code.
HISTORY

1. Amendment of section and new Note filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1256. Failure to Comply with Section 1255.
Note     •     History

Any licensed funeral establishment or licensed funeral director failing to comply with the provisions of Section 1255 shall be subject to disciplinary action by the Board.
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Sections 7704 and 7707, Business and Professions Code.
HISTORY

1. Amendment of section and new Note filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1257. Schedule of Fees.
Note     •     History

Pursuant to the provisions of Section 7729 of Division 3, Chapter 12, Article 8, of the Business and Professions Code, fees are hereby fixed according to the following schedule:
(a) The application fee for a funeral director's license is two hundred dollars ($200.00).
(b) The application fee for a funeral establishment license is four hundred dollars ($400.00).
(c) The application fee for change of location of a funeral establishment's license is two hundred fifty dollars ($250.00).
(d) The application fee for permission to assign a funeral establishment's license is three hundred dollars ($300.00).
(e) The license renewal fee payable by a licensed funeral director is two hundred dollars ($200.00). The fee for a delinquent renewal of a funeral director's license is three hundred dollars ($300.00).
(f) The license renewal fee payable by a licensed funeral establishment is four hundred dollars ($400.00). The fee for a delinquent renewal of a funeral establishment license is six hundred dollars ($600.00).
(g) The application fee for an embalmers license and for the license examination is one hundred fifty dollars ($150.00).
(h) The renewal fee payable by a licensed embalmer is one hundred dollars ($100.00). The fee for a delinquent renewal of an embalmer's license is one hundred fifty dollars ($150.00).
(i) The application fee for a certificate of registration as an apprentice embalmer is sixty dollars ($60.00).
(j) The fee for an application by a funeral establishment for approval to train apprentice embalmers and for renewal of that approval is one hundred dollars ($100.00).
(k) The application fee for a funeral director's examination is one hundred dollars ($100.00).
(l) The fee for a timely filing of an individual report or a combined report on preneed trust funds, as specified, is two hundred dollars ($200.00). The fee for a late filing of any report on preneed trust funds is three hundred dollars ($300.00).
(m) The application fee for permission to change the name appearing on a funeral establishment's license is two hundred dollars ($200.00). The fee for permission to change the name appearing on any other license or certificate is forty dollars ($40.00).
(n) The application fee for a duplicate funeral director's license, a duplicate funeral establishment's license, a duplicate embalmer's license, or a duplicate certificate of registration as an apprentice embalmer, is forty dollars ($40.00).
(o) The fee for filing a report of a change of corporate officers, designated managing funeral director, or preneed trust fund trustees, is fifty dollars ($50.00).
NOTE

Authority cited: Sections 7606 and 7729, Business and Professions Code. Reference: Sections 7618, 7622.5, 7628, 7630, 7642, 7661, 7670, 7725, 7725.2, 7725.5, 7729 and 7740.5, Business and Professions Code.
HISTORY

1. New section filed 12-2-75; effective thirtieth day thereafter (Register 75, No. 49). For former history, see Register 69, No. 6.
2. Repealer and new section filed 12-19-91; operative 12-19-91 (Register 92, No. 11).
3. Amendment filed 12-30-96 as an emergency; operative 1-1-97 (Register 97, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-1-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-30-96 order, including additional amendment of subsections (l) and (o), transmitted to OAL 4-25-97 and filed 6-5-97 (Register 97, No. 23).
§1258. Notice Regarding Sealing Device.
Note     •     History

(a) There shall be prominently displayed in or on each casket having or represented as having a sealing device of any kind, a notice, clearly visible to the public, containing the following statement:
“THERE IS NO SCIENTIFIC OR OTHER EVIDENCE THAT ANY CASKET WITH A SEALING DEVICE WILL PRESERVE HUMAN REMAINS.”
The statement shall be printed in at least ten point, boldface type on a card of no less than three inches by five inches in dimension and no other notice, statement, price, information, picture or other printing, other than borders or decorations, shall appear on the card. The print shall be in a color that contrasts with the background on which it is printed. If the card is folded in any manner, the section containing the statement shall be no less than three inches by five inches in dimension and unfolded.
(b) In cases where caskets are displayed in or sold from catalogues, the notice required in subsection (a) above shall appear on a page at the beginning of any such catalogue containing such casket or caskets. The notice shall be in ten point boldface type or larger and no other notice, statement, price, information, picture or other printing, other than borders or decorations, shall appear on the page.
(c) The notice required in subsection (a) above shall also be placed in 8-point boldface type or larger at the beginning of the written statement or list which identifies a particular casket or caskets by price required by Business and Professions Code section 7685.
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Section 7606, Business and Professions Code.
HISTORY

1. New section filed 2-15-80; effective thirtieth day thereafter (Register 80, No. 7).
2. Designation and amendment of subsection (a) and new subsections (b)-(c) filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
3. Amendment of subsection (a) filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1258.1. Casket Price Lists, Price Tags, Price Ranges and Display.
Note     •     History

(a) For the purposes of Business and Professions Code section 7685 and this section, the term “provide” shall mean to give for retention to persons who inquire in person about funeral arrangements or the prices of funeral goods or services.
(b) For the purposes of Business and Professions Code sections 7685 and 7685.1(a), casket descriptions shall be sufficiently descriptive so as to provide a reasonably accurate impression of the casket including its color. The color may be expressed in either the manufacturer's color or generic color. The color description of wood caskets shall specify whether the finish is dark, medium or light.
(c) The statement regarding the price range for all caskets offered for sale, required pursuant to Business and Professions Code section 7685, shall:
(1) Differentiate between the price range for adult caskets, the price range for infant and child caskets, the price range for rental caskets, and the price range for alternative containers.
(2) Include all caskets that are regularly offered for sale.
(d) The price range required by (c)(1) above shall be restated at the beginning of the casket price list required by Business and Professions Code section 7685.
(e) All caskets and alternative containers regularly offered for sale shall be either physically displayed in the funeral establishment casket selection room or displayed photographically.
(f) The provisions of Business and Professions Code section 7685.1(a) shall be applicable to caskets regularly offered for sale and displayed by catalog, by photograph and physically.
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Sections 7606, 7685 and 7685.1, Business and Professions Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Amendment of subsection (e) filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1258.2. Rental Caskets.
Note     •     History

(a) A rental casket is a specially designed device used to conceal a rental casket insert containing human remains, for purposes of viewing and/or funeral or other ceremony, and may give the outward appearance of being a casket. No part of a rental casket, including its lining, shall come into contact with any human remains placed therein or placed within a rental casket insert placed therein, unless that part or lining is disposed of with the rental casket insert and human remains.
(b) For the purposes of Business and Professions Code section 7702, a casket is a rigid container which is designed for the encasement of human remains and which is usually constructed of wood, metal, fiberglass, plastic, or like material, and ornamented and lined with fabric.
(c) A rental casket insert is an enclosure without ornamentation which has an interior lining and which is designed for the encasement of human remains for burial, cremation, or transit.
(d) The provisions of Business and Professions Code section 7702 shall not be applicable to rental caskets, as described and defined in subsection (a) of this section, if the purchaser/renter is notified in writing prior to entering into any agreement that the rental casket is designed to be reused and may have previously been used and if the purchaser/renter does not object to the previous use and/or reuse. The purchaser/renter shall acknowledge the notification and express agreement in writing.
(e) A new rental casket insert shall be used for each human remains displayed in a rental casket.
(f) No rental casket shall be used or reused after it has been soiled, stained or otherwise contaminated by or from any human remains placed therein or placed within a rental casket insert placed therein.
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Sections 7606 and 7702, Business and Professions Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
§1258.3. Cemetery Board Notification.
Note     •     History

The statement required by Business and Professions Code section 9662 shall be printed on the first page of any contract for funeral goods and services offered by a funeral establishment which contains charges for both funeral goods and services and cemetery or crematory goods and services.
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Section 7606, Business and Professions Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Amendment of first paragraph and repealer of second paragraph filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1258.4. Statement of Disclosure of Preneed Agreement.
Note     •     History

The statement on the general price list required by Business and Professions Code Section 7685(b) shall be made on the first page of the list, and shall be separate and apart from any other information on the list, and shall state:
“Prior to drafting any contract for goods or services, the responsible party or the decedent's survivor who is handling the funeral arrangements is entitled to receive a copy of any preneed agreement in the possession of the funeral establishment that has been signed and paid for, in full or in part, by or on behalf of the decedent.”
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Sections 7606, 7685 and 7745, Business and Professions Code.
HISTORY

1. New section filed 5-13-2004; operative 6-12-2004 (Register 2004, No. 20).
§1259. License Expiration and Renewal Dates.
Note     •     History

(a) On and after January 1, 1992, all renewable licenses issued under Chapter 12 of Division 3 of the Business and Professions Code, shall expire annually on the last day of the month in which the license was originally issued, if not renewed.
(b) Any licensee who has renewed a license for the 1991 license year shall be required to renew that license for not less than seven (7) months nor more than eighteen (18) months based on its next expiration date under subsection (a). For the purpose of license renewal under this subsection, the applicable renewal fee shall be prorated on a monthly basis and one twelfth of the applicable fee shall be payable for each month or any portion of a month.
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Sections 152.6, 7606, 7725, 7725.2, 7725.3, 7725.4, 7725.5 and 7729, Business and Professions Code.
HISTORY

1. New section filed 9-66-66; effective thirthieth day thereafter (Register 66, No. 31).
2. Repealer filed 2-5-69; effective thirthieth day thereafter (Register 69, No. 6).
3. New section filed 12-19-91; operative 12-19-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 11).
Article 8. Preneed Funds and Disclosure of Preneed Agreements
§1261. Exempt Preneed Arrangements.
Note     •     History

A pre--need arrangement, contract or plan subject to the provisions of Business and Professions Code Division 3, Chapter 12, Article 9 (the Short Act) does not include an arrangement wherein:
(a) The funeral establishment's client directly deposits his or her own money in a bank or savings institution trust account in the name of the client as trustee for the funeral establishment, provided that, until death, the client retains the exclusive power to hold, manage, pledge, and invest the funds in the account and may revoke the tentative trust and withdraw the funds, in whole or in part, at any time; and
(b) There is no delivery whatsoever to the funeral establishment of money to pay for the services or merchandise, until such services or merchandise have been provided.
Delivery of money to a funeral establishment within the meaning of this rule and Business and Professions Code Section 7735 includes direct or indirect delivery to the funeral establishment, or to any of the funeral establishment's agents or employees.
NOTE

Authority cited: Sections 7606 and 7740, Business and Professions Code. Reference: Sections 7735 and 7740, Business and Professions Code.
HISTORY

1. New NOTE filed 6-17-77; effective thirtieth day thereafter (Register 77, No. 25). For prior history, see Register 77, No. 9.
2. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
3. Change without regulatory effect amending article heading, section heading and section filed 4-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 16).
4. Amendment of article heading filed 5-13-2004; operative 6-12-2004 (Register 2004, No. 20).
§1262. Delivery of Merchandise.
Note     •     History

(a) Delivery of merchandise within the meaning of Business and Professions Code Section 7741 shall mean actual personal delivery to a purchaser, trustor or beneficiary of funeral merchandise that is used or is intended to be used in connection with a preneed arrangement or any agreement collateral thereto. Any payment or payments received for funeral merchandise, where actual personal delivery of that merchandise will be delayed, shall be held in a trust as provided in Business and Professions Code, Division 3, Chapter 12, Article 9, until that merchandise is actually and personally delivered to, and is in the immediate possession of, the purchaser.
(b) Neither the delivery of a warehouse receipt, nor any other form of constructive delivery shall constitute delivery of funeral merchandise within the meaning of Section 7741.
(c) Funeral merchandise includes, but is not limited to, caskets, alternative containers, clothing, printed materials and any other merchandise usually sold by a funeral establishment for use in connection with the funeral or preparation for disposition of human remains.
NOTE

Authority cited: Sections 7606 and 7740, Business and Professions Code. Reference: Sections 7606, 7735, 7740 and 7741, Business and Professions Code.
HISTORY

1. Amendment and renumbering as Section 1270 and new section filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
3. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
4. Change without regulatory effect amending subsection (c) filed 4-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 16).
§1263. Investment of Funds Allowable.
History

(a) The trust funds shall be invested and reinvested, and kept invested in:
(1) Bonds of or securities guaranteed by the United States or an Agency thereof or this State, or of any County, City, or City and County in this State.
(2) Bonds which are legal investments for commercial banks in this State.
(3) Certificates of deposit or other interest-bearing accounts in any bank in this State insured by the Federal Deposit Insurance Corporation.
(4) Investment certificates or shares in any state or federally chartered savings institution insured by the Federal Savings and Loan Insurance Corporation.
(5) Investments of the type and in the manner as provided in Section 15001 et. seq. of the Probate Code.
(b) No loan shall be made to any licensed funeral establishment; nor to any owner, director, officer, partner or stockholder of any licensed funeral establishment; or to trustees of the trust funds; or to partners, relatives, agents, or employees of any licensed funeral establishment or of such trustees.
Note: Specific reference: Sections 7735, 7737 and 7737.5, Business and Professions Code.
HISTORY

1. Renumbering from Section 1266 filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Amendment filed 6-17-77; effective thirtieth day thereafter (Register 77, No. 25).
3. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
4. Change without regulatory effect amending subsections (a)(4), (a)(5) and (b) filed 4-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 16).
§1264. Termination of the Trust.
Note     •     History

All written requests for revocation, by the trustor, of a trust shall be honored within fifteen (15) days of receipt thereof.
NOTE

Authority cited: Sections 7606 and 7740, Business and Professions Code. Reference: Sections 7735 and 7737, Business and Professions Code.
HISTORY

1. Amendment and renumbering as Section 1272 and new section filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Amendment filed 6-17-77; effective thirtieth day thereafter (Register 77, No. 25).
3. Amendment filed 4-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1265. Use of Income.
Note     •     History

The annual fee for administering a trust, as provided in Business and Professions Code, Division 3, Chapter 12, Article 9, Section 7735, may be recovered by withdrawals from current trust income, but total withdrawals in any year shall not exceed four percent (4%) of the trust balance on December 31 of that year, or on the cancellation or maturity date during that year, of all payments deposited into trust, plus all prior years accumulated income. Any remaining current income shall be accumulated in trust. 
NOTE

Authority cited: Sections 7606 and 7740, Business and Professions Code. Reference: Sections 7735 and 7740, Business and Professions Code. 
HISTORY

1. Amendment and renumbering as Section 1267 and new section filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9). 
2. Amendment filed 6-17-77; effective thirtieth day thereafter (Register 77, No. 25). 
3. Amendment filed 10-5-81; effective thirtieth day thereafter (Register 81, No. 41). 
4. Amendment filed 1-12-90; operative 2-11-90 (Register 90, No. 3). 
§1266. Use of Income upon Revocation.
History

HISTORY

1. New section filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1267. Keeping of Pre--Need Books, Accounts, Contracts, and Records.
Note     •     History

Each funeral establishment charged with the reporting of pre--need funds hereunder shall at all times maintain or cause the trustee of the pre--need trust to maintain in California and available for inspection by the Board during reasonable working hours, complete financial records of all pre--need contracts and arrangements, which records shall be established and maintained in accordance with generally accepted accounting principles. Such records shall include the following, provided, however, that records may otherwise be established and maintained in accordance with generally accepted accounting principles:
(a) An individual trustor contract, plan or agreement.
(b) An individual trustor or beneficiary ledger account which shall set forth the amount of the contract, all payments received, all income prorated in accordance with the ratio which the trust corpus of the account bears to the entire corpus invested as set forth in Section 1265.
(c) A cash receipts journal which shall show each payment received and shall be totalled monthly.
(d) A cash disbursement journal which will show each withdrawal for an investment in compliance with 1263 and each disbursement to the funeral establishment for a serviced account or to the individual trustor on a cancelled account, and all withdrawals for documented expenses.
(e) In the case where a checking account is used to deposit payments received or disbursements to the funeral establishment and/or the funeral director, a trustor or an investment, it shall be designated as a trust fund account, and be reported as such. It shall be reconciled each month with the balance shown in the trust account by accounting for checks not yet presented and outstanding, bank deposits not shown on the bank statements, and other adjustments required.
(f) A general ledger which shall be posted monthly with respect to all accounts controlling the fiduciary relationship with the individual trusters. Such postings shall occur within 90 days after the close of each business month.
(g) A portfolio of all investments related to the trust funds.
(h) Records for serviced accounts shall include but not be limited to:
(1) A copy of the death certificate or other satisfactory evidence of the death; copies of all documents required as specified under Sections 7685 and 7685.2, Division 3, Chapter 12, Article 5.5 of the Business and Professions Code; a copy of the final arrangements (itemized); and a copy of the final statement to the family.
(2) All monies received from the trust; all monies received from the family; and all monies received from the Veterans Administration or Social Security or any other source to be applied to the final bill.
(3) A record showing credit for each of the above.
(i) Records for cancelled accounts shall include but not be limited to:
(1) A record of all income earned and documented expenses taken including a revocation fee as stated in Section 7735, Division 3, Chapter 12, Article 9, of the Business and Professions Code.
(2) A copy of the final accounting to the family with the cancelled check or withdrawal slip showing the amount refunded to the trustor.
(j) All of the foregoing records shall be retained for a period of one year after the account has been cancelled or serviced and audited by the State Board and compliance with all recommendations made and audit exceptions resolved or 7 years from the date of service or cancellation, whichever comes first.
The required books and records for more than one licensed funeral establishment may be centrally maintained at a single location in California with notification to the Board or the main office as defined in Section 1204(c)(2), provided that a monthly summary of all financial transactions pertaining to each individual trust account for each licensed funeral establishment is available, at each such establishment during reasonable working hours, to the Board or its authorized representatives; and provides further that the monthly summary contains sufficient information from which the current balance of each individual trustor's account or each individual trustor's share of any commingled trust account may be identified.
NOTE

Authority cited: Sections 7606 and 7740, Business and Professions Code. Reference: Sections 7735, 7737 and 7740, Business and Professions Code.
HISTORY

1. Amendment filed 7-3-80; effective thirtieth day thereafter (Register 80, No. 27). For prior history, see Register 72, No. 9; and 77, No. 25.
2. Amendment file 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
3. Amendment of first paragraph, subsections (d) and (e), and last paragraph filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1268. Commingling of Funds.
Note     •     History

No pre--need trust funds shall be mingled or commingled with the funds of any other person, firm, or corporation; except that, for the purpose of investment pursuant to Division 3, Chapter 12, Article 9 of the Business and Professions Code and the provisions of this Article, all pre--need funeral trust funds received and held by a single trustee or a single set of trustees, may be commingled for investment purposes.
If the Board finds that such funds have been invested in violation of this Article, it shall, by written order mailed to the person or persons in charge of such funds, require the reinvestment of such funds in conformity to this Article within 90 days from the date of such order; provided, however, that such period may be extended by the Board at its discretion.
In the enforcement of its order, the Board is authorized to bring such action as may be necessary to enforce the provisions of law subject to its jurisdiction.
NOTE

Authority cited: Sections 7606 and 7740, Business and Professions Code. Reference: Sections 7735 and 7740, Business and Professions Code.
HISTORY

1. Amendment and renumbering of former Section 1265 filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1269. Reporting of Pre--Need Funeral Trust Funds.
Note     •     History

(a) Each licensed funeral establishment and licensed funeral director who enters into any pre--need arrangements, contracts or plans described in and subject to the provisions of Article 9, Chapter 12, Division 3 of the Business and Professions Code shall file with the Board annually on or before May 1 of each year and upon transfer of license or cessation of business, a written, verified or audited report, on form 21 P-4A (1/94) prescribed and furnished by the Board, pertaining to funds received and held under such arrangements, contracts or plans. Firms utilizing a fiscal year accounting system may request permission, in writing to the Executive Officer, to file said report on a fiscal year basis and, if permission is granted, said report shall then be filed with the Board no later than 120 days from the date of the close of said fiscal year.
(b) The report required under this Article shall accompany the forms of assignment or transfer of a funeral establishment license. The report required hereunder upon cessation of business as a licensed funeral establishment shall be submitted thirty (30) days prior to such cessation of business.
(c) In cases where trust corpus is deposited in individual savings accounts, and not commingled for investment purposes, the Board may require a verified report. Said requirement of verification shall be deemed complied with by a verification under penalty of perjury by the owner, partners, or, in the case of a corporation, by the president or vice-president and one other officer thereof and, in addition thereto, all reports must contain a verification under penalty of perjury executed by at least two (2) trustees not employed by the funeral establishment and, in the case of a banking institution or trust company legally authorized to act as a trustee within the meaning of Section 7736 of Article 9, Chapter 12, Division 3, of the Business and Professions Code, a verification under penalty of perjury on behalf of such trustee by an authorized representative of said trustee.
(d) In cases where trust funds have been commingled for purposes of investment, the Board may require, in addition to the written report required by subsection (a) of this section, an independent audit report prepared and signed by a Certified Public Accountant or Public Accountant, currently licensed in the State of California, which certifies compliance with the provisions of Article 9, Chapter 12, Division 3 of the Business and Professions Code and the provisions of this Article.
(e) All written reports required under this section shall include, but are not limited to, a statement setting forth:
(1) Amounts collected pursuant to pre--need arrangements, contracts or plans, or any agreements collateral thereto;
(2) Amounts deposited with the trustee and held in trust;
(3) Amounts of authorized expenditures of income allocable to individual accounts, itemized as to the nature of expenditures;
(4) Amount of authorized expenditures of income paid, itemized as to the nature of expenditure; and
(5) Separately, the total amount of such trust funds invested in each of the investments authorized by law and the amount of cash on hand not invested which statement actually show the financial condition of the trust funds.
(f) Two or more funeral establishments who utilize a common trust fund to hold and administer payments received under pre--need contracts may cause the trustee of that common trust fund to file one combined annual report regarding all such pre--need contracts, provided each funeral establishment's information is disclosed separately.
NOTE

Authority cited: Sections 7606 and 7740, Business and Professions Code. Reference: Sections 7735, 7738, 7740 and 7740.5, Business and Professions Code.
HISTORY

1. Amendment and renumbering of former Section 1261 filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Amendment filed 2-11-75 as an emergency; effective upon filing. Certificate of Compliance included (Register 75, No. 7).
3. Amendment filed 6-17-77; effective thirtieth day thereafter (Register 77, No. 25).
4. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
5. Amendment of subsections (a), (b), (c) and (f) filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1270. Requirements of Pre--Need Fund Report to Board.
History

HISTORY

1. Amendment and renumbering from former Section 1262 filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1271. Reporting of Trustees.
Note     •     History

The reports provided for in Section 1269 of this Article shall state the name and address of each of the trustees. Any change of trustees shall be reported to the Board within thirty (30) days after the effective date thereof and shall be accompanied by the appropriate fee.
NOTE

Specific reference: Sections 7736 and 7740.5, Business and Professions Code.
HISTORY

1. Amendment and renumbering from former Section 1263 filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Amendment filed 6-17-77; effective thirtieth day thereafter (Register 77, No. 25).
§1272. Failure to File Required Pre--Need with Board.
History

HISTORY

1. Renumbering from former Section 1264 filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1273. Application to Licensed Funeral Directors Also Licensed As a Cemetery Authority.
History

HISTORY

1. New section filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1274. Inability to Perform.
Note     •     History

If, for any reason, a licensed funeral establishment or licensed funeral director is unable to perform the funeral services prior to or upon the death of the beneficiary of a pre--need trust agreement, then the trustees shall pay all trust corpus and net income to the beneficiary, trustor or the legal representative of either the beneficiary or trustor without the imposition of any revocation charge.
NOTE

Authority cited: Sections 7606 and 7740, Business and Professions Code. Reference: Sections 7737 and 7740, Business and Professions Code.
HISTORY

1. Renumbering from Section 1267 filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Repealer and new section filed 6-17-77; effective thirtieth day thereafter (Register 77, No. 25).
3. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
4. Amendment filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1275. Requirements of Preneed Trust Agreements.
Note     •     History

A preneed trust contract within the meaning of Article 9, Chapter 12, Division 3, of the Business and Professions Code shall include but not be limited to the following information: 
(a) The name and address of the trustor. 
(b) The name and address of the beneficiary. 
(c) The names and addresses of the trustees. 
(d) The name, address and phone number of the funeral establishment.
(e) A sequential number which shall be continuous and in order of issue. 
(f) A copy of the completed funeral arrangements forms including, but not limited to, the following: 
(1) A description of the merchandise and services selected which is sufficiently detailed to identify them; and 
(2) Any disclosure of prices or itemization of services or merchandise, which is required to be provided pursuant to State or Federal law, rule or regulation then in effect. 
(g) A statement that earned annual income is being credited to the account and that administrative expenses, if charged, are paid from income only. 
(h) A statement, in clear nontechnical language, that the contract is either a guaranteed pre--need contract or that it is a nonguaranteed pre--need contract, and, if guaranteed only in part, the services or merchandise included in the guarantee shall be specified. This statement shall be printed in bold face type and shall be located on the first page of the contract. 
(1) If the contract is guaranteed, there shall be included in the contract a complete explanation of all the terms and conditions limiting the guarantee. 
(2) If the contract is not guaranteed, there shall be included in the contract a complete explanation of how the trust balance will be applied to pay for services and merchandise provided at the beneficiary's death and that there may be additional payments required or a refund due. 
(i) A statement that the trustees of the trust will deliver the corpus of the trust and net income to the funeral establishment filing a certified copy of the Death Certificate and evidence that said funeral establishment has furnished the merchandise and services. (Corpus of the Trust means all monies paid and all securities delivered pursuant to this prearrangement contract.) 
(j) A statement that the amount of revocation fee to be charged in the event of revocation, shall in no event exceed ten percent (10%) of the paid-in corpus and is chargeable against earned income only; and a statement that no revocation fee may be charged if the funeral establishment is unable to perform substantially according to the terms of the agreement. 
(k) In immediate proximity to the space reserved for the purchaser's signature, in a size equal to at least ten point (10-point) bold type, the following statement: “All funds received will be deposited with the trustees within thirty (30) days and held in a trust which is fully refundable upon fifteen (15) days' written notice except when the beneficiary is the recipient of public assistance, as provided in the Welfare and Institutions Code and this trust agreement has been designated as being irrevocable thereunder.” 
NOTE

Authority cited: Sections 7606 and 7740, Business and Professions Code. Reference: Sections 7735, 7736, 7737, 7738, 7740 and 7740.5, Business and Professions Code. 
HISTORY

1. New section filed 6-17-77; effective thirtieth day thereafter (Register 77, No. 25). 
2. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27). 
3. Amendment of subsections (h) and (i) filed 1-12-90; operative 2-11-90 (Register 90, No. 3). 
4. Change without regulatory effect amending section heading, first paragraph, and subsections (i) and (j) filed 4-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 16).
§1276. Pre--Need Funds Affected.
Note     •     History

Nothing in this article shall require liquidation or transmutation of any lawful pre--need funeral trust agreement existing prior to the effective date of these regulations, but any pre--need funeral trust agreement as described in said Article 9 entered into subsequent to July 1, 1977, and all funds and the records and books of account thereof may be maintained separately and apart from the records of any trust funds received by any licensed funeral director prior to that date.
(a) Pre--need arrangements, contracts, or plans created or existing prior to July 1, 1977, shall be subject to the provisions of Section 1265, Title 16 of the California Code of Regulations, and shall operate in conformity with the provisions of Section 1265, Title 16 of the California Code of Regulations in the same manner and to the same extent as such arrangements, contracts, and plans created thereafter.
(b) No licensed funeral establishment or licensed funeral director shall service and/or purchase any contract made by any person who is not operating in conformity with the provisions of Article 9, Chapter 12, Division 3, of the California Business and Professions Code.
NOTE

Authority and reference cited: Sections 7606 and 7740, Business and Professions Code.
HISTORY

1. New section filed 6-17-77; effective thirtieth day thereafter (Register 77, No. 25).
2. Amendment filed 10-5-81; effective thirtieth day thereafter (Register 81, No. 41).
3. Amendment filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1277. Definition of Preneed Arrangement.
Note     •     History

“Preneed arrangement,” “preneed agreement” or “preneed” is written instruction regarding goods or services or both goods and services for final disposition of human remains when the goods or services are not provided until the time of death, and may be either unfunded or paid for in advance of need.
NOTE

Authority cited: Section 7606, Business and Professions Code.  Reference: Sections 7606, 7685, 7685.6 and 7745, Business and Professions Code.
HISTORY

1. New section filed 5-13-2004; operative 6-12-2004 (Register 2004, No. 20).
§1277.5. Disclosure of Preneed Funeral Agreement.
Note     •     History

(a) The statement disclosing whether or not the funeral establishment has any preneed agreement made by or on behalf of the deceased shall be made on the “Disclosure of Preneed Funeral Agreement” form provided by the Bureau (Form 21F1 (10/03)), which is hereby incorporated by reference. The disclosure statement shall be signed and dated by the representative of the funeral establishment and by the survivor or responsible party. A copy of the completed disclosure statement shall be given to the survivor or responsible party, and the original completed disclosure statement, or copy thereof, shall be retained by the funeral establishment for not less than one (1) year after the serviced preneed account has been audited by the Bureau or seven (7) years from the date the disclosure statement was made, whichever comes first.
(b) The “survivor” is the person with the right to control disposition of the remains under Health and Safety Code Section 7100, or their designee.
(c) The “responsible party” is the person contracting for funeral goods or services or both funeral goods and services for the decedent from the funeral establishment.
(d) Pursuant to Business and Professions Code Sections 7685.6 and 7745, a copy of any signed preneed agreement made by, or on behalf of the decedent that is paid for in full or in part and is in the possession of the funeral establishment must given to the responsible party or the decedent's survivor who is handling the funeral arrangements prior to drafting any contract for goods or services. 
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Sections 7606, 7685.6 and 7745, Business and Professions Code.
HISTORY

1. New section filed 5-13-2004; operative 6-12-2004 (Register 2004, No. 20).
Article 9. Continuing Education Requirements
§1280. Purpose and Scope.
Note     •     History

These regulations are established to ensure that the practitioners of mortuary science maintain the highest degree of quality in their profession by requiring all funeral directors and embalmers to continue their education after licensure.
NOTE

Authority cited: Sections 7606 , 7622 and 7651, Business and Professions Code. Reference: Sections 7622.3 and 7651, Business and Professions Code.
HISTORY

1. New article 9 (sections 1280-1291) and section filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1281. Definitions.
Note     •     History

The following terms, as used in this article, shall have the following meanings, unless the context clearly indicates otherwise.
(a) “Committee” means the continuing education committee established by the Board pursuant to Section 1282.
(b) “Course” shall mean any combination of classes or seminars of continuing education offered by a recognized provider or otherwise approved by the committee.
(c) “Recognized provider” means a person or entity whose qualifications as a continuing education provider have been approved by the committee.
(d) A continuing education “hour” means a minimum of 50 minutes of contact time spent by a licensee in actual attendance at, or participation in, the completion of a course. If a course involves more than one hour of actual attendance or participation, credit may be issued in one-half (1/2) hour increments.
NOTE

Authority cited: Sections 7606 , 7622 and 7651, Business and Professions Code. Reference: Sections 7622.3 and 7651, Business and Professions Code.
HISTORY

1. New section filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1282. Continuing Education Committee.
Note     •     History

(a) The Board shall appoint an advisory committee to furnish subject matter expertise in implementing, reviewing, and updating its continuing education program. The committee shall consist of the following seven members: three actively-licensed funeral directors; two actively-licensed embalmers; and two adult-education specialists. Members of the committee shall serve for two (2) years from the date of appointment, unless appointed to serve the unexpired term of a former member, in which event they shall serve for the remainder of the unexpired term. Members of the committee shall serve at the pleasure of the Board.
(b) The committee shall:
(1) Develop procedures for its internal operations;
(2) Develop a system for reviewing and appraising recognized providers and courses;
(3) Annually review the Board's continuing education program and, if appropriate, make recommendations to the Board regarding modifications to the program, such as modifications to substantive criteria for courses, and to standards for the approval of recognized providers;
(4) Review and act upon recognized provider applications;
(5) Review and act upon courses proposed by non-recognized providers.
(c) Members of the committee shall serve on a voluntary basis without reimbursement for any expenses incurred while serving on the committee.
(d) All decisions of the committee shall be subject to review and approval by the Board.
NOTE

Authority cited: Sections 7606 , 7622 and 7651, Business and Professions Code. Reference: Sections 7622.3 and 7651, Business and Professions Code.
HISTORY

1. New section filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1283. Minimum Continuing Education Requirements.
Note     •     History

(a) As a condition of license renewal, every funeral director and embalmer shall certify to the Board that he or she has successfully completed fourteen (14) hours of continuing education on or before December 31, 1998, and shall certify to the Board that he or she has successfully completed fourteen (14) hours of continuing education on or before December 31 of every even-numbered year thereafter.
(b) A maximum of eight (8) credit hours may be applied to required continuing education for each licensee at courses approved for both funeral directors and embalmers.
(c) A licensee shall not receive credit for attending, or participating in, the same course more than once during the same two-year period.
(d) No credit may be granted for partial completion of any course.
(e) Upon approval by the committee a maximum of four (4) continuing education hours may be earned per two year cycle for:
(1) the preparation and delivery of an educational presentation pertaining to funeral directing or embalming before a recognized professional organization;
(2) the authoring of articles or other writings pertaining to funeral directing or embalming which are published in nationally-recognized journals.
(f) Any person seeking to reinstate a license which has lapsed for less than one year must comply with the continuing education requirements for regular renewal of the license.
(g) Any licensee whose license has lapsed but who passed the funeral director's exam prior to July 1, 1999 shall be reinstated upon satisfying the provisions of this section.
NOTE

Authority cited: Sections 7606 , 7622 and 7651, Business and Professions Code. Reference: Sections 7622.3 and 7651, Business and Professions Code.
HISTORY

1. New section filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1284. Requirements for Recognized Providers.
Note     •     History

(a) Anyone seeking to provide continuing education courses as a recognized provider for funeral directors and/or embalmers shall apply to the Board through the committee for registration as a recognized provider prior to offering any course.
(b) Providers requesting recognition shall meet the following criteria:
(1) A provider must be able to verify relevant experience, education, or background to qualify as a recognized provider;
(2) Providers shall provide the staffing, facilities and resources necessary to maintain high standards of scholarship and teaching;
(3) Every instructor shall have education or experience within the last five (5) years in the subject being taught;
(4) Providers shall submit a course monitoring and reporting plan which specifies the methodology for verifying actual attendance and for retaining relevant course records, including evaluations;
(c) Upon receipt of written approval and provider number from the Board, a recognized provider may represent itself as a California Recognized Provider of Continuing Education for Funeral Directors and/or Embalmers.
(d) Every recognized provider's registration expires two (2) years from the date of issuance. A recognized provider may renew its registration by filing an application for renewal on a form CE1 (11/97) provided by the Board, accompanied by a list of all courses offered during the last renewal period pursuant to its registration, the name and qualifications of each instructor, and a summary of the content of each course of study.
NOTE

Authority cited: Sections 7606 , 7622 and 7651, Business and Professions Code. Reference: Sections 7622.3 and 7651, Business and Professions Code.
HISTORY

1. New section filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1285. Course Approval for Recognized Providers.
Note     •     History

(a) Unless denied by the Board upon audit, a course offered by a recognized provider shall be considered as approved.
(b) A recognized provider's advertisements for approved course(s) shall clearly indicate the provider's name, the number of course hours, date of expiration, and the provider number assigned by the committee.
NOTE

Authority cited: Sections 7606 , 7622 and 7651, Business and Professions Code. Reference: Sections 7622.3 and 7651, Business and Professions Code.
HISTORY

1. New section filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1286. Audit of Providers and Courses.
Note     •     History

On a random basis established by the Board, or in response to complaints about a particular provider, the Board may audit selected providers and/or courses. Within fifteen (15) days of receipt of written notification, the recognized provider shall submit to the Board materials the Board deems necessary to complete the audit. The Board shall review the materials to determine whether the provider and/or course satisfies the standards set forth in this article for recognized providers and courses. The Board may conduct the audit itself, or through the committee.
NOTE

Authority cited: Sections 7606 , 7622 and 7651, Business and Professions Code. Reference: Sections 7622.3 and 7651, Business and Professions Code.
HISTORY

1. New section filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1287. Courses from Non-Recognized Providers.
Note     •     History

(a) A non-recognized provider may petition the committee for approval of a specific course or courses which meet the standards for courses set forth in Section 1288.
NOTE

Authority cited: Sections 7606 , 7622 and 7651, Business and Professions Code. Reference: Sections 7622.3 and 7651, Business and Professions Code.
HISTORY

1. New section filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1288. Standards for Continuing Education Courses.
Note     •     History

(a) A recognized provider, or a non-recognized provider of an approved course, shall be responsible for the educational quality of its courses.
(b) Each course shall:
(1) be relevant to the practice of mortuary science, and shall address one of the following topics:
(A)  scientific knowledge or technical skills required for the practice of funeral directing or embalming;
(B) business management concepts as they relate to the delivery of efficient professional services to consumers;
(C) ethics and/or legal developments relevant to funeral directing or embalming;
(D) application of new techniques and scientific and clinical advances relating to mortuary science.
(2) provide accurate and current information;
(3) be presented in an orderly and effective fashion conducive to the learning process;
(4) be complete and objective, and not reflect predominantly the commercial views of the provider or of anyone giving financial assistance to the provider;
(5) be based on stated educational goals and objectives.
(c) A provider shall furnish to each course participant a Certificate of Completion which shall include the name and address of the provider, the name and license number of the participant, a brief statement of the subject matter, the number of continuing education hours awarded, the date and location the course was held, and the signature of the course instructor. Recognized providers shall also indicate their provider numbers on Certificates of Completion.
(d) A provider shall maintain records of attendance at, or completion of, its courses for four (4) years.
(e) Each course participant shall be given the opportunity to provide a written evaluation of the course at the conclusion of the course.
(f) An opportunity to enroll in courses shall be available to all licensees.
(g) A minimum of ten (10) continuing education hours for a funeral director must be taken in (b)(1) (A, B, C) of this section during each two-year period.
(h) A minimum of ten (10) continuing education hours for an embalmer must be taken in (b)(1) (A, C, D) of this section during each two-year period.
NOTE

Authority cited: Sections 7606 , 7622 and 7651, Business and Professions Code. Reference: Sections 7622.3 and 7651, Business and Professions Code.
HISTORY

1. New section filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1289. Denial, Suspension, or Revocation of Registration.
Note     •     History

The Board shall deny approval of, suspend, or revoke the registration of any recognized provider or the approval of any course for any of the following acts or omissions:
(a) Obtaining or attempting to obtain registration or course approval through fraud, deceit, false statements, or misrepresentation of material facts, whether such statements or misrepresentations are made knowingly or negligently;
(b) Knowingly failing to provide complete and accurate information in the initial registration or in any notification of change of information;
(c) Failing to notify the Board of a change in the information required for registration of recognized providers;
(d) Falsifying any records regarding the continuing education courses conducted by the provider or the persons who attended or participated in the courses;
(e) Failing to maintain any required records regarding the continuing education courses conducted by the provider or the persons completing the courses;
(f) Failing to provide the Board with copies of any documentation or other information required to be maintained by a provider pursuant to this rule;
(g) Advertising that a course has been approved by the Board prior to the date the approval is granted;
(h) Advertising registration as a recognized provider prior to the date of registration;
(i) Participating in any activity designed or intended to circumvent or evade the requirements of Sections 7622.2 or 7651 of the Business and Professions Code, or the regulations adopted by the Board to implement those sections.
NOTE

Authority cited: Sections 7606 , 7622 and 7651, Business and Professions Code. Reference: Sections 7622.3 and 7651, Business and Professions Code.
HISTORY

1. New section filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1290. Audit and Sanctions for Noncompliance.
Note     •     History

(a) The Board shall conduct random audits to verify compliance with this Article. The auditing pool shall consist of a minimum of five percent (5%) of the affected licensees. Those licensees selected for an audit shall be required to document their compliance with the continuing education requirements of this Article on a form CE2 (11/97) provided by the Board.
NOTE

Authority cited: Sections 7606 , 7622 and 7651, Business and Professions Code. Reference: Sections 7622.3 and 7651, Business and Professions Code.
HISTORY

1. New section filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
§1291. Processing Periods.
Note     •     History

(a) The Board shall inform an applicant, in writing, within seven (7) days whether the application for registration as a recognized provider or for approval of a course from a non-recognized provider is complete and acceptable for filing or is deficient, and what specific information is required to complete the application.
(b) The Board shall make a decision within sixty (60) days after the date the application is deemed to be completed whether the applicant meets the requirements for registration as a recognized provider, or whether a course from a non-recognized provider will be acceptable for continuing education credit.
(c) The minimum, median and maximum processing times for an application for registration as a recognized provider or approval for a course from a non-recognized provider from the date of acceptance and filing of the initial application until the Board makes a final decision on the application are:
(1) Minimum—(1) day.
(2) Median—(10) days.
(3) Maximum—(60) days.
NOTE

Authority cited: Sections 7606 , 7622 and 7651, Business and Professions Code; and Section 15376, Government Code. Reference: Sections 7622.3 and 7651, Business and Professions Code.
HISTORY

1. New section filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
Division 13. Medical Board of California*

(Originally Printed 12-5-46)

* For disposition of former Sections 1370-1375.45, see Table of Parallel Reference, Chapter 13.2, Title 16, California Code of Regulations.
Chapter 1. Division of Licensing
Article 1. General Provisions
§1300. Citation.
Note     •     History

This chapter shall be cited and referred to as the “Medical Practice Regulations.”
NOTE

Authority and reference cited: Section 2018, Business and Professions Code.
HISTORY

1. Repealer of Chapter 13 (Articles 1-6, 6., 7, 7.5, 8, 9, 9.1, 10-12, 12.1, 12.2, 12.5, 13, 14, Sections 1300-1378.7, not consecutive) and new Chapter 13 (Subchapters 1-3, new Sections 1300-1377, not consecutive and renumbering of Article 15 to Article 5, Section 1379-1379.86) filed 5-20-77; effective thirtieth day thereafter (Register 77, No. 21). For latest prior history, see Register 76, No. 52.
2. Amendment filed 8-4-81; effective thirtieth day thereafter (Register 81, No. 32).
3. Amendment filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
§1300.1. Administration.
Note     •     History

The Division of Licensing shall administer the provisions of this chapter.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2005, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
§1300.2. Location of Office.
Note     •     History

The principal office of the Division of Licensing of the Medical Board of California of the State of California is located at 1430 Howe Avenue, Sacramento, California 95825.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2019, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Change without regulatory effect amending section filed 9-9-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 51).
§1300.3. Tenses, Gender and Number. [Repealed]
Note     •     History

NOTE

Authority and reference cited: Section 2018, Business and Professions Code.
HISTORY

1. New NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Repealer filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
§1300.4. Definitions.
Note     •     History

Unless the context otherwise requires, for the purpose of the regulations contained in this chapter:
(a) “Academic year” means a period of education consisting of 45 quarter units, 30 semester units, or a duration deemed equivalent by the board.
(b) “Board” means the Medical Board of California.
(c) “Code” means the Business and Professions Code.
(d) “Curriculum” means an organized set of courses or discrete modules of learning that are a prerequisite to the award of a degree or diploma.
(e) “Division” means the Division of Licensing.
(f) “Institution” means any medical school located outside the United States or Canada that offers a resident course of instruction leading to an M.D. degree.
(g) “Quarter unit” means at least 10 hours of college or university level instruction during a 10-week or longer quarter plus a reasonable amount of time outside of instruction that the student must devote to preparation for the course.
(h) “Semester unit” means at least 15 hours of college or university level instruction during a 15-week or longer semester plus a reasonable period of time outside of instruction that the student must devote to preparation for the course.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2018, 2089 and 2089.5, Business and Professions Code.
HISTORY

1. New NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
3. Change without regulatory effect amending subsection (a) filed 9-9-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 51).
4. Repealer and new section and Note filed 11-13-2003; operative 12-13-2003 (Register 2003, No. 46).
§1300.5. Continuation of Existing Regulations. [Repealed]
Note     •     History

NOTE

Authority and reference cited: Section 2018, Business and Professions Code.
HISTORY

1. New NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Repealer filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
§1301. Delegation to Chief of Licensing.
Note     •     History

(a) The authority of the division to approve applications and issue certificates or licenses with or without an examination, to designate the location of and to administer examinations, and to approve applications for and issue fictitious name permits is hereby delegated to the chief of licensing of the division, or his or her designee.
(b) Applications for licensure and applications for participation in special programs and faculty appointments authorized in the Medical Practice Act may be referred in accordance with subsection (c) to the division's Application Review Committee or Special Programs Committee, as the case may be. Members appointed to the committees may advise the chief of licensing, or his or her designee on the disposition of the above-mentioned applications.
(c) An application accompanied by necessary supporting documentation may be referred to the applicable committee referred to in subsection (b) at the request of the applicant, at the request of a division member, or at the instance of the chief of licensing, or his or her designee.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2099, 2111, 2112, 2113, 2174 and 2415, Business and Professions Code.
HISTORY

1. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
3. Amendment of section and Note filed 3-9-94; operative 4-8-94 (Register 94, No. 10).
4. Change without regulatory effect amending section heading and section filed 2-26-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 9).
§1301.1. Delegation to Program Manager. [Repealed]

NOTE

Authority cited: Section 2018, Business and Professions Code.
§1301.2. Delegation Regarding Locations of Examinations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code.
HISTORY

1. Repealer filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
§1302. Delegation of Functions.
Note     •     History

Except for those powers reserved exclusively to the “agency itself” under the Administrative Procedure Act Section 11500, et seq. of the Government Code, the division delegates and confers upon the executive director of the Board, the assistant executive director, the chief of enforcement, or the chief of licensing, or his or her designee of each of those persons, all functions necessary to the dispatch of business of the division in connection with investigative and administrative proceedings under the jurisdiction of the division relative to denials of licensure.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2099, 2221 and 2230, Business and Professions Code; and Section 11500, Government Code.
HISTORY

1. Renumbering and amendment of Section 1302 to Section 1303 filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39). For prior history, see Register 81, No. 32.
2. New section filed 2-16-84; effective thirtieth day thereafter (Register 84, No. 7).
3. Change without regulatory effect amending section filed 2-26-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 9).
§1303. Filing of Addresses.
Note     •     History

Each person holding a certificate, license, permit or any other authority issued under the Medical Practice Act shall file his or her proper and current mailing address with the division in its principal office, and shall immediately notify the division at its office of any and all changes of mailing address, giving both the old and new address.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2005, 2423 and 2424, Business and Professions Code.
HISTORY

1. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Renumbering and amendment of former Section 1302 to Section 1303 filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
§1304. Adequate Security for Outpatient Surgery.
Note     •     History

For purposes of Section 2216.2 of the code, “adequate security” means that a physician has coverage of the type prescribed in Section 2216.2 of the code in the amount of not less than one million dollars per incident and not less than three million dollars per year. The division shall reevaluate the requirements in this regulation at least every three years.
NOTE

Authority cited: Sections 2018 and 2216.2, Business and Professions Code. Reference: Section 2216.2, Business and Professions Code.
HISTORY

1. New section filed 12-5-2000; operative 1-4-2001 (Register 2000, No. 49). For prior history see Register 95, No. 3.
Article 1.5. Precedent Decisions
§1304.5. Precedent Decisions.
Note     •     History

(a) The division may designate, as a precedent decision, any decision or part of any decision that contains a significant legal or policy determination of a general application that is likely to recur. The division may also designate as a precedent decision any precedent decision issued by another California state government agency.
(b) Once the division designates a decision or part of a decision as precedent, the division may rely on it or that part of it as precedent and the parties may cite to such decision in their argument to the division and courts.
(c) The division may reverse in whole or in part the prior designation of a decision as a precedent decision.
(d) Notice of intent to designate or withdraw designation of a precedent decision shall be given with the notice of a division meeting. Interested persons may submit written comments for or against the proposed action. The division may decide the issue at that meeting or put the matter over to a subsequent meeting.
NOTE

Authority cited: Section 2018, Business and Professions Code; and Section 11425.60, Government Code. Reference: Section 11425.60, Government Code.
HISTORY

1. New article 1.5 and section filed 6-26-2006; operative 7-26-2006 (Register 2006, No. 26).
Article 2. Applications
§1305. Date and Place of Filing. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2005, 2083 and 2141, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 6-2-83; effective thirtieth day thereafter (Register 83, No. 23).
3. Amendment filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
4. Change without regulatory effect amending section filed 7-26-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 31).
5. Change without regulatory effect repealing section filed 9-10-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1305.5. Accompanying Photograph of Diploma. [Renumbered]
History

HISTORY

1. Renumbering of Section 1305.5 to Section 1307 filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
§1306. Applications and Refund of Fees.
Note     •     History

(a) An application shall be deemed abandoned if an applicant fails to complete the application. “Failure to complete the application” means that the applicant:
(1) Did not submit all required supporting documents and information within 365 days from the date of written notification from the board of the documents needed to complete the application; or
(2) Unless otherwise authorized by the board, did not undergo a required evaluation within six months from the date of written notification from the board of the need to undergo an evaluation; or
(3) Failed to pay the required license fees within 365 days of notification that his/her application was otherwise complete; or
(4) Failed to either pass or re-take Step 3 of the USMLE within one year from the date of written notification by the board; or
(5) Failed to remedy clinical rotation deficiencies within one year from the date of notification by the board; or
(6) Failed to show progress toward licensure, as demonstrated by proof of acceptance of enrollment in an approved postgraduate training program within three years from the date of application and completion within three years thereafter of the training required for licensure.
(b) An application submitted subsequent to the abandonment of a former application shall be treated as a new application, and the applicant must meet all licensure requirements in effect at the time of the subsequent application.
(c) An applicant shall report any change of address to the board within 30 working days.
(d) An applicant shall update his or her application upon request of the board, but not more frequently than once every 365 days.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2082, 2141 and 2435, Business and Professions Code.
HISTORY

1. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
3. Change without regulatory effect amending section filed 9-10-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
4. Amendment filed 4-26-2011; operative 5-26-2011 (Register 2011, No. 17).
§1307. Accompanying Photograph of Diploma.
Note     •     History

(a) A photographic copy of the diploma, in lieu of the original, may be furnished by the applicant for permanent filing with the division, if he or she is a graduate of an approved medical school.
(b) In the case where the diploma has been lost or is unavailable or the medical school which issued the original diploma has been closed, a certification of the records made by the executive officer of the medical licensing authority of the state in which the applicant was licensed, giving the date appearing on the diploma, will be accepted when duly signed and sealed.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2082 and 2142, Business and Professions Code.
HISTORY

1. Repealer of Section 1307 and renumbering of Section 1305.5 to Section 1307 filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
§1308. Hearings on Denial of Applications.
Note     •     History

An applicant for examination or license whose credentials indicate ineligibility as determined by the division may be given a hearing pursuant to the Administrative Procedure Act if such a hearing is formally requested by the applicant or is so ordered by the division.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2005, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
§1309. Rehabilitation Criteria for Denial of Licensure.
Note     •     History

When considering the denial of a license, certificate or permit under Section 480 of the code, the division, in evaluating the rehabilitation of the applicant and his or her present eligibility for a license, certificate or permit, shall consider the following criteria:
(a) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(b) Evidence of any act(s) or crime(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480.
(c) The time that has elapsed since commission of the act(s) or crime(s) referred to in subsections (a) or (b).
(d) The extent to which the applicant has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against the applicant.
(e) Evidence, if any, of rehabilitation submitted by the applicant.
NOTE

Authority cited: Sections 482 and 2018, Business and Professions Code. Reference: Sections 480, 482 and 2220-2317, Business and Professions Code.
HISTORY

1. Repealer and new NOTE filed 6-4-79; effective thirtieth day thereafter (Register 79, No. 23).
2. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
Article 3. Physician Incentive Pilot Program
§1310. Delegation of Authority.
Note     •     History

The power and discretion conferred upon the division to review applications for loans and to otherwise administer and enforce the provisions of Article 11 (commencing with Section 2200) of Chapter 5 of Division 2 of the code are hereby delegated and conferred upon the executive director and his or her staff.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2202, Business and Professions Code; Section 7, Government Code.
HISTORY

1. Repealer of Article 3 (Section 1311) and new Article 3 (Sections 1310-1313) filed 5-14-81; effective thirtieth day thereafter (Register 81, No. 20).
§1311. Application Deadline and Content.
Note

(a) Applications for loans under this article shall be filed by October 15 for loans to be made during the current fiscal year.
(b) Each application shall include a written summary of the applicant's plan for establishing a medical practice in the underserved area.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2205, Business and Professions Code.
§1312. Loan Agreement; Interest.
Note

(a) Upon approval of an application, each applicant shall complete and sign a loan agreement provided by the division.
(b) Interest shall be compounded annually at the end of each fiscal year on the unpaid balance of the loan.
(c) Interest shall continue to accrue during those periods in which payment may be deferred as a result of active military duty or nonmilitary public service.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2205, 2208 and 2210, Business and Professions Code; Section 1916, Civil Code.
§1313. Change of Status.
Note

A determination made by the California Health Manpower Policy Commission that an area of the state is no longer underserved and deficient in primary care medical services after a loan is approved by the division shall not affect the applicant's eligibility to receive the loan or to have all or part of the loan cancelled pursuant to Section 2208 of the code.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2205, 2208 and 2213, Business and Professions Code.
Article 3.1. Steven M. Thompson Physician Corps Loan Repayment Program
§1313.01. Definitions.
Note     •     History

For purposes of this article: 
(a) “Code” means the Business and Professions Code. 
(b) “Division” means the Division of Licensing or any committee of the division to which it delegates authority to make decisions pertaining to the Steven M. Thompson Physician Corps Loan Repayment Program. 
(c) “Employment” means the contractual work relationship between the practice setting and the physician. 
(d) “Full-time status” or “full-time practice” means providing medical services for a minimum of 40 hours per week, for a minimum of 45 weeks per year. The 40 hours per week may be compressed into no less than four days per week, with no more than 12 hours of work in any 24-hour period. This does not include hours spent on call. At least 32 hours per week must be spent providing clinical services at the approved practice site(s) during normal office hours, except that, for physicians who are continuously engaged in the practice of obstetrics, at least 21 hours must be spent providing clinical services in addition to deliveries and other inpatient coverage. Absence from the practice cannot exceed 7 weeks in a calendar year except as otherwise required in order to comply with applicable federal and state laws. 
(e) “Lender” means an entity from which an applicant has obtained a loan as defined in section 1313.01(f). 
(f) “Loan” means an outstanding government or commercial educational loan for expenses incurred for undergraduate education and graduate medical education. 
(g) “Program” means the Steven M. Thompson Physician Corps Loan Repayment Program described in Article 7.7 of Chapter 5 of Division 2 (commencing with Section 2154) of the code. 
(h) “Recently obtained a license” means the physician was first issued an allopathic physician's license in any state of the United States or in Canada within 15 years from the date on which the application for loan repayment is filed. 
NOTE

Authority cited: Sections 2018 and 2154.7, Business and Professions Code. Reference: Section 2154.3, Business and Professions Code. 
HISTORY

1. New article 3.1 (sections 1313.01-1313.06) and section filed 4-25-2003 as an emergency; operative 4-25-2003 (Register 2003, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-25-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-25-2003 order transmitted to OAL 8-19-2003 and filed 9-30-2003 (Register 2003, No. 40).
3. Change without regulatory effect amending article heading and subsections (b) and (g) filed 1-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 2).
§1313.02. Guidelines for Selection of Applicants.
Note     •     History

(a) The division shall give each applicant who meets one of the threshold criteria listed in Section 2154.3(b)(1) of the code one point for each of those criteria that the applicant meets and one point for each of the following criteria that the applicant meets (except that it shall give an applicant two points for speaking a Medi-Cal threshold language and two points for having received significant training in culturally and linguistically appropriate service delivery): 
(1) Speaks more than one Medi-Cal threshold language, as defined in Section 2154.2(h) of the code (one point for each additional language that is spoken by the population served by the clinic(s) at which the applicant will be providing services). 
(2) Has experience in a medically related health field in a medically underserved area (one point for each year). 
(3) Is not participating in any other educational loan repayment program at the time of application. 
(4) Is board-certified in a specialty. 
(5) Is board-certified in a primary care specialty identified in Section 2154.2(g) of the code. 
(6) Graduated from a medical school where the primary language of instruction was in a Medi-Cal threshold language, as defined in Section 2154.2(h) of the code, that is spoken by the population served by the clinic(s) at which the applicant will be providing services. 
(7) Completed a medical exchange program during medical school or postgraduate training in which the applicant provided services to a population that speaks any Medi-Cal threshold language, as defined in Section 2154.2(h) of the code. 
(8) Completed a fellowship in culturally appropriate service delivery. 
(9) Completed a fellowship in one of the primary specialties identified in Section 2154.2(g) of the code. 
(10) Will be providing medical services at multiple practice settings, each of which meets the criteria contained in Section 2154.2(f) of the code. 
(b) The number of points that an applicant receives shall not be the determinative factor in selecting physicians to participate in the program. The division shall consider providing priority consideration to applicants who, in its sole discretion, are best suited to meet the cultural and linguistic needs and demands of patients from medically underserved populations dispersed throughout California. 
NOTE

Authority cited: Sections 2018 and 2154.7, Business and Professions Code. Reference: Section 2154.3, Business and Professions Code. 
HISTORY

1. New section filed 4-25-2003 as an emergency; operative 4-25-2003 (Register 2003, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-25-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-25-2003 order, including amendment of subsections (a) and (a)(1), transmitted to OAL 8-19-2003 and filed 9-30-2003 (Register 2003, No. 40).
§1313.03. Application; Process.
Note     •     History

(a) A physician who desires to participate in the program shall submit an application to the division on a form prescribed by the division that includes all of the following: 
(1) Applicant's name, address, telephone numbers, social security number, date of birth, date on which first medical license was issued and name of issuing body, and, if available, e-mail address. 
(2) Which of the criteria listed in Section 2154.3(b)(1) of the code or in section 1313.02 the applicant meets and why, including dates of and institutions where postgraduate training or fellowships occurred. 
(3) A statement as to why the physician wants to participate in the program. 
(4) The name of each lender from which the applicant has obtained an educational loan, together with a current loan statement that contains the lender's name and mailing address, the applicant's name and loan account number, the outstanding balance of the loan, and the date on which the loan statement was issued. 
(5) Whether the applicant has ever been in default or had a judgment lien against the applicant for any debt, and an explanation for each default or judgment lien. 
(6) Whether the applicant is willing to sign or has signed a written agreement with the practice setting(s) committing to three years of full-time service in a medically underserved area. 
(7) The name and address of each practice setting at which services are to be provided under the program. 
(8) A certification under penalty of perjury as to the contents of the application and any attachments, signed and dated by the applicant. 
(9) A statement authorizing release to the division of information enumerated in the application and any attachments thereto. 
(10) A certification under penalty of perjury, signed and dated by the practice setting's administrative officer, whose name is printed below his/her signature, that the facility has entered into an agreement with the applicant for a minimum of three years; that the applicant can speak a Medi-Cal threshold language; that it will pay the applicant a prevailing wage and not offset any loan repayments by the program against the applicant's salary; and that it is a “practice setting” as defined in Section 2154.2(f) of the code. 
(b) Application filing periods will be dependent upon available funding and the number of openings in the program. Every application filing period shall be posted on the board's Web site and shall close not earlier than 30 days after the date on which openings are first posted on the board's Web site. Notwithstanding section 1313.04(a), an application that is either not complete or not received by the final filing date shall not be considered but shall be returned to the applicant. 
(c) A participating physician shall sign a written agreement with the division committing to all terms of the program and acknowledging that loan repayment will be made in accordance with Section 2154.5. If (1) a participating physician ceases full-time practice; or (2) both the practice setting and the physician have agreed to termination of the physician's employment, and the physician has been successful in obtaining subsequent qualifying employment within 3 months after termination of employment, loan repayment will be reduced proportionately by the time spent away from qualifying practice during that contract year. 
(d) If a physician participating in the program receives a loan repayment of less than $105,000, 24 percent of the loan repayment amount will be made at the end of the first year, 33 percent at the end of the second year, and 43 percent at the end of the third year. 
NOTE

Authority cited: Sections 2018 and 2154.7, Business and Professions Code. Reference: Sections 2154.3, 2154.5 and 2154.7, Business and Professions Code. 
HISTORY

1. New section filed 4-25-2003 as an emergency; operative 4-25-2003 (Register 2003, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-25-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-25-2003 order transmitted to OAL 8-19-2003 and filed 9-30-2003 (Register 2003, No. 40).
§1313.04. Application Processing Times.
Note     •     History

(a) Within 15 working days of receipt of an application to participate in the program, the division shall inform the applicant in writing whether the application is complete and accepted for filing or is deficient and what specific information is required. 
(b) Within 120 working days from the date of filing of a completed application, the division shall inform the applicant in writing of its decision on the application. 
NOTE

Authority cited: Sections 2018 and 2154.7, Business and Professions Code. Section 15376, Government Code. Reference: Sections 2005, 2154.3 and 2154.7, Business and Professions Code; and Section 15376, Government Code. 
HISTORY

1. New section filed 4-25-2003 as an emergency; operative 4-25-2003 (Register 2003, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-25-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-25-2003 order transmitted to OAL 8-19-2003 and filed 9-30-2003 (Register 2003, No. 40).
§1313.05. Process and Penalties When Physician Is Unable to Complete Obligation; Notification to Division.
Note     •     History

(a) A physician participating in the program shall notify the division in writing within 15 working days of any change in the physician's full-time status, including but not limited to, a decrease in the number of hours providing medical services, termination, resignation, or leave of absence in excess of the time permitted in section 1313.01(d). 
(b) A physician participating in the program who is unable to complete the required three years of service shall pay to the Medical Board of California, within 365 calendar days after notification by the division, an amount equal to the total amount of loan repayment paid to the physician by the program. Whenever the division has evidence that the physician is unable to complete the required three years of service, it shall notify the participating physician of the amount to be repaid to the division and the date by which the physician shall make that repayment. 
(c) A physician or the physician's representative may petition the division for modification of the amount to be paid or repaid and/or the time for repayment. The petition shall be in writing, accompanied by those documents necessary to establish the basis for the petition, and shall be filed with the division not later than 90 working days after the date of the notification. A petition shall be accepted for filing only if it is based on one or more of the following grounds: 
(1) The physician was terminated without cause. 
(2) The physician was unable to complete the required three years of service due to factors beyond the physician's control. 
(3) Both the practice setting and the physician have agreed to the termination of the physician's employment, and the physician has been unsuccessful in obtaining subsequent qualifying employment within 3 months after termination of employment. 
(d) The division shall review the petition and supporting documents and shall notify the physician in writing of its decision within 60 working days after receipt of the complete petition. 
(e) Failure to repay the amount due within 365 calendar days as required in subsection (a) above shall constitute unprofessional conduct and is not subject to Section 2314 of the code. It shall also result in the accrual of interest, at prime, on the outstanding balance, reporting of the default to credit agencies, lien(s) on the physician's personal property, and garnishment of the physician's future wages. It may also result in civil damages, including the imposition of attorney fees. 
NOTE

Authority cited: Sections 2018 and 2154.7, Business and Professions Code. Reference: Section 2154.3, Business and Professions Code. 
HISTORY

1. New section filed 4-25-2003 as an emergency; operative 4-25-2003 (Register 2003, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-25-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-25-2003 order transmitted to OAL 8-19-2003 and filed 9-30-2003 (Register 2003, No. 40).
§1313.06. Process for Reinstatement Into the Program.
Note     •     History

(a) A physician who leaves the program may petition the division for reinstatement into the program. The petition shall be in writing, accompanied by those documents necessary to establish the basis for the petition, and shall be filed with the division not later than 365 calendar days after the date of the notification from the division described in section 1313.05(b). The petition shall explain why the factors contributing to the petitioner's inability to complete the prior obligation no longer exist. The petition shall be accompanied by a certification under penalty of perjury, signed and dated by the practice setting's administrative officer, whose name is printed below his/her signature, that the facility has entered into an agreement with the physician for a minimum of three years; that the physician can speak a Medi-Cal threshold language; that it will pay the physician a prevailing wage and not offset any loan repayments by the program against the physician's salary; and that it is a “practice setting” as defined in Section 2154.2(f) of the code. A petition shall be accepted for filing only if it is based on one or more of the following grounds: 
(1) The physician was terminated without cause. 
(2) The physician was unable to complete the required three years of service due to factors beyond the physician's control. 
(3) Both the practice setting and the physician agreed to the termination of the physician's employment. 
(b) The division shall review the petition and supporting documents and shall notify the petitioner in writing of its decision within 60 working days after receipt of a complete petition. The division shall decide the petition based upon, in its sole discretion, available funds and the cultural and linguistic needs, and demands of the underserved populations, and the petitioner's ability to comply with the terms of the program. 
NOTE

Authority cited: Sections 2018 and 2154.7, Business and Professions Code. Reference: Sections 2154.3, Business and Professions Code. 
HISTORY

1. New section filed 4-25-2003 as an emergency; operative 4-25-2003 (Register 2003, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-25-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-25-2003 order transmitted to OAL 8-19-2003 and filed 9-30-2003 (Register 2003, No. 40).
Article 3.5. Outpatient Setting Accreditation Agencies
§1313.2. Definitions.
Note     •     History

(a) “Accredited” shall include, for purposes of section 1248.1(g) of the Health and Safety Code, not only full accreditation but also provisional accreditation granted by an accreditation agency to an outpatient setting, provided that (1) the outpatient setting is in substantial compliance with the accreditation agency's standards; (2) the deficiencies in compliance do not affect the quality of patient care; and (3) the deficiencies will be corrected within six months of the date on which the outpatient setting was granted provisional accreditation.
(b) “Accreditation agency” has the meaning given to it in section 1248(d) of the Health and Safety Code.
NOTE

Authority cited: Sections 2018 and 2217, Business and Professions Code. Reference: Section 1248, Health and Safety Code.
HISTORY

1. New Article 3.5 and section filed 1-18-96; operative 2-17-96 (Register 96, No. 3).
§1313.3. Applications; Processing Times.
Note     •     History

(a) An application for approval as an accreditation agency shall be filed with the division at its principal office and shall be accompanied by the fee prescribed by this article.
(b) An application shall include the following information and documents:
(1) Name and address of applicant;
(2) Date applicant began to operate as as accreditation agency;
(3) Copy of applicant's current accreditation standards;
(4) A list of all outpatient settings accredited or certified by applicant;
(5) Information to establish the applicant's compliance with sections 1248.15 and 1248.4 of the Health and Safety Code and section 1313.4.
(c) The division shall inform an applicant for approval as an accreditation agency in writing within 30 days of receipt of an application whether the application is complete and accepted for filing or is deficient and what specific information or documentation is required to complete the application.
(d) The division shall inform an applicant as an accreditation agency within 120 days after completion of the application of its decision whether the applicant meets the requirements for approval. An application is considered complete if it is in compliance with the requirements of sections 1248.15 and 1248.4 of the Health and Safety Code and section 1313.4.
NOTE

Authority cited: Sections 2018 and 2217, Business and Professions Code; and Section 15376, Government Code. Reference: Sections 1248.15 and 1248.4, Health and Safety Code; and Section 15376, Government Code.
HISTORY

1. New section filed 1-18-96; operative 2-17-96 (Register 96, No. 3).
§1313.4. Standards.
Note     •     History

(a) An accreditation agency shall meet the standards set forth in sections 1248.15 and 1248.4 of the Health and Safety Code. 
(1) With respect to section 1248.15(a)(2)(C)(i), a written transfer agreement shall include a mechanism for patient transport; a plan for transfer of the patient's records; policies defining the role of each person in handling an emergency; and a plan for continuity of the patient's care upon transfer of that care.
(2) With respect to section 1248.15(a)(6), the required system for quality assessment and improvement shall include, in addition to chart review, actions that utilize information derived through quality assessment to improve systems to maximize patient protection. 
(3) With respect to section 1248.15(a)(7), the actual sample size shall be determined by the accreditation agency.
(b) An accreditation agency shall send to the division any change in its accreditation standards within 30 calendar days after making the change.
(c) An accreditation agency shall, within fourteen calendar days after issuance, provide to the division a copy of any certificates of accreditation it issues and any denial or revocation of a certificate of accreditation. For each setting whose accreditation it denies or revokes, the accreditation agency shall also provide to the division in writing the reasons for its action.
NOTE

Authority cited: Sections 2018 and 2217, Business and Professions Code; and Section 1248.15, Health and Safety Code. Reference: Sections 1248.15 and 1248.4, Health and Safety Code.
HISTORY

1. New section filed 1-18-96; operative 2-17-96 (Register 96, No. 3).
2. New subsection (a)(1), subsection renumbering, amendment of subsection (c) and amendment of Note filed 12-5-2000; operative 1-4-2001 (Register 2000, No. 49).
§1313.5. Renewal.
Note     •     History

An application for renewal of approval shall be filed with the division at its principal office prior to expiration of the approval. It shall include all of the information required by section 1313.3(b) and shall be accompanied by the renewal fee prescribed by this article.
NOTE

Authority cited: Sections 2018 and 2217, Business and Professions Code; and Section 1248.4(e), Health and Safety Code. Reference: Section 1248.4, Health and Safety Code.
HISTORY

1. New section filed 1-18-96; operative 2-17-96 (Register 96, No. 3).
§1313.6. Fees.
Note     •     History

(a) The fee for temporary approval as an accreditation agency is $2,000.
(b) The fee for approval as an accreditation agency is $5,000.
(c) The fee for renewal of approval is $100 for each outpatient setting accredited or reaccredited during the three years immediately preceding the filing of the renewal application.
NOTE

Authority cited: Sections 2018 and 2217, Business and Professions Code; and Section 1248.6, Health and Safety Code. Reference: Section 1248.6, Health and Safety Code.
HISTORY

1. New section filed 1-18-96; operative 2-17-96 (Register 96, No. 3).
Article 4. Schools and Colleges of Medicine
§1314. Approved Schools.
Note     •     History

(a) Those medical schools accredited by the Liaison Committee on Medical Education of the Coordinating Council on Medical Education or the Council on Medical Education of the Canadian Medical Association shall be deemed to be approved by the division for the giving of resident professional instruction in medicine.
(b) A current list of such medical schools shall be maintained on file in the Sacramento office of the division.
(c) Nothing in this section shall be construed to prohibit the division from disapproving a medical school which does not comply with Section 2089 of the code.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2005, 2037 and 2084, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment of subsection (c) filed 2-16-84; effective thirtieth day thereafter (Register 84, No. 7).
§1314.1. International Medical Schools.
Note     •     History

(a) For purposes of Article 5 of Chapter 5 of Division 2 of the code (commencing with Section 2100), a medical school's resident course of instruction that leads to an M.D. degree shall be deemed equivalent to that required by Sections 2089 and 2089.5 of the code if the medical school offers the curriculum and clinical instruction described in those sections and meets one of the following:
(1) The medical school is owned and operated by the government of the country in which it is located or by a bona fide nonprofit institution registered with or otherwise approved by the country in which it is domiciled, the medical school is a component of a university offering other graduate and professional degree programs that contribute to the academic environment of the medical school, and the medical school's primary purpose is educating its own citizens to practice medicine in that country; or
(2) the medical school is chartered by the jurisdiction in which it is domiciled, the primary purpose of the medical school program is to educate non-citizens to practice medicine in other countries, and the medical school meets the standards set forth in subsection (b) below.
(b)(1) Mission and Objectives.
The institution shall have a clearly stated written purpose or mission statement and objectives that include:
(A) The institution's broad expectations concerning the education students will receive;
(B) The role of research as an integral component of its mission, including the importance, nature, objectives, processes and evaluation of research in medical education including its application to patient care; and
(C) Teaching, patient care, and service to the community.
The institution shall have institutional objectives that are consistent with preparing graduates to provide competent medical care.
(2) Organization.
The institution shall be organized as a definable academic unit responsible for a resident educational program that leads to the M.D. degree. The manner in which the institution is organized shall be set forth in writing.
(3) Curriculum.
The structure and content of the educational program shall provide an adequate foundation in the basic and clinical sciences and shall enable students to learn the fundamental principles of medicine, to acquire critical judgment skills, and to use those principles and skills to provide competent medical care. The objectives of the educational program shall state, in outcome-based terms, what students are expected to learn. When an institution provides clinical clerkships at multiple teaching sites, the institution shall demonstrate comparability of educational experiences for all students across instructional sites.
(4) Clinical Oversight
The institution shall have a system with central oversight to assure that the faculty define the types of patients and clinical conditions that students must encounter, the appropriate clinical setting for the educational experiences, and the expected level of student responsibility. The system shall ensure that the faculty monitor and verify student experience and modify it as necessary to ensure that the objectives of the clinical education program will be met.
(5) Professionalism
The learning environment shall promote the development of appropriate professional attributes in medical students. The institution shall define the professional attributes it expects students to develop in the context of the institution's mission and of promoting the safe practice of medicine.
(6) Governance.
The administrative and governance system shall allow the institution to accomplish its objectives (i.e. its statements of the items of knowledge, skills, behavior and attitude that students are expected to learn). An institution's governance shall give faculty a formal role in the institution's decision-making process. A student enrolled in the program shall not serve as an instructor, administrator, officer or director of the school.
(7) Faculty.
The faculty shall be qualified and sufficient in number to achieve the objectives of the institution. A “qualified” faculty member is a person who possesses either a credential generally recognized in the field of instruction or a degree, professional license, or credential at least equivalent to the level of instruction being taught or evaluated. The institution shall have a formal ongoing faculty development process that will enable it to fulfill its mission and objectives.
(8) Admission and promotion standards.
The institution shall have and adhere to standards governing admission requirements and student selection and promotion that are consistent with the institution's mission and objectives. The institution shall document that its admitted students generally meet entrance requirements equivalent to those utilized by U.S. and Canadian medical schools, including an appropriate background check of all applicants admitted to the institution.
(9) Financial Resources.
The institution shall possess sufficient financial resources to accomplish its mission and objectives. Pressure for institutional self-financing must not compromise the educational mission of the institution nor cause it to enroll more students than its total resources can accommodate.
(10) Facilities.
The institution shall have, or have access to, facilities, laboratories, equipment and library resources that are sufficient to support the educational programs offered by the institution and to enable it to fulfill its mission and objectives. If an institution utilizes affiliated institutions to provide clinical instruction, the institution shall be fully responsible for the conduct and quality of the educational program at those affiliated institutions.
(11) Quality Assurance System.
If the institution provides patient care, it shall have a formal system of quality assurance for its patient care program.
(12) Records.
The institution shall maintain and make available for inspection any records that relate to the institution's compliance with this section for at least five years, except, however, that student transcripts shall be retained indefinitely.
(13) Branch Campuses.
(A) An institution with more than one campus shall have written policies and procedures governing the division and sharing of administrative and teaching responsibilities between the central administration and faculty, and the administration and faculty at the other locations. These policies shall be consistent with the institution's mission and objectives. The institution shall be fully responsible for the conduct and quality of the educational program at these sites. If an institution operates a branch campus located within the United States or Canada, instruction received at that branch campus shall be deemed to be instruction received and evaluated at that institution. For purposes of this section, the term “branch campus” means a site other than the main location of the institution but does not include any hospital at which only clinical instruction is provided.
(B) For purposes of this section, an institution shall disclose any affiliation or other relationship that it has with another institution in which either institution agrees to grant a doctor of medicine degree or its equivalent to students of the other institution who complete coursework at the affiliated institution.
(14) Evaluation of Program Effectiveness
An institution shall collect and use a variety of outcome data to demonstrate the extent to which it is meeting its educational program objectives. For purposes of this subsection, “outcome data” means specific and measurable outcome-based performance measures of knowledge, skills, attitudes, and values (for example, measures of academic progress, program completion rates, performance of graduates in residency training and on licensing and certification examinations).
(c) The board may, on its own or at the request of an institution, determine whether that institution meets the requirements of subsections (a) and (b). The board shall have the sole discretion to determine whether a site visit is necessary in order to verify the accuracy and completeness of the data provided and to conduct an in-depth review of the program to determine whether the institution is in compliance with this regulation.
(d) An institution's failure to provide requested data regarding its educational program or to cooperate with a site team shall be grounds for disapproval of its educational program.
(e) If the board determines that a site visit is necessary, it shall appoint a site inspection team to conduct a comprehensive, qualitative onsite inspection and review of all aspects of the institution's operations to determine whether the institution complies with the requirements of subsections (a) and (b).
The fee for a site visit is all reasonable costs incurred by the board staff and the site team, payable in estimated form in advance of the site visit. If the cost of the site visit exceeds the amount previously paid, the board shall bill the institution for the remaining amount and shall not take action to determine the institution's equivalency until such time as the full amount has been paid. If the amount paid exceeds the actual costs incurred, the board shall remit the difference to the institution within 60 days.
The site team shall prepare and submit to the board a report that includes
(1) Its findings regarding the institution's compliance with the requirements of the law and this regulation;
(2) Its assessment of the quality of the institution as a whole and the quality of the institution's educational program, including any deficiencies; and
(3) Its recommendation whether or not the institution's resident course of instruction leading to an M.D. degree should be deemed equivalent to that required by Sections 2089 and 2089.5 of the code, including a recommendation regarding the correction of any deficiencies identified in the report. A copy of the report shall be provided to the institution, which shall have 60 days following the date of the report in which to respond to board staff as to any errors of fact or erroneous findings.
(f) If an institution wishes to retain the board's determination that its resident course of instruction leading to an M.D. degree is equivalent to that required by Sections 2089 and 2089.5 of the code, or if it is currently being evaluated for such equivalency, it shall do the following:
(1) It shall notify the board in writing no later than 30 days after making any change in the following:
(A) Location including addition or termination of any branch campus;
(B) Mission, purposes or objectives;
(C) Change of name;
(D) Any major change in curriculum, including but not limited to, a change that would affect its focus, design, requirements for completion, or mode of delivery, or other circumstance that would affect the institution's compliance with subsections (a) and (b).
(E) Shift or change in control. A “shift or change in control” means any change in the power or authority to manage, direct or influence the conduct, policies, and affairs of the institution from one person or group of people to another person or group of people, but does not include the replacement of an individual administrator with another natural person if the owner does not transfer any interest in, or relinquish any control of, the institution to that person.
(F) An increase in its entering enrollment above 10% of the current enrollment or 15 students in one year, whichever is less, or 20% or more in three years.
(2) Every seven years, it shall submit documentation sufficient to establish that it remains in compliance with the requirements of this section and of Sections 2089 and 2089.5 of the code.
(g) The documentation submitted pursuant to subsection (f)(2) shall be reviewed by the board or its designee to determine whether the institution remains in compliance with the requirements of these regulations and of Sections 2089 and 2089.5 of the code. The board may require a site visit as part of this review. It may also require a site visit at any other time during the seven-year period if it becomes aware of circumstances that warrant a site visit, including any change described in subsection (f).
(h) The board may at any time withdraw its determination of equivalence when any of the following occur:
(1) An institution is no longer in compliance with this section;
(2) The institution submits false or misleading information or documentation regarding its compliance with this section;
(3) Institution officials submit fraudulent documentation concerning a former student's medical curriculum; or
(4) The institution permits students to engage in clinical training in California facilities that do not satisfy the requirements of section 2089.5(c) and (d) of the code and, where applicable, section 1327 of Title 16 of the California Code of Regulations.
Prior to withdrawing its determination of equivalence, the board shall send the institution a written notice of its intent to withdraw its determination of equivalence, identifying those deficiencies upon which it is proposing to base the withdrawal and giving the institution 120 days from the date of the notice within which to respond to the notice. The board shall have the sole discretion to determine whether a site visit is necessary in order to ascertain the institution's compliance with this section. The board shall notify the institution in writing of its decision and the basis for that decision.
(i) The board may evaluate any institution described in subsection (a)(1) to determine its continued compliance with Sections 2089 and 2089.5 of the code if, in its sole discretion, the board has reason to believe that the institution may no longer be in compliance.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2018, 2089, 2089.5, 2102 and 2103, Business and Professions Code.
HISTORY

1. New section filed 11-13-2003; operative 12-13-2003 (Register 2003, No. 46).
2. Amendment filed 12-9-2009; operative 1-8-2010 (Register 2009, No. 50).
§1315. Medical School Training.
Note     •     History

At least the minimum number of weeks required in each core clinical course listed in Section 2089.5, subdivision (c), of the code shall be under the direction and control of the same medical school. The division may in its discretion waive this requirement in those cases where there has not been a break in an applicant's medical school training.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2005 and 2089.5, Business and Professions Code.
HISTORY

1. New section filed 5-10-89; operative 6-9-89 (Register 89, No. 19).
Article 4.1. Special Faculty Permits
§1315.01. Definitions.
Note     •     History

(a) “Dean of the medical school” means the dean of the overall medical school or that person's designee to whom the dean has given written authorization to provide the certifications required by Sections 2168.1 and 2168.2 of the code.
(b) “Special faculty permit” means the permit to practice medicine described in Article 8.5 of Chapter 5 of Division 2 (commencing with Section 2168) of the code.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2168.1 and 2168.4, Business and Professions Code.
HISTORY

1. New article 4.1 (sections 1315.01-1315.02) and section filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
§1315.02. Notification of Change in Employment Status.
Note     •     History

The dean of a medical school that employs a specialty faculty permit holder shall notify the division of any change in employment status that would render the permit holder ineligible for the permit. This notification shall be signed and dated by the dean and shall be made no later than 30 days after the date on which the permit holder becomes ineligible for the permit.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2168, 2168.1 and 2168.4, Business and Professions Code.
HISTORY

1. New section filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
§1315.03. Criteria for Eligibility to Participate in Review Committee.
Note     •     History

(a) In order to be considered for appointment to the review committee required by Section 2168.1 of the code, a medical school representative shall:
(1) Be a senior administrator designated by the dean of the medical school;
(2) Possess a current valid physician's and surgeon's certificate in California;
(3) Be involved in and knowledgeable about graduate medical education and the academic review process; and
(4) Submit a current curriculum vitae.
(b) The committee members shall serve at the pleasure of the Division.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2005 and 2168.1, Business and Professions Code.
HISTORY

1. New section filed 8-28-2007; operative 9-27-2007 (Register 2007, No. 35).
§1315.50. Requirement for Independent Clinical Evaluation.
Note     •     History

(a) This section applies both to applicants for an initial license and licensees who seek a limited practice license pursuant to Section 2441 of the code.
(b) An applicant for a limited practice license shall obtain and submit to the board with his or her application the report of an independent clinical evaluation that meets the requirements of this Article regarding the applicant's ability to practice medicine safely.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2088 and 2441, Business and Professions Code.
HISTORY

1. New article 4.5 (sections 1315.50-1315.55) and section filed 8-18-2011; operative 9-17-2011 (Register 2011, No. 33).
§1315.53. Criteria for Reviewing Physician.
Note     •     History

The independent clinical evaluation shall be performed by a physician who specializes in the diagnosis and/or treatment of disabilities of the same nature as that of the applicant, who is familiar with the applicant's areas of medical practice, and who has no personal, professional, business, or social relationship with the applicant. The term “professional relationship” includes but is not limited to, a current or previous physician-patient relationship with the applicant. The reviewing physician shall possess a current valid California license with no history of discipline.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2088 and 2441, Business and Professions Code.
HISTORY

1. New section filed 8-18-2011; operative 9-17-2011 (Register 2011, No. 33).
§1315.55. Required Contents of Report.
Note     •     History

(a) A report submitted pursuant to this Article shall:
(1) Be on the reviewing physician's letterhead, dated, and signed under penalty of perjury, and shall contain the original signature of the reviewing physician.
(2) Describe how the reviewer meets the criteria set forth in section 1315.53.
(3) Include the applicant's name and the diagnosis or description of the applicant's disability.
(4) Describe all recommended practice limitations and how these limitations permit the applicant to practice medicine safely.
(5) Provide suggested intervals between evaluations, if the disability is caused by a disease that will progress or fluctuate in severity.
(6) Indicate whether the evaluation included a review of the applicant's medical records related to the disability.
(7) Describe the current treatment protocol and the applicant's compliance with that treatment protocol, if appropriate for the type of disability.
(b) The evaluation shall have occurred not more than sixty (60) days from the date on which the application was filed with the board.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2088 and 2441, Business and Professions Code.
HISTORY

1. New section filed 8-18-2011; operative 9-17-2011 (Register 2011, No. 33).
Article 5. Processing Times for Applications  (Permit Reform Act)
§1316. Applications. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2005 and 2156, Business and Professions Code.
HISTORY

1. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Repealer filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
§1317. Qualifications for Loans. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code. 
HISTORY

1. Repealer filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
§1318. Applications for Clinical Training Programs for Foreign Medical Students. (Section 1327)
Note     •     History

(a) Within 10 working days of receipt of an application to conduct a clinical training  program for foreign medical students pursuant to Section 2064 of the code and Section 1327 of these regulations, the division shall inform the medical director of the health facility in writing that it is either complete and accepted for filing or that it is deficient and what specific information or documentation is required to complete the application. An application is considered complete if it is in compliance with the requirements of Section 1327.
(b) Within 100 calendar days from the date of filing of a completed application, the division shall inform the medical director in writing of its decision regarding the application.
(c) The division's time periods for processing an application from the receipt of the initial application to the final decision regarding issuance or denial of an approval to conduct the training program based on the division's actual performance during the two years preceding the proposal of this section were as follows:
(1) The minimum time was 12 days.
(2) The median time was 29 days.
(3) The maximum time was 31 days.
NOTE

Authority cited: Section 2018, Business and Professions Code; Section 15376, Government Code. Reference: Sections 2005 and 2064, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New article 5 (sections 1318-1319.3) filed 4-5-93; operative 5-5-93 (Register 93, No. 15). For prior history, see Register 83, No. 39.
§1319. Applications for Postgraduate Training Programs for Foreign Trained Physicians. (Section 1324) [Repealed]
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code; Section 15376, Government Code. Reference: Sections 2005, 2101, 2102 and 2103, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New section filed 4-5-93; operative 5-5-93 (Register 93, No. 15). For prior history, see Register 83, No. 39.
2. Change without regulatory effect repealing section filed 1-31-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 5).
§1319.1. Application for Postgraduate Training Programs for Foreign Trained Physicians in Approved Medical Schools. (Section 2111)
Note     •     History

(a) Within 10 working days of receipt of an application to participate in a postgraduate training program pursuant to Section 2111 of the code and Section 1325.4 of these regulations, the division shall inform the dean of the medical school in writing that it is either complete and accepted for filing or that it is deficient and what specific information or documentation is required to complete the application. An application is considered complete if it is in compliance with the requirements of Section 2111 of the code and Section 1325.4.
(b) Within 100 calendar days from the date of filing of a completed application, the division shall inform the dean in writing of its decision regarding an application.
(c) The division's time periods for processing an application from the receipt of the initial application to the final decision regarding participation in postgraduate training based on the division's actual performance during the two years preceding the proposal of this section were as follows:
(1) The minimum time was 1 day.
(2) The median time was 29 days.
(3) The maximum time was 135 days.
NOTE

Authority cited: Section 2018, Business and Professions Code; Section 15376, Government Code. Reference: Sections 2005, 2101, 2102 and 2103, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New section filed 4-5-93; operative 5-5-93 (Register 93, No. 15).
§1319.2. Application for Fellowship Programs for Foreign Trained Physicians not Located in Hospitals Affiliated with a Medical School. (Section 2112)
Note     •     History

(a) Within 10 working days of receipt of an application for approval of a fellowship program for foreign trained physicians not located in hospitals affiliated with a medical school pursuant to Section 2112 of the code and Section 1325.5 of these regulations, the division shall inform the hospital administrator in writing that it is either complete and accepted for filing or that it is deficient and what specific information or documentation is required to complete the application. An application is considered complete if it is in compliance with the requirements of Section 2112 of the code and Section 1325.5.
(b) Within 100 calendar days from the date of filing of a completed application, the division shall inform the hospital administrator in writing of its decision regarding an application.
(c) The division's time periods for processing an application from the receipt of the initial application to the final decision regarding issuance or denial of approval of the fellowship program based on the division's actual performance during the two years preceding the proposal of this section were as follows:
(1) The minimum time was 16 days.
(2) The median time was 28 days.
(3) The maximum time was 44 days.
NOTE

Authority cited: Section 2018, Business and Professions Code; Section 15376, Government Code. Reference: Sections 2005, and 2112, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New section filed 4-5-93; operative 5-5-93 (Register 93, No. 15).
§1319.3. Application to Practice Medicine in a Faculty Appointment. (Section 2113)
Note     •     History

(a) Within 10 working days of receipt of an application for a certificate to practice medicine as a part of an appointment to a position pursuant to Section 2113 of the code, the division shall inform the dean of the sponsoring medical school in writing that it is either complete and accepted for filing or that it is deficient and what specific information or documentation is required to complete the application. An application is considered complete if it is in compliance with the requirements of Section 2113 of the code.
(b) Within 100 calendar days from the date of filing of a completed application, the division shall inform the dean in writing of its decision regarding an application and shall issue the faculty member a certificate of registration.
(c) The division's time periods for processing an application from the receipt of the initial application to the final decision regarding issuance or denial of the certificate to practice medicine as a part of a faculty appointment based on the division's actual performance during the two years preceding the proposal of this section were as follows:
(1) The minimum time was 2 days.
(2) The median time was 29 days.
(3) The maximum time was 70 days.
NOTE

Authority cited: Section 2018, Business and Professions Code; Section 15376, Government Code. Reference: Sections 2005, and 2113, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New section filed 4-5-93; operative 5-5-93 (Register 93, No. 15).
§1319.4. Applications for Medical Licensure (Section 2102, 2103, 2135, or 2151).
Note     •     History

(a) Within 60 working days of receipt of an application pursuant to Business and Professions Code section 2102, 2103, 2135, or 2151 for a license to practice medicine, the division shall inform the applicant in writing whether it is complete and accepted for filing or that it is deficient and what specific information or documentation is required to complete the application.
(b) Within 100 calendar days from the date of filing of a completed application, the division shall inform the applicant in writing of the decision regarding the application for licensure. This time frame includes the time needed to take and pass the first licensure examination offered after the division determines that an application is complete.
(c) The division's time periods for processing an application from the receipt of the initial application to the final decision regarding issuance or denial of a physician and surgeon license based on the division's actual performance during the two years preceding the proposal of this section were as follows:
(1) The minimum time was 30 days.
(2) The median time was 153 days.
(3) The maximum time was 478 days.
NOTE

Authority cited: Section 2018, Business and Professions Code; and Section 15376, Government Code. Reference: Sections 2102, 2103, 2135, 2151 and 2170, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New section filed 1-18-95; operative 2-17-95 (Register 95, No. 3).
2. Change without regulatory effect amending section heading, subsection (a) and Note filed 1-31-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 5).
§1319.5. Permit Processing Times--Special Faculty Permit (Section 2168).
Note     •     History

(a) Within 60 working days of receipt of an application pursuant to Section 2168 of the code for a special faculty permit, the division shall inform the applicant in writing whether it is complete and accepted for filing or that it is deficient and what specific information or documentation is required to complete the application. An application is considered complete if it is in compliance with the requirements of Sections 2168 through 2168.2 of the code.
(b) Within 100 calendar days from the date of filing of a complete application, the division shall inform the applicant in writing of the decision regarding the application for a special faculty permit.
NOTE

Authority cited: Section 2018, Business and Professions Code; and Section 15376, Government Code. Reference: Sections 2168 through 2168.4, Business and Professions Code.
HISTORY

1. New section filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
Article 6. Postgraduate Training
§1320. Postgraduate Training Exemption Period; Guest Rotations.
Note     •     History

(a) Except as otherwise provided in this section, all approved postgraduate training shall count toward the two-year exemption period provided in Section 2065 and the three-year exemption period provided in Section 2066 of the code, including any training obtained within or outside of California, whether a full or partial year of training and regardless of whether the training was successfully completed.
(b) Nothwithstanding the provisions of subsection (a), a person may participate in guest rotations in an approved postgraduate training program in California, not to exceed a total of 90 days for all rotations, if the person has graduated from a medical school that has either been approved by the division or recognized by the division as equivalent to an approved medical school and is engaged in approved postgraduate training outside of California.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2065, 2066, 2096, 2102, 2103, 2135 and 2428, Business and Professions Code.
HISTORY

1. New section filed 2-10-2000; operative 3-11-2000 (Register 2000, No. 6). For prior history, see Register 83, No. 39.  
2. Amendment of section heading and section filed 4-24-2003; operative 5-24-2003 (Register 2003, No. 17).
§1321. Approved Postgraduate Training.
Note     •     History

(a) Postgraduate training programs meeting the standards of the Accreditation Council on Graduate Medical Education or the Royal College of Physicians and Surgeons of Canada shall be approved for the postgraduate training specified in Sections 2065, 2066, 2096, 2102, and 2103 of the code.
(b) A current list of such programs shall be maintained on file in the Sacramento office of the division.
(c) An applicant shall have been formally admitted to any postgraduate training program which is completed in order to qualify for licensure as a physician and surgeon. As used in this section, “formally admitted” means the applicant has met the program's requirements for admission to the programs.
(d) An applicant shall have completed one continuous year of approved postgraduate training in a single program in order to qualify for licensure as a physician and surgeon. The one year may be interrupted in cases due to illness or hardship. With respect to an applicant who qualifies for licensure by completing at least two years of approved postgraduate training, the second year shall be one continuous year in a single program, which may be the same or a different program than the first year. The second year may be interrupted in cases due to illness or hardship.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2005, 2037, 2065, 2066, 2096, 2102 and 2103, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 8-15-78; effective thirtieth day thereafter (Register 78, No. 33).
2. Amendment of subsection (a) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
3. Repealer of subsection (c) filed 2-16-84; effective thirtieth day thereafter (Register 84, No. 7).
4. Amendment of subsections (a) and (b), and new subsections (c) and (d) filed 5-10-89; operative 6-9-89 (Register 89, No. 19).
5. Amendment of subsections (a), (b) and (c) filed 3-9-94; operative 4-8-94 (Register 94, No. 10).
6. Amendment of subsections (a) and (d) and amendment of Note filed 1-19-2000; operative 2-18-2000 (Register 2000, No. 3).  
7. Change without regulatory effect amending subsection (a) filed 1-31-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 5).
Article 7. Foreign Medical Students and Graduates
§1322. Requirements for Foreign Medical School Graduates.
Note     •     History

Applicants for licensure as a physician and surgeon pursuant to Section 2103 (“Fifth Pathway”) shall complete the required clinical training in a program approved by the division pursuant to Section 2104 of the code and Section 1325 of these regulations.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2005, 2100, 2102, 2103 and 2170, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 8-15-78; effective thirtieth day thereafter (Register 78, No. 33).
2. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
3. Amendment of subsection (c) and repealer of subsection (d) filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
4. Change without regulatory effect amending section and Note filed 1-31-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 5).
§1323. Documentation.
Note     •     History

(a) Applicants who are graduates of a foreign medical school, except a Canadian school, shall submit with their application the original diploma and either the original or a legible reproduction of transcripts and other applicable documents showing completion of the required premedical and professional instruction, and when required, entitlement to practice medicine in a foreign country. Any original documents submitted shall be copied and returned to the applicant.
(b) All such diplomas, transcripts and other applicable documents shall be certified or authenticated by the dean, principal or other responsible officer of the school attended or the licensing authority involved.
(c) Any such documentation submitted in a language other than English shall be accompanied by a certified translation into English by a qualified translator other than the applicant.
(d) When because of circumstances beyond the control of the applicant, required documents, authentications or certifications cannot be furnished, the division in its discretion may accept certified copies of other documents or affidavits which it deems satisfactory to establish the applicant's eligibility.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2082, 2100, 2101, 2102 and 2103, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
§1324. Postgraduate Training. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2005, 2101, 2102 and 2103, Business and Professions Code.
HISTORY

1. Amendment filed 8-15-78; effective thirtieth day thereafter (Register 78, No. 33).
2. Amendment of subsection (a) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
3. Amendment of subsection (a) filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
4. Amendment filed 11-1-84; effective thirtieth day thereafter (Register 84, No. 47).
5. Amendment of heading and subsections (a)-(c) filed 10-12-89; operative 11-11-89 (Register 89, No. 42).
6. Amendment filed 5-6-92; operative 6-5-92 (Register 92, No. 19).
7. Repealer filed 10-17-97; operative 11-16-97 (Register 97, No. 42).
§1325. Criteria for Approval of Clinical Training Programs for Foreign Medical Graduates.
Note     •     History

Pursuant to Section 2104 of the code the following is the criteria for the approval of clinical training programs required of applicants under Section 2103 of the code who have not completed a one-year program of supervised clinical medical internship operated by a medical school.
(a) The medical school shall provide supervision equivalent to that given to undergraduate medical students.
(b) The medical school shall require evidence of successful completion of the formal academic curriculum of a foreign medical school.
(c) A screening examination in the form of National Board, Part I or Day I of FLEX or their equivalent shall be successfully passed by the applicant before admission to the program. The ECFMG examination or other examinations approved by the Council on Medical Education may be used for this purpose.
(d) The competence of each accepted student shall be individually evaluated so that the clinical training will correspond to the need of the student.
(e) The year of supervised clinical training shall include experience in each of the major clinical departments.
(f) In order to emphasize the educational nature of the experience for the student, and to clearly distinguish the year of supervised clinical training from an “externship,” or an internship, the hospital shall not remunerate the student and the student shall not accept any remuneration, from either the hospital or its medical staff, which could be construed as payment for house officer services.
(g) The medical school shall retain appropriate records describing the qualifications for admission, the time and duration of participation, and the achievement of the student at the completion of the year of supervised clinical training. A determination shall be made that the student is, or is not, competent to enter a program of graduate medical education.
(h) Individuals in this program shall be designated “Clinical Trainee” and wear badges so identifying them.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2005, 2103 and 2104, Business and Professions Code.
HISTORY

1. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 31).
2. Amendment filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
3. Change without regulatory effect amending first paragraph filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
§1325.4. Section 2111 of the Code -- Criteria for Approval of Foreign Trained Physicians for Postgraduate Study in Approved Medical Schools.
Note     •     History

(a) Application. Pursuant to Section 2111 of the code, a foreign trained physician who seeks postgraduate study in a medical school approved by the Division shall submit a written application which includes:
(1) The applicant's name, including all names used, address, telephone number, date and place of birth, e-mail address (if available), and photograph;
(2) Documentation of an appointment from the dean of the medical school showing that the applicant will be permitted to participate in the professional activities of the department or division to which the applicant is appointed;
(3) Documentation that the requirements of Section 2111(a) and (b)(1) of the code have been met and that the applicant is not subject to denial under Section 480 of the code;
(4) A statement from the chairperson of the department or division where the applicant will be serving which indicates the clinical duties which will be assigned the applicant and which states that the applicant will be supervised by a licensed physician who is a faculty member not classified as clinical volunteer faculty and who is on the medical staff of the medical school's medical center at which the applicant will be participating in clinical or research activities;
(5) A certification under penalty of perjury as to the contents of the application and any attachments thereto, signed and dated by the applicant and by the dean of the medical school; and
(6) The fee specified in section 1351.1.
(b) Countersignature for Orders. All orders made by a physician approved pursuant this section shall be countersigned by a licensed physician.
(c) Holding Out As Licensed. Physicians approved under this section shall not hold themselves out as possessing any type of license to practice medicine in this state.
(d) Appeal from Termination. Within 90 days of receipt of a timely appeal filed pursuant to Section 2111(e) of the code, the Division shall issue a written decision granting or denying the appeal, which shall be served on the individual and the dean of the medical school.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2005 and 2111, Business and Professions Code.
HISTORY

1. New section filed 12-13-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment of subsection (a) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
3. Amendment of section heading and section filed 8-28-2007; operative 9-27-2007 (Register 2007, No. 35).
§1325.5. Criteria for Approval of Fellowship Programs for Foreign Trained Physicians Not Located in Hospitals Affiliated with a Medical School.
Note     •     History

(a) Approval of fellowship programs by the division shall be pursuant to the following criteria for approval of fellowship programs for foreign trained physicians not located in hospitals affiliated with a medical school:
(1) Programs shall be conducted in hospitals which have a minimum capacity of 150 beds, excluding bassinets, which have a minimum of 5000 annual admissions, and which have a minimum of three (3) major clinical divisions represented in the hospital.
(2) The teaching staff shall include a minimum of three (3) persons; however, the ratio of teaching staff to postgraduate trainees shall be one to one. The hospital shall have a ratio of not less than twenty-five (25) beds per postgraduate trainee.
(3) Programs shall have a qualified teaching staff with educational background and professional experience. Each staff teacher shall be board-certified in his or her specialty area of teaching. The teaching staff shall be directed by a physician who possesses a “medical doctor” degree and is licensed as an “M.D.” by the board and  who has a clinical teaching appointment from a medical school approved by the division.
(4) One member of the teaching staff shall be in the facility at all times in which a postgraduate trainee is on duty or in training.
(5) Hospitals shall maintain adequate clinical records in conjunction with the training programs which show evidence of endorsement of the records by supervising physicians.
(6) Programs shall be conducted in hospitals which have a physician specializing in pathology on the staff who conducts clinical pathology conferences and participates in other teaching mortality and morbidity conferences.
(7) Programs shall be conducted in hospitals which have a physician specializing in radiology who participates in hospital teaching conferences. Hospitals shall have adequate fluoroscopy and viewing space to accommodate clinical trainees.
(8) Programs shall maintain an adequate medical library containing standard medical text and reference books and a representative collection of current medical journals covering the major clinical fields.
(9) Programs shall also include:
(A) adequate teaching time in proportion to service time;
(B) participation by the postgraduate in total patient care;
(C) adequate communication with attending physicians;
(D) a training committee or physician responsible for the organization, supervision and evaluation of the instruction given who shall have a teaching appointment from a medical school approved by the division;
(E) lecture facilities and teaching aids;
(F) daily ward or teaching rounds;
(G) ambulatory patient care, where appropriate;
(H) training and departmental conferences on clinical pathology, mortality and morbidity, and radiology.
(b) The application fee for approvals pursuant to this section shall be $500.00.
(c) All approvals shall be renewed annually. There is no fee charged for filing such a renewal.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2005 and 2112, Business and Professions Code.
HISTORY

1. New section filed 6-17-77; effective thirtieth day thereafter (Register 77, No. 25).
2. Amendment of subsection (c)(1) filed 8-15-78; effective thirtieth day thereafter (Register 78, No. 33).
3. Amendment of subsection (a) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
4. Amendment filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
5. Amendment of subsection (a)(3) filed 5-6-92; operative 6-5-92 (Register 92, No. 19).
§1326. Section 2113 of the Code -- Registration of Foreign Trained Physicians for Faculty Positions in Approved Medical Schools.
Note     •     History

(a) Application. Pursuant to Section 2113 of the code, a foreign trained physician who seeks registration to engage in the practice of medicine incident to, and a necessary part of, the physician's duties in a full-time faculty position in an approved medical school shall submit a written application that includes the following:
(1) The applicant's name, including all names used, address, telephone number, Social Security number or federal identification number, e-mail address (if available), and photograph;
(2) Documentation that the requirements of Section 2113(a) and (b) of the code have been met and that the applicant is not subject to denial under Section 480 of the code;
(3) A certification under penalty of perjury as to the contents of the application and any attachments thereto, signed and dated by the applicant and by the dean of the medical school; and
(4) The fee specified in section 1351.1.
(b) Licensure Plan. For purposes of Section 2113(d) of the code, a plan demonstrating the registrant's continued progress toward licensure shall be deemed sufficient if it establishes a critical path, complete with identified milestones, milestone dates and key events, that the registrant is expected to complete. Any plan submitted to the Division shall include a signed acknowledgement by the registrant that he or she has received and reviewed a copy of the plan.
(c) Signed Statement. The requirement in Section 2113(g) of the code for a “signed statement” shall be deemed to have been met if the required statement is included as part of the standard authorization for treatment form signed by the patient at time of registration with or admission to a clinic or hospital.
(d) Appeal from Termination. Within 90 days of receipt of a timely appeal filed pursuant to Section 2113(h) of the code, the Division shall issue a written decision granting or denying the appeal, which shall be served on the individual and the dean of the medical school.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2005 and 2113, Business and Professions Code.
HISTORY

1. New section filed 8-28-2007; operative 9-27-2007 (Register 2007, No. 35). For prior history, see Register 2005, No. 5.
§1327. Criteria for Approval of Clinical Training Programs for Foreign Medical Students.
Note     •     History

(a) Pursuant to Section 2064 of the code a medical student enrolled in a foreign medical school recognized by the Board may practice medicine in a clinical training program approved by the Board. A clinical training program shall submit a written application for such approval and shall meet the following criteria:
(1) Programs shall be conducted in health facilities accredited by the Joint Commission on the Accreditation of Healthcare Organizations.
(2) Programs shall be under the direction of the director of a residency program approved pursuant to Section 1321 above or an active staff member who holds a faculty appointment from the clinical department of a California medical school approved by the Board.
(3) The health facility shall be accredited for continuing education programs by the California Medical Association or by the Accreditation Council for Continuing Medical Education.
(4) The health facility shall have appropriate liability insurance for those medical students participating in the clinical training program approved under this section.
(5) The program shall have a ratio of one (1) student per physician supervisor or one (1) student per two (2) residents in the training program. Such physician supervisor or resident shall participate directly in the training of and provision of medical services by the medical student.
(6) The health facility shall not remunerate students for medical services rendered, but may provide room and board for students in the program.
(7) The health facility may require a fee to cover necessary administrative costs.
(8) A clinical training program in a specialty area shall not exceed twelve (12) weeks.
(9) The Board determines on a case-by-case basis that a health facility has sufficient beds and occupancy by patients to provide medical students with clinical experience in the specialty area of the clinical training program.
(b) The application shall include the curriculum vitae of all individual preceptors and/or physician supervisors in the program.
(c) The health facility shall file with the Board the names of those students accepted for training in the program. All students accepted shall have completed at least two (2) years of medical education and shall be in good academic standing.
(d) The approval of each clinical training program shall be for a period of one (1) year and may be renewed annually.
(e) Approval under this section shall not be required for clinical training to be taken in health facilities which are the site of a residency program approved under Section 1321, subs. (a), which is in family practice or the same clinical area as the student's training program, or in health facilities which have a major affiliation with a medical school which is approved under Section 1314, subs. (a).
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2064, Business and Professions Code.
HISTORY

1. New section filed 6-17-77; effective thirtieth day thereafter (Register 77, No. 25).
2. Amendment of subsection (a) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
3. Amendment of subsection (a) and new subsection (d) filed 8-6-86; effective thirtieth day thereafter (Register 86, No. 32).
4. Amendment of subsections (a), (a)(1), (a)(3)-(4), (a)(6)-(7), (a)(9), (c) and new subsection (e) filed 4-22-92; operative 5-22-92 (Register 92, No. 18).
5. Amendment of subsections (a), (a)(2)-(3), (a)(9) and (c) and amendment of  Note filed 8-1-2011; operative 8-31-2011 (Register 2011, No. 31).
Article 8. Examinations
§1328. Written Examinations.
Note     •     History

(a) Each of the following written examinations is recognized by the Board as meeting the examination requirement for licensure in sections 2101, 2102, 2103, and 2170 of the code:
(1) FLEX (Federation Licensing Examination) component 1 plus FLEX component 2;
(2) NBME (National Board of Medical Examiners) parts I and II plus FLEX component 2;
(3) NBME parts I/USMLE step 2 plus FLEX component 2;
(4) USMLE (United States Medical Licensing Examination) step 1/NBME part II plus FLEX component 2;
(5) USMLE steps 1 and 2 plus FLEX component 2;
(6) NBME parts I, II, and III (U.S. and Canadian graduates only);
(7) NBME part I/USMLE step 2 plus NBME part III (U.S. and Canadian graduates only);
(8) USMLE step 1/NBME part II plus NBME part III (U.S. and Canadian graduates only);
(9) NBME part I/USMLE step 2 plus USMLE step 3;
(10) USMLE step 1/NBME part II plus USMLE step 3;
(11) NBME parts I and II plus USMLE step 3;
(12) FLEX component 1 plus USMLE step 3;
(13) USMLE steps 1, 2, and 3;
(14) Qualifying examination, Medical Council of Canada;
(15) FLEX minimum weighted average of 75 achieved in one sitting (prior to 1985);
(16) USMLE steps 1 and 2 and NBME step 3;
(17) State board examinations administered before June 1, 1969.
(b) All parts of the examination of the LMCC (Licentiate of the Medical Council of Canada) shall qualify an applicant under section 2102 of the code to commence postgraduate training (clinical service) in a hospital in this state. In addition, the following written examinations are recognized by the Board as qualifying international medical graduates to commence postgraduate training (clinical service) in a hospital in this state:
(1) FLEX component 1;
(2) NBME parts I and II;
(3) NBME part I and USMLE step 2;
(4) USMLE step 1 and NBME part II;
(5) USMLE steps 1 and 2.
(c) If an applicant desires to take one of the examinations referred to in this section, he or she must personally make the arrangements to do so.
(d) Candidates shall comply with the procedures for examination established by the National Board or the USMLE examination committee, where applicable.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 851, 2005, 2096, 2102, 2103, 2151, 2170, 2176 and 2183, Business and Professions Code.
HISTORY

1. Repealer and new subsection (a) filed 6-4-79; effective thirtieth day thereafter (Register 79, No. 23).
2. Amendment of subsection (a) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
3. Amendment of subsection (a) filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
4. Amendment of subsection (a) and NOTE filed 6-5-91; operative 7-5-91 (Register 91, No. 31).
5. Amendment filed 4-25-96; operative 4-25-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 17).
6. Change without regulatory effect amending subsections (a)(15)-(16) and (c) filed 9-10-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
7. Change without regulatory effect amending subsection (b) and Note filed 1-31-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 5).
8. Amendment of subsection (a), new subsection (a)(16), subsection renumbering and amendment of subsection (b) filed 4-12-2011; operative 5-12-2011 (Register 2011, No. 15).
§1329. Oral Examination. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2005, 2101, 2102, 2113, 2135, 2148, 2151, and 2428, Business and Professions Code.
HISTORY

1. New section filed 8-23-79; effective thirtieth day thereafter (Register 79, No. 34).
2. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
3. Amendment filed 3-29-93; operative 4-28-93 (Register 93, No. 14).
4. Change without regulatory effect repealing section filed 7-26-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 31).
§1329.1. Additional Medical Instruction Required After Failure of Examination. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2005, 2170, 2176 and 2185, Business and Professions Code.
HISTORY

1. New section filed 5-3-96; operative 5-3-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 18).
2. Change without regulatory effect amending subsections (a)-(a)(2) filed 7-26-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 31).
3. Change without regulatory effect repealing section filed 1-31-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 5).
§1329.2. Written Examination Score Validity.
Note     •     History

The ten year period described in section 2184(b) of the code is not tolled by the filing of an application for licensure, but continues to run during the application process until such time as all other requirements for licensure have been satisfied.
NOTE

Authority cited: Sections 2018, Business and Professions Code. Reference: Sections 2005, 2170, 2176, 2177, 2184, Business and Professions Code.
HISTORY

1. New section filed 5-6-96; operative 5-6-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 19).
§1330. Refresher Courses.
Note     •     History

A member of the division or an employee of the board shall not recommend to an applicant for examination the name of organizations offering coaching or refresher courses for medical licensing examinations.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2005, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
Article 9. Certificates
§1331. Form of Certificates.
Note     •     History

(a) The division shall adopt each form of certificate issued in compliance with Section 164 of the code. Each class of certificate shall bear a letter designating the class thereof, followed by a serial number to establish its identity and to effectuate a numerical record.
(b) All reciprocity certificates shall have a designating stamp thereon in the form prescribed by the division in compliance with Section 164 of the code.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 164, 2005, 2039, 2050 and 2153, Business and Professions Code.
HISTORY

1. Repealer of subsection (c) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
§1332. Duplicate Certificates.
Note     •     History

A duplicate certificate may be issued to any licentiate who files the required fee therefor and submits an affidavit on a form provided by the division certifying to the loss or destruction of the original certificate. The duplicate certificate issued shall bear the same number and date of issuance as the original certificate and shall have the word “Duplicate” printed across the face thereof, together with the date the duplicate was issued. Any licensee whose name has been changed by court order or dissolution of marriage, the licensee shall attach a certified copy of the court record ordering the name change. At the time the change of name is requested, the original certificate of the licensee shall be returned to the office of the division so that an endorsement of the name change may be made on the division's records and a duplicate certificate issued. A photograph of the licensee taken within sixty (60) days must accompany the application and be affixed to the affidavit form provided by the division.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2005, 2432 and 2435, Business and Professions Code.
HISTORY

1. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
Article 10. Reciprocity
§1334. Reciprocity Applications. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2005, 2141 and 2144, Business and Professions Code.
HISTORY

1. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Repealer filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
§1335. Endorsement of Credentials to Another State.
Note     •     History

(a) Any application filed by a licentiate of the board for certification or endorsement of credentials to the medical licensing authority of another state for the purpose of reciprocity licensure shall be accompanied by a photograph of the applicant taken within sixty (60) days. An affidavit form provided by the division shall be signed before a notary public by the applicant and affixed to the reverse side of the photograph.
(b) No endorsement shall be made unless the applicant has signed the required affidavits contained in the application and filed with the division the required endorsement fee.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2433 and 2435, Business and Professions Code.
HISTORY

1. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
Article 11. Continuing Education
§1336. Continuing Education Required.
Note     •     History

(a) Each physician is required to complete not less than 50 hours of approved continuing education during each two-year period immediately preceding the expiration date of the license except as permitted by Section 1337(d). If an initial license was issued for less than 13 months, only 25 hours of continuing education must be completed.
(b) Each physician renewing his or her license under the provisions of Article 19 (commencing with Section 2420) of the Medical Practice Act may be required to submit proof satisfactory to the division of compliance with the provisions of this article a minimum of every four (4) years.
(c) Each physician in order to renew his or her license at each renewal thereof shall report progress towards compliance with the continuing education requirement.
(d) Any physician who does not complete a minimum of 50 hours of approved continuing education during the two-year period immediately preceding the expiration date of the license shall be ineligible for renewal of his or her license under Section 1338 unless such physician applies for and obtains a waiver pursuant to Section 1339 below.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2190 and 2420, Business and Professions Code.
HISTORY

1. New Article 11 (Sections 1336-1339, not consecutive) filed 5-20-77 as an emergency; effective upon filing (Register 77, No. 21).
2. Certificate of Compliance filed 5-23-77 (Register 77, No. 21).
3. Amendment filed 11-17-78; effective thirtieth day thereafter (Register 78, No. 46).
4. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
5. Amendment of subsection (d) filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
6. Amendment of subsections (a) and (d) and amendment of Note filed 12-11-2008; operative 1-10-2009 (Register 2008, No. 50).
§1336.5. CPR Training Required. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2005 and 2190, Business and Professions Code.
HISTORY

1. New section filed 6-4-80; effective thirtieth day thereafter (Register 80, No. 23). For history of former section, see Register 78, No. 46.
2. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
3. Amendment of subsection (c) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
4. Amendment of subsection (a) filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
5. Amendment of subsection (c) filed 9-23-83; effective thirtieth day thereafter (Register 83, No. 39).
6. Repealer filed 9-18-85; effective thirtieth day thereafter (Register 85, No. 38).
§1337. Approved Continuing Education Programs.
Note     •     History

(a) The following programs are approved by the division for continuing education credit:
(1) Programs which qualify for Category I credit from the California Medical Association or the American Medical Association;
(2) Programs which qualify for prescribed credit from the American Academy of Family Physicians;
(3) Programs offered by other organizations and institutions acceptable to the division.
(b) Only those courses and other educational activities that meet the requirements of Section 2190.1 of the code which are offered by these organizations shall be acceptable for credit under this section.
(c) A maximum of one-third of the required hours of continuing education may be satisfied by teaching or otherwise presenting a course or program approved under this section.
(d) Any physician who takes and passes a certifying or recertifying examination administered by a recognized specialty board shall be granted credit for four (4) consecutive years (100 hours) of continuing education credit for relicensure purposes. Such credit may be applied retroactively or prospectively.
(e) A maximum of sixty (60) hours of continuing education shall be granted to a physician for receiving the Physician's Recognition Award.
(f) A maximum of six (6) hours of continuing education shall be granted for each month that a physician is engaged in an approved postgraduate residency training program or approved clinical fellowship program accredited by the Accreditation Council for Graduate Medical Education (ACGME) for relicensure purposes.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2190, Business and Professions Code.
HISTORY

1. Amendment filed 8-23-77; effective thirtieth day thereafter (Register 77, No. 35).
2. Amendment filed 5-29-81; effective thirtieth day thereafter (Register 81, No. 22).
3. New subsection (b) and subsection relettering filed 8-26-93; operative 9-27-93 (Register 93, No. 35).
4. Change without regulatory effect amending subsection (a)(2) filed 6-18-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 25).
5. New subsections (e)-(f) filed 9-14-98; operative 9-14-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 38).
§1337.5. Criteria for Acceptability of Courses.
Note     •     History

(a) Those courses and programs referred to in Section 1337(a)(3) above shall meet the following criteria in order to be acceptable to the division on an hour-for-hour basis:
(1) Faculty--The course or program organizer(s) shall have a faculty appointment in a public university or state college or in a private postsecondary educational institution authorized or approved pursuant to Sections 94310 or 94311 of the Education Code. The appointment may be in disciplines other than medicine but directly related to the practice of medicine. The curriculum vitae of all faculty members and other organizers shall be kept on file.
(2) Rationale--The need for the course and how the need was determined shall be clearly stated and maintained on file.
(3) Course Content--The content of the course or program shall be directly related to patient care, community health or public health, preventive medicine, quality assurance or improvement, risk management, health facility standards, the legal aspects of clinical medicine, bioethics, professional ethics, or improvement of the physician-patient relationship.
(4) Educational Objectives--Each course or program shall clearly state educational objectives that can be realistically accomplished within the framework of the course.
(5) Method of Instruction--Teaching methods for each course or program shall be described, e.g., lecture, seminar, audio-visual, simulation, etc.
(6) Evaluation--Each course or program shall include an evaluation method which documents that educational objectives have been met, e.g., written examination or written evaluation by each participant.
(7) Attendance--Course organizers shall maintain a record of attendance of each participant.
(b) The division will not give prior approval to individual courses or programs; however, the division will randomly audit courses or programs submitted for credit in addition to any course or program for which a complaint is received. If an audit is made, course organizers will be asked to submit to the division:
(1) Organizer(s) faculty curriculum vitae;
(2) Rationale for course;
(3) Course content;
(4) Educational objectives;
(5) Teaching methods;
(6) Evidence of evaluation;
(7) Attendance records.
(c) Credit toward the required hours of continuing education will not be received for any course deemed unacceptable by the division after an audit has been made pursuant to this section.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2190, Business and Professions Code.
HISTORY

1. New section filed 9-1-77; effective thirtieth day thereafter (Register 77, No. 36).
2. Amendment of subsection (a)(1) filed 4-11-80; effective thirtieth day thereafter (Register 80, No. 15).
3. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
4. Amendment of subsection (a)(3) filed 8-26-93; operative 9-27-93 (Register 93, No. 35).
§1338. Audit and Sanctions for Noncompliance.
Note     •     History

(a) The Board shall audit during each year a random sample of physicians who have reported compliance with the continuing education requirement. No physician shall be subject to audit more than once every four (4) years. Those physicians selected for audit shall be required to document their compliance with the continuing education requirements of this article on a form provided by the Board.
(b) Any physician who is found not to have completed the required number of hours of approved continuing education will be required to make up any deficiency during the next biennial renewal period. Such physician shall document to the Board the completion of any deficient hours identified by audit. Any physician who fails to make up the deficient hours during the following renewal period shall be ineligible for renewal of his or her license to practice medicine until such time as the deficient hours of continuing education are documented to the Board.
(c) It shall constitute unprofessional conduct for any physician to misrepresent his or her compliance with the provisions of this article.
(d) Any physician selected for audit who has been certified as complying with the continuing education requirements of this article by those organizations listed in Section 1337, subsections (a)(1) and (a)(2), will not be required to submit documentation or records of continuing education coursework received, but the Board may obtain such records directly from the certifying organizations.
(e) The Board requires that each physician retain records for a minimum of four years of all continuing education programs attended which indicate the title of the course or program attended, dates of attendance, the length of the course or program, the sponsoring organization and the accrediting organization, if any, which may be needed in the event of an audit by the Board.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2190, Business and Professions Code.
HISTORY

1. Amendment filed 9-1-77; effective thirtieth day thereafter (Register 77, No. 36).
2. Repealer and new section filed 11-17-78; effective thirtieth day thereafter (Register 78, No. 46).
3. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
4. Amendment of subsections (b) and (e) filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
5. Amendment filed 12-3-2009; operative 1-2-2010 (Register 2009, No. 49).
§1339. Waiver of Requirement.
Note     •     History

(a) The division, in its discretion may exempt from the continuing education requirements, any licensee who for reasons of retirement, health, military service, or undue hardship cannot meet those requirements. Applications for waivers shall be submitted on a provided form to the division for its consideration.
(b) Any physician who submits an application for a waiver which is denied by the division, shall be ineligible for renewal of his or her license to practice medicine unless such physician complies with the provisions of Section 1338.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2190, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 8-23-77; effective thirtieth day thereafter (Register 77, No. 35).
2. Amendment of subsection (b) filed 11-17-78; effective thirtieth day thereafter (Register 78, No. 46).
3. Amendment filed 6-20-79; effective thirtieth day thereafter (Register 79, No. 25).
4. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
5. Change without regulatory effect amending subsection (b)(2) filed 8-16-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 33).
6. Change without regulatory effect repealing subsections (b)-(b)(3) and relettering former subsection (c) to subsection (b) filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
§1339.5. Inactive Licensure.
Note     •     History

(a) “Board” as used in Section 701 of the Code means the Division of Licensing.
(b) Any physician and surgeon desiring (1) an inactive certificate or (2) to restore his or her inactive certificate to an active status shall submit an application to the division on a form provided by it. The applicant need not submit his or her certificate or a copy thereof to the division with the application.
(c) In order to restore an inactive certificate to active status, the physician shall have completed a minimum of fifty (50) hours of continuing education within the last two (2) years in compliance with Article 11 (commencing with Section 1336).
(d) The inactive status of a certificate holder shall not deprive the Division of Medical Quality of its authority to institute or continue a disciplinary proceeding against the licensee upon any ground provided by law or to enter an order suspending or revoking the certificate or otherwise taking disciplinary action against the licensee on any such ground.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 701 and 704, Business and Professions Code.
HISTORY

1. Renumbering of Section 131 to Section 1339.5 filed 5-14-81; effective thirtieth day thereafter (Register 81, No. 20). For history of former Section 1310, See Register 78, No. 19.
2. Amendment filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
Article 12. Salaried Employment
§1340. Conditions of Employment.
Note     •     History

(a) Any licensed charitable and eleemosynary institution, foundation or clinic may employ physicians and surgeons so long as such an institution, foundation or clinic does not require a charge for professional medical services rendered patients.
(b) Such employment does not require prior approval of the division.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2400 and 2401, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 4-11-80; effective thirtieth day thereafter (Register 80, No. 15).
2. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
§1340.5. Employment of Out-of-State Physicians by State and County General Hospitals. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2072 and 2073, Business and Professions Code.
HISTORY

1. New section filed 3-23-79; effective thirtieth day thereafter (Register 79, No. 13).
2. Amendment of subsections (d) and (e) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
3. Renumbering and amendment of Section 1340.5 to Section 1341 filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
§1341. Employment of Out-of-State Physicians by State and County General Hospitals.
Note     •     History

Any state institution or county general hospital which employs or appoints to the medical staff a physician who is not licensed in this state shall meet the following conditions in order to employ or appoint such a physician:
(a) The institution or hospital shall register each such physician with the division.
(b) The director of each such institution or hospital shall certify to the division that physicians licensed in this state cannot be recruited.
(c) All registrations and certifications shall be on a form provided by the division.
(d) The physician and institution or hospital otherwise comply with the provisions of Sections 2072 and 2073 of the code, as the case may be. Failure to comply with these sections or this regulation shall constitute grounds for revocation of the registration provided for herein.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2072 and 2073, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 1341 to Section 1342 and renumbering and amendment of former Section 1340.5 to Section 1341 filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39). For history of former Section 1341, see Register 81, No. 32.
Article 13. Professional Corporations
§1341.2. Office for Filing.
Note     •     History

NOTE

Authority cited: Sections 2018 and 2412, Business and Professions Code.
HISTORY

1. Repealer filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
§1342. Citation.
Note     •     History

These regulations may be cited and referred to as the “Professional Corporation Regulations.”
NOTE

Authority and reference cited: Sections 2018 and 2412, Business and Professions Code.
HISTORY

1. Repealer of former Section 1342 and renumbering and amendment of former Section 1341 to Section 1342 filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39). For history of former Section 1342, see Registers 81, No. 32 and 80, No. 15.
§1342.5. Approval and Issuance of Certificates. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 2018 and 2412, Business and Professions Code.
HISTORY

1. Repealer filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
§1343. Requirements for Professional Corporations.
Note     •     History

A professional corporation shall comply with the following provisions:
(a) The corporation is organized and exists pursuant to the general corporation law and is a professional corporation within the meaning of the Moscone-Knox Professional Corporations Act (Corporations Code Section 13400 et seq.).
(b) Each shareholder, director or officer (except as provided in Section 13403 of the Corporations Code and Section 2408 of the code) holds a valid physician's and surgeon's certificate or certificate to practice podiatric medicine, as the case may be, provided that, a licensed podiatrist, psychologist, optometrist, physician's assistant, clinical social worker, marriage, family and child counselor, chiropractor or registered nurse may be a shareholder, director or officer of a medical corporation so long as such licensed persons own no more than 49% of the total shares issued by the medical corporation and the number of licensed persons owning shares in the medical corporation does not exceed the number of physicians owning shares in such a corporation, and a licensed physician may be a shareholder, director or officer of a podiatry corporation so long as such physician owns no more than 49% of the total shares issued by the podiatry corporation and the number of licensed physicians owning shares in the podiatry corporation does not exceed the number of podiatrists owning shares in such a corporation. A physician, psychologist, optometrist and registered nurse may also be a shareholder, director or officer in a podiatry corporation subject to the same numerical restrictions.
(c) Each professional employee of the corporation who will practice medicine, podiatry, psychology, optometry, clinical social work, marriage, family and child counselling, chiropractic or nursing, whether or not a director, officer or shareholder, holds a valid license.
(d) A physician and surgeon or podiatrist may be a shareholder, officer or director in more than one professional corporation.
NOTE

Authority cited: Sections 2018 and 2412, Business and Professions Code. Reference: Sections 2406 and 2408, Business and Professions Code; Sections 13401, 13401.5, 13403, 13405, 13406 and 13407, Corporations Code.
HISTORY

1. Amendment of subsections (b) and (d) filed 5-10-78; effective thirtieth day thereafter (Register 78, No. 19).
2. Amendment of subsections (b) and (d) filed 4-11-80; effective thirtieth day thereafter (Register 80, No. 15).
3. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
4. Amendment filed 2-16-84; effective thirtieth day thereafter (Register 84, No. 7).
5. Change without regulatory effect amending subsections (b) and (c) filed 3-2-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 10).
§1344. Namestyle.
Note     •     History

(a) Unless a fictitious name permit is obtained pursuant to Section 2415 of the code, the name of a professional corporation shall be restricted to the name or surname of one or more of the present prospective or former shareholders who are physicians or podiatrists, as the case may be, for a medical or podiatry corporation.
(b) When the applicant uses any fictitious, false or assumed name or any name other than the name or surname of one or more of the present, prospective or former shareholders, or any other words or names in addition to those of the shareholders, it shall obtain a permit pursuant to Section 2415 of the code. The fee required in Section 1352 shall accompany the fictitious name permit application.
(c) A professional corporation with a majority of physicians and surgeons as shareholders, officers and directors shall not use the designations “Podiatry Corporation” or “Podiatry Corp.” A corporation with a majority of podiatrists as shareholders, officers and directors shall not use the designation “Medical Corporation” or “Medical Corp..”
NOTE

Authority cited: Sections 2018 and 2412, Business and Professions Code. Reference: Sections 2285, 2407 and 2415, Business and Professions Code; and Section 13409, Corporations Code.
HISTORY

1. Amendment of subsection (c) filed 5-10-78; effective thirtieth day thereafter (Register 78, No. 19).
2. Amendment of subsection (a) filed 4-11-80; effective thirtieth day thereafter (Register 80, No. 15).
3. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
4. Amendment filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
5. Change without regulatory effect amending section filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
§1345. Shares: Ownership and Transfer.
Note     •     History

(a) Where there are two or more shareholders in a professional corporation and one of the shareholders:
(1) Dies; or
(2) Becomes a disqualified person as defined in Section 13401(d) of the Corporations Code. His or her shares shall be sold and transferred to the corporation, its shareholders or other eligible licensed persons on such terms as are agreed upon. Such sale or transfer shall not be later than six (6) months after any such death and not later than ninety (90) days after the date the shareholder becomes a disqualified person. The requirements of this subsection of this section shall be set forth in the professional corporation's articles of incorporation or bylaws.
(b) A corporation and its shareholders may, but need not, agree that shares sold to it by a person who becomes a disqualified person may be resold to such person if and when he or she again becomes an eligible shareholder.
(c) The share certificates of a professional corporation shall contain an appropriate legend setting forth the restrictions of subsection (b), where applicable.
(d) Nothing in these regulations shall be construed to prohibit a professional corporation from owning shares in a nonprofessional corporation.
NOTE

Authority cited: Sections 2018 and 2412, Business and Professions Code. Reference: Sections 2409 and 2412, Business and Professions Code; and Sections 13401, 13403, 13406 and 13407, Corporations Code.
HISTORY

1. Amendment of subsections (b) and (e) filed 5-10-78; effective thirtieth day thereafter (Register 78, No. 19).
2. Amendment of subsection (b)(2) filed 6-4-79; effective thirtieth day thereafter (Register 79, No. 23).
3. Amendment of subsection (e) filed 4-11-80; effective thirtieth day thereafter (Register 80, No. 15).
4. Amendment of subsection (f) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
5. Amendment filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
§1345.5. Certificates of Registration: Continuing Validity and Reports. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 2018 and 2412, Business and Professions Code.
HISTORY

1. Amendment filed 6-4-79; effective thirtieth day thereafter (Register 79, No. 23).
2. Repealer filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
§1346. Security for Claims Against a Professional Corporation. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 2018 and 2412, Business and Professions Code. Reference: Section 2412, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Repealer filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
§1347. Corporate Activities.
Note     •     History

(a) A professional corporation may perform any act authorized in its articles of incorporation or bylaws so long as that act is not in conflict with or prohibited by the Medical Practice Act, and where applicable the Psychology Licensing Law, the Optometry law, Physician Assistants Practice Act, the social worker licensing law and the marriage, family and child counselor licensing law or the Nursing Practice Act in the case of a corporation which has a licensed psychologist, optometrist or registered nurse as a shareholder, director or officer, or the regulations adopted pursuant thereto.
(b) A professional medical or podiatry corporation may enter into partnership agreements with other physicians and surgeons or podiatrists, as the case may be, practicing individually or in a group or with other medical or podiatry corporations.
NOTE

Authority cited: Sections 2018 and 2412, Business and Professions Code. Reference: Sections 2412 and 2416, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 5-10-78; effective thirtieth day thereafter (Register 78, No. 19).
2. Amendment of subsection (a) filed 4-11-80; effective thirtieth day thereafter (Register 80, No. 15).
3. Amendment of subsection (a) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
4. Amendment of subsection (a) filed 2-16-84; effective thirtieth day thereafter (Register 84, No. 7).
5. Change without regulatory effect amending subsection (a) filed 9-9-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 51).
§1348. Trusts.
Note     •     History

The restrictions on the ownership of the shares of professional corporations shall apply to both the legal and equitable title to such shares.
NOTE

Authority cited: Sections 2018 and 2412, Business and Professions Code. Reference: Sections 13406 and 13407, Business and Professions Code.
HISTORY

1. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
§1349. Partnerships.
Note     •     History

Nothing in Section 2416 of the code or this article shall be construed to authorize a partnership agreement in which fees are combined or shared between a physician and surgeon(s) and a podiatrist(s) or any other licensed professional, not a physician and surgeon.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2285, 2415 and 17500, Business and Professions Code.
HISTORY

1. Renumbering of former Section 1350.4 to Section 1349 filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39). For history of former Section 1349, see Register 81, No. 32.
Article 14. Fictitious and Group Names
§1350. Application.
Note     •     History

(a) Applications for a fictitious name permit shall be submitted on a form provided by the division containing such information as is required therein.
(b) The application shall be signed by a licensed person who is a member of the group or clinic or by an officer of the professional corporation, as the case may be, requesting the use of such name.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2285 and 2415, Business and Professions Code.
HISTORY

1. Repealer of former Section 1350 and renumbering of former Section 1350.1 to Section 1350 filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39). For prior history, see Registers 81, No. 32 and 79, No. 23.
§1350.1. Request for a Duplicate Fictitious Name Permit.
Note     •     History

(a) The holder of a current fictitious name permit may apply to the division for a duplicate of that fictitious name permit if the fictitious name permit has been lost, stolen or destroyed. The request for a duplicate fictitious name permit shall contain the following information:
(1) The type of entity to whom the fictitious name permit was issued;
(2) The name, address and telephone number of the permit holder;
(3) The fictitious name permit number; and
(4) The reason for requesting the duplicate fictitious name permit.
NOTE

Authority cited: Sections 2018 and 2415, Business and Professions Code. Reference: Sections 2415 and 2432, Business and Professions Code.
HISTORY

1. New section filed 1-8-99; operative 1-8-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 2).
§1350.2. Approval and Issuance of Permits.
Note     •     History

(a) The division shall within a reasonable time after an application has been filed issue a fictitious name permit or refuse to approve the application and notify the applicant of the reasons therefor.
(b) All fictitious name permits shall be issued and made effective after review and approval of the application by the division; provided that, for good cause shown, the division may issue a permit retroactively effective the date on which the application and/or initial permit fee are filed, whichever last occurs. A fictitious name permit shall be dated when it is issued and made effective.
(c) No licensed person shall render professional services using a fictitious, false or assumed name or any name other than his or her own unless and until a fictitious name permit has been issued by the division.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2285 and 2415, Business and Professions Code.
HISTORY

1. New NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
§1350.3. Namestyle.
Note     •     History

(a) A group or clinic containing physicians and surgeons shall not use a designation containing the word “Podiatry” or “Podiatrists.” A group or clinic containing podiatrists only shall not use a designation containing the word “Medical.”
(b) A group or clinic containing both a corporate and noncorporate entity or a partnership of corporations shall not use wording or abbreviations denoting corporate existence.
(c) The division shall not issue a fictitious name permit for a name-style which
(1) May be a violation of Section 17500 of the code;
(2) Is so similar to a name currently authorized as to be deceptive, misleading or subject to confusion.
(d) The use of word(s) or abbreviation(s) following a licensed person's name denoting affiliation with a professional medical or podiatric society or association such as, but not limited to, F.A.C.S., F.A.C.P., etc. shall not create a fictitious name for purposes of Section 2285 of the code; however, the use of any word(s) or abbreviations(s) which denotes a particular specialty in medical practice which is advertised or disseminated to the public in connection with that practice shall require a fictitious name permit.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2285, 2415, and 17500, Business and Professions Code.
HISTORY

1. Amendment of subsections (c), (d)(3) and (e) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment of subsection (d) filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
3. Amendment of subsection (d) filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
4. Change without regulatory effect amending section filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
§1350.4. Partnerships. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2416, Business and Professions Code.
HISTORY

1. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Renumbering of Section 1350.4 to Section 1349 filed 9-21-83; effective thirtieth day thereafter (Register 83, No. 39).
Article 15. Fees *

* For former text of Article 15, see Article 5, Subchapter 3.
§1351. Examination Fees. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 2018 and 2436, Business and Professions Code. Reference: Section 2435, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 12-13-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
3. Amendment of subsection (c) filed 3-5-82; effective thirtieth day thereafter (Register 82, No. 10).
4. Amendment filed 6-2-83; effective thirtieth day thereafter (Register 83, No. 23).
5. Amendment filed 8-30-84; effective thirtieth day thereafter (Register 84, No. 35).
6. Amendment filed 12-21-87; operative 1-20-88 (Register 88, No. 1).
7. Amendment filed 4-5-91; operative 5-5-91 (Register 91, No. 17).
8. Amendment filed 4-24-96; operative 4-24-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 17).
9. Amendment of subsection (b) filed 1-2-97; operative 1-2-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 1).
10. Amendment of subsection (b) filed 10-27-97 as an emergency; operative 10-27-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-24-98 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 10-27-97 order transmitted to OAL 12-11-97 and filed 1-26-98 (Register 98, No. 5).
12. Change without regulatory effect repealing subsection (c) filed 7-26-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 31).
13. Change without regulatory effect repealing section filed 1-31-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 5).
§1351.1. Special Programs Fees.
Note     •     History

(a) The fee for application for approval under Section 2111 of the Code shall be $86. The fee for renewal of approval under Section 2111 shall be $43.
(b) The fee for application for registration under Section 2113 of the Code shall be $86. The fee for renewal of registration under Section 2113 shall be $43.
NOTE

Authority cited: Sections 2018, 2111 and 2113, Business and Professions Code. Reference: Sections 2111 and 2113, Business and Professions Code.
HISTORY

1. New section filed 8-28-2007; operative 9-27-2007 (Register 2007, No. 35).
§1351.5. Initial License Fee.
Note     •     History

The initial license fee for licensure as a physician or surgeon or for a special faculty permit shall be $805 for licensing periods beginning on or after January 1, 2007. The initial license fee shall be $783 for licensing periods beginning on or after July 1, 2009.
NOTE

Authority cited: Sections 125.3, 2018, 2168.4 and 2436, Business and Professions Code. Reference: Sections 125.3, 2168.4 and 2435, Business and Professions Code.
HISTORY

1. Amendment filed 10-30-89 as an emergency; operative 2-1-90 (Register 89, No. 45). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 2-27-90. For prior history, see Register 89, No. 7.
2. Certificate of Compliance as to 10-30-89 order including amendment transmitted to OAL 2-22-90 and filed 3-9-90 (Register 90, No. 11).
3. Amendment filed 8-1-91; operative 8-1-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 48).
4. Amendment filed 5-20-92; operative 6-19-92 (Register 92, No. 24).
5. Amendment filed 9-30-92 as an emergency; operative 9-30-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-28-93 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 9-30-92 order transmitted to OAL 12-21-92 and filed 2-2-93 (Register 93, No. 6).
7. Amendment filed 12-3-93 as an emergency; operative 1-1-94 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 4-30-94 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 12-3-93 transmitted to OAL 3-14-94 and filed 4-25-94 (Register 94, No. 17).
9. Amendment of section and Note filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
10. Amendment of section and Note filed 11-16-2006; operative 12-16-2006 (Register 2006, No. 46).
11. Amendment filed 3-4-2009; operative 4-3-2009 (Register 2009, No. 10).
§1351.6. Expiration Date of Initial Licenses.
Note     •     History

The expiration date of an initial license when issued shall be the last day of the second birthmonth of the licensee after the date the license is issued.
NOTE

Authority cited: Sections 2018 and 2436, Business and Professions Code. Reference: Sections 2423 and 2435, Business and Professions Code.
HISTORY

1. New section filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Editorial correction of printing error restoring proper section placement (Register 92, No. 40).
§1352. Renewal Fee.
Note     •     History

The biennial renewal fee for licenses or special faculty permits which expire on or after January 1, 2007 shall be $805. The biennial renewal fee for licenses or special faculty permits which expire on or after July 1, 2009 shall be $783. 
NOTE

Authority cited: Sections 125.3, 2018, 2168.4 and 2436, Business and Professions Code. Reference: Sections 125.3, 2168.4 and 2435, Business and Professions Code.
HISTORY

1. Amendment filed 10-30-89 as an emergency; operative 2-1-90 (Register 89, No. 45). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 2-27-90. For prior history, see Register 89, No. 7.
2. Certificate of Compliance as to 10-30-89 order including amendment transmitted to OAL 2-22-90 and filed 3-9-90 (Register 90, No. 11).
3. Editorial correction of text (Register 91, No. 30).
4. Amendment filed 8-1-91; operative 8-1-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 48).
5. Amendment filed 5-20-92; operative 6-19-92 (Register 92, No. 24).
6. Amendment filed 9-30-92 as an emergency; operative 9-30-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-28-93 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 9-30-92 order transmitted to OAL 12-21-92 and filed 2-2-93 (Register 93, No. 6).
8. Amendment filed 12-3-93 as an emergency; operative 1-1-94 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 4-30-94 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-3-93 transmitted to OAL 3-14-94 and filed 4-25-94 (Register 94, No. 17).
10. Amendment filed 12-29-94; operative 1-30-95 (Register 94, No. 52).
11. Amendment of section and Note filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
12. Amendment of section and Note filed 11-16-2006; operative 12-16-2006 (Register 2006, No. 46).
13. Amendment filed 3-4-2009; operative 4-3-2009 (Register 2009, No. 10).
§1352.1. Conversion Renewal Schedule. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code.
HISTORY

1. New section filed 2-15-78 as an emergency; effective upon filing. Certificate of Compliance included (Register 78, No. 7).
2. Repealer filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
§1352.2. Penalty Fee.
Note     •     History

Pursuant to Section 2424 of the code, any physician who does not renew his or her expired license or special faculty permit within 90 days of its date of expiration shall pay a penalty fee equal to 50% of the biennial renewal fee currently in effect.
NOTE

Authority cited: Sections 2018, 2168.4 and 2436, Business and Professions Code. Reference: Sections 2168.4, 2424 and 2435, Business and Professions Code.
HISTORY

1. New section filed 2-15-78 as an emergency; effective upon filing. Certificate of Compliance included (Register 78, No. 7).
2. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
3. Amendment filed 3-5-82; effective thirtieth day thereafter (Register 82, No. 10).
4. Amendment of section and Note filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
§1353. Fictitious Name Permit Duplicate Fee.
Note     •     History

The fee for a duplicate fictitious name permit shall be $30.
NOTE

Authority cited: Sections 2018, 2415 and 2443, Business and Professions Code. Reference: Sections 2415 and 2443, Business and Professions Code.
HISTORY

1. New section filed 1-8-99; operative 1-8-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 2). For prior history, see Register 95, No. 46.
§1354. Fee for Specialty Board Approval.
Note     •     History

Each specialty board or association applying for approval from the Division of Licensing under section 651 of the code and section 1363.5 of these regulations shall pay a fee of $4,030.
NOTE

Authority cited: Sections 651 and 2018, Business and Professions Code.  Reference: Section 651, Business and Professions Code.
HISTORY

1. New section filed 3-9-94; operative 4-8-94 (Register 94, No. 10). For prior history, see Register 81, No. 32.
2. Amendment filed 2-3-99; operative 3-5-99 (Register 99, No. 6).
Article 16. Information Disclosure
§1354.5. Requirements for Information Disclosure.
Note     •     History

The following information, if known, will be disclosed upon request regarding any physician and surgeon licensed in California:
(a) Current status of a license, issuance and expiration date of a license, medical school of graduation and date of graduation.
(b) Any public document filed against any physician and surgeon, and any disposition thereof, including but not limited to, accusations, decisions, temporary restraining orders, interim suspension orders, citations, and public letters of reprimand. Accusations which have been filed and later withdrawn shall be retained in the board's files for a period of one year after the accusation was withdrawn.
(c) Medical malpractice judgments in excess of $30,000 reported to the board on or after January 1, 1993, including the amount of the judgment, the date of the judgment, the court of jurisdiction, the case number, a brief summary of the circumstances as provided by the court, and an appropriate disclaimer, including but not limited to, the accuracy of the information provided.
(d) Discipline imposed by another state or the federal government reported to the board on or after January 1, 1991, including the discipline imposed, the date of the discipline, the state where the discipline was imposed, and an appropriate disclaimer, including but not limited to, the accuracy of the information provided.
(e) California felony convictions reported to the board on or after January 1, 1991, including the nature of the conviction, the date of conviction, the sentence, if known, the court of jurisdiction, and an appropriate disclaimer, including but not limited to, the accuracy of the information provided.
NOTE

Authority cited: Sections 803, 803.1 and 2018, Business and Professions Code. Reference: Sections 803 and 803.1, Business and Professions Code.
HISTORY

1. New article 16 and section filed 10-26-95; operative 11-25-95 (Register 95, No. 43).
Chapter 2. Division of Medical Quality
Article 1. General Provisions
§1355. Administration.
Note     •     History

The Division of Medical Quality shall administer the provisions of this chapter.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2004, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
§1355.1. Location of Office.
Note     •     History

The principal office of the Division of Medical Quality of the Medical Board of California is located at 1430 Howe Avenue, Sacramento, California 95825.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2019, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Change without regulatory effect amending section filed 9-9-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 51).
§1355.2. Tenses, Gender and Number. [Repealed]
Note     •     History

NOTE

Authority and reference cited: Section 2018, Business and Professions Code.
HISTORY

1. New NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Repealer filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
§1355.3. Definitions.
Note     •     History

Unless the context otherwise requires, for the purpose of the regulations contained in this chapter,
(a) “Board” means the Medical Board of California,
(b) “Division” means the Division of Medical Quality, and
(c) “Code” means the Business and Professions Code.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2004, 2018 and 2019, Business and Professions Code.
HISTORY

1. New NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Change without regulatory effect amending subsection (a) filed 9-9-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 51).
§1355.31. Definitions Related to Reporting of Settlements.
Note     •     History

(a) For purposes of Section 803.1 of the code,
(1) “Above average” settlement amount means a settlement 17% and above the mean for that licensee's specialty.
(2) “Average” settlement amount means a settlement less than 17% above and below the mean for that licensee's specialty.
(3) “Below average” settlement amount means a settlement 17% and below the mean for that licensee's specialty.
(4) The “high risk” specialties, based on a calculation of the estimated number of specialists (by specialty) practicing in California who had three or more settlements within the ten-year period preceding January 1, 2003, are neurological surgery, obstetrics, orthopedic surgery, and plastic surgery.
(5) A “low risk” specialty is every specialty not identified as a “high risk” specialty. 
(b) The division shall review the reported settlement data on an annual basis to determine whether the data supports any change in these definitions.
NOTE

Authority cited: Sections 803.1 and 2018, Business and Professions Code. Reference: Section 803.1, Business and Professions Code.
HISTORY

1. New section filed 10-4-2004; operative 11-3-2004 (Register 2004, No. 41).
§1355.35. Disclaimers and Explanatory Information Applicable to Internet Postings.
Note     •     History

License Status Definitions.
(a) In addition to the disclaimer required by Section 803.1(c) of the code, the following disclaimers and explanatory information, as appropriate, shall be provided with information released on the Internet:
(1) Administrative Citation Issued:
A citation and/or fine has been issued for a minor violation of the law. This is not considered disciplinary action under California law but is an administrative action. Payment of the fine amount represents satisfactory resolution of this matter.
(2) Administrative Disciplinary Action:
The Medical Board's public disclosure screens are updated periodically as new information becomes available. Please contact the Central File Room at (916) 263-2525 or at 1426 Howe Avenue, Suite 54, Sacramento, CA 95825, to obtain a copy of public documents at a minimal charge.
(3) Arbitration Award:
An arbitration award is a payment for damages and does not necessarily reflect that the physician's medical competence is below the standard of care. The Medical Board reviews all such reported arbitration awards and action is taken only if it is determined that a violation of the Medical Practice Act occurred. The Medical Board is prohibited by law from releasing a copy of the arbitration award report or any other information concerning the award.
(4) Administrative Action Taken by Other State or Federal Government:
This information is provided by another state/federal government agency. The Medical Board of California may take administrative action based on the action imposed by another state/federal government agency. For more information or verification, contact the agency listed below that imposed the action.
(5) Felony Conviction:
The information provided only includes felony convictions that are known to the Board. All felony convictions known to the Board are reviewed and administrative action is taken only if it is determined that a violation of the Medical Practice Act occurred. For more information regarding felony convictions, contact the court of jurisdiction listed below.
(6) Hospital Disciplinary Action:
The action taken by this healthcare facility against this physician's staff privileges to provide healthcare services at this facility was for a medical disciplinary cause or reason. The Medical Board is authorized by law to disclose only revocations and terminations of staff privileges. The Medical Board is prohibited from releasing a copy of the actual report or any other information.
(7) Malpractice Judgment:
A malpractice judgment is a payment for damages and does not necessarily reflect that the physician's medical competence is below the standard of care. The Medical Board reviews all such reported judgments and action is taken only if it is determined that a violation of the Medical Practice Act occurred. The Medical Board is prohibited by law from releasing a copy of the judgment report or any other information concerning the judgment. For more information contact the court of jurisdiction listed below.
(8) Malpractice Settlements:
A settlement entered into by the licensee is a resolution of a claim for damages for death or personal injury caused by the licensee's negligence, error, or omission in practice, or by his or her rendering of unauthorized professional services. The Medical Board is required by law to disclose certain information related to the existence of multiple settlements made on or after January 1, 2003 in an amount of $30,000 or more.
(b) Information released on the Internet shall be accompanied by a listing of the types of information available from the board on the Internet about physicians licensed by the board and a listing of the types of information that is confidential and not available from the board.
(c) The chart below defined the terms related to the status of a license for purposes of information released about a licensee.

View Graphic
NOTE

Authority cited: Sections 803.1, 2018 and 2027, Business and Professions Code. Reference: Sections 803.1 and 2027, Business and Professions Code.
HISTORY

1. New section filed 1-12-2005; operative 2-11-2005 (Register 2005, No. 2).
2. Change without regulatory effect amending subsections (a)(2), (a)(4)-(6), (a)(8) and (c) filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
§1355.4. Notice to Consumers.
Note     •     History

(a) A licensee engaged in the practice of medicine shall provide notice to each patient of the fact that the licensee is licensed and regulated by the board. The notice shall include the following statement and information:

NOTICE
Medical doctors are licensed and regulated
by the Medical Board of California
(800) 633-2322
www.mbc.ca.gov
(b) The notice required by this section shall be provided by one of the following methods:
(1) Prominently posting the notice in an area visible to patients on the premises where the licensee provides the licensed services, in which case the notice shall be in at least 48-point type in Arial font.
(2) Including the notice in a written statement, signed and dated by the patient or the patient's representative and retained in that patient's medical records, stating the patient understands the physician is licensed and regulated by the board.
(3) Including the notice in a statement on letterhead, discharge instructions, or other document given to a patient or the patient's representative, where the notice is placed immediately above the signature line for the patient in at least 14-point type.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 138, Business and Professions Code.
HISTORY

1. New section filed 3-29-2010; operative 6-27-2010 (Register 2010, No. 14). For prior history, see Register 83, No. 33.
2. Change without regulatory effect amending section heading and subsection (a) filed 6-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 27).
§1356. Delegation of Functions.
Note     •     History

Except for those powers reserved exclusively to the “agency itself” under the Administrative Procedure Act Section 11500, et seq. of the Government Code, the division delegates and confers upon the executive director of the board, the assistant executive director, the medical consultant, chief of enforcement, or his or her designee, all functions necessary to the dispatch of business of the division in connection with investigative and administrative proceedings under the jurisdiction of the division.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2220, 2224 and 2230, Business and Professions Code; and Section 11500, Government Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Change without regulatory effect amending section filed 3-21-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 12).
4. Change without regulatory effect amending section filed 2-26-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 9).
§1356.1. Delegation to Medical Consultants. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2004, 2224, 2225, 2226, 2282, and 2283, Business and Professions Code.
HISTORY

1. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 3).
2. Repealer filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
§1356.2. Statute of Limitations--Discovery of Act.
Note     •     History

(a) For purposes of Section 2230.5 of the code, the word “discovers” means, with respect to each act or omission alleged as the ground for disciplinary action:
(1) the date the board received a complaint or report describing the act or omission.
(2) the date, subsequent to the original complaint or report, on which the board became aware of any additional acts or omissions alleged as the ground for disciplinary action against the same individual.
(b) For purposes of this section:
(1) “Complaint” means a written complaint from the public or a written complaint generated by board staff that names a particular physician.
(2) “Report” means any written report required under the code to be filed with the board, but does not include a notice filed under Code of Civil Procedure Section 364.1.
(c) A notice filed under Code of Civil Procedure Section 364.1 shall be retained, pursuant to that code section, in a potential investigation file. If a complaint or report on the same act or omission is subsequently received by the board, the date the board discovers the act or omission alleged as the ground for disciplinary action is the date the board receives that complaint or report.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2230.5, Business and Professions Code. 
HISTORY

1. New section filed 12-21-98 as an emergency; operative 12-21-98 (Register 98, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-20-99 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 83, No. 33.
2. Certificate of Compliance as to 12-21-98 order, including additional amendments, transmitted to OAL 4-20-99 and filed 5-27-99 (Register 99, No. 22).
§1356.3. Secure Area--Storage of Drugs in Physician's Offices.
Note     •     History

For purposes of section 4172 of the code, the phrase “area which is secure” means a locked storage area within a physician's office.  The area shall be secure at all times.  The keys to the locked storage area shall be available only to staff authorized by the physician to have access thereto.
NOTE

Authority cited: Sections 2018 and 4172, Business and Professions Code. Reference: Section 4172, Business and Professions Code.
HISTORY

1. New section filed 8-8-96; operative 9-7-96 (Register 96, No. 32).
2. Change without regulatory effect amending section and Note filed 4-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 16).
§1356.4. Outpatient Surgery--Reporting of Death.
Note     •     History

The reporting of a patient death that is required by Section 2240(a) of the code shall include the following information:
(a) The patients' full name, address, date of birth, social security number, medical record number, and the physical location of the medical record.
(b) The full name, license number, practice specialty and the American Board of Medical Specialties certification or certification by a board-approved specialty board, if any, of the physician who performed the surgery.
(c) The date of the surgery; the name and address of the outpatient setting where the surgery was performed; and the circumstances of the patient's death.
(d) The full name of each entity which licenses, certifies or accredits the outpatient setting where the surgery was performed and the types of outpatient procedures performed at that setting.
(e) The name and address of the hospital or emergency center to which the patient was transferred or admitted.
(f) The date of the report and the full name of the person who completed the report.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2240, Business and Professions Code.
HISTORY

1. New section filed 10-31-2000; operative 11-30-2000 (Register 2000, No. 44).
§1356.5. Filing Date.
Note     •     History

An accusation or petition to revoke probation shall be deemed “filed” on the date it is signed by the executive director or other person described in section 1356.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2230.5, Business and Professions Code.
HISTORY

1. New section filed 5-21-2002; operative 6-20-2002 (Register 2002, No. 21).
§1356.6. Liposuction Extraction and Postoperative Care Standards.
Note     •     History

(a) A liposuction procedure that is performed under general anesthesia or intravenous sedation or that results in the extraction of 5,000 or more cubic centimeters of total aspirate shall be performed in a general acute-care hospital or in a setting specified in Health and Safety Code Section 1248.1.
(b) The following standards apply to any liposuction procedure not required by subsection (a) to be performed in a general acute-care hospital or a setting specified in Health and Safety Code Section 1248.1:
(1) Intravenous Access and Emergency Plan. Intravenous access shall be available for procedures that result in the extraction of less than 2,000 cubic centimeters of total aspirate and shall be required for procedures that result in the extraction of 2,000 or more cubic centimeters of total aspirate. There shall be a written detailed plan for handling medical emergencies and all staff shall be informed of that plan. The physician shall ensure that trained personnel, together with adequate and appropriate equipment, oxygen, and medication, are onsite and available to handle the procedure being performed and any medical emergency that may arise in connection with that procedure. The physician shall either have admitting privileges at a local general acute-care hospital or have a written transfer agreement with such a hospital or with a licensed physician who has admitting privileges at such a hospital.
(2) Anesthesia. Anesthesia shall be provided by a qualified licensed practitioner. The physician who is performing the procedure shall not also administer or maintain the anesthesia or sedation unless a licensed person certified in advanced cardiac life support is present and is monitoring the patient.
(3) Monitoring. The following monitoring shall be available for volumes greater than 150 and less than 2,000 cubic centimeters of total aspirate and shall be required for volumes between 2,000 and 5,000 cubic centimeters of total aspirate:
(A) Pulse oximeter
(B) Blood pressure (by manual or automatic means)
(C) Fluid loss and replacement monitoring and recording
(D) Electrocardiogram
(4) Records. Records shall be maintained in the manner necessary to meet the standard of practice and shall include sufficient information to determine the quantities of drugs and fluids infused and the volume of fat, fluid and supranatant extracted and the nature and duration of any other surgical procedures performed during the same session as the liposuction procedure.
(5) Discharge and Postoperative-care Standards.
(A) A patient who undergoes any liposuction procedure, regardless of the amount of total aspirate extracted, shall not be discharged from professionally supervised care unless the patient meets the discharge criteria described in either the Aldrete Scale or the White Scale. Until the patient is discharged, at least one staff person who holds a current certification in advanced cardiac life support shall be present in the facility.
(B) The patient shall only be discharged to a responsible adult capable of understanding postoperative instructions.
NOTE

Authority cited: Sections 2018 and 2259.7, Business and Professions Code. Reference: Section 2259.7, Business and Professions Code.
HISTORY

1. New section filed 1-21-2003; operative 2-20-2003 (Register 2003, No. 4).
Article 2. Impaired Physician Program
§1357. Definitions.
Note     •     History

As used in this article.
(a) “Program” means the impaired physician diversion program authorized pursuant to Article 14 (commencing with Section 2340) of the Medical Practice Act.
(b) “Committee” means a diversion evaluation committee.
NOTE

Authority and reference cited: Section 2018, Business and Professions Code.
HISTORY

1. New Article 2 (Sections 1357-1357.8, not consecutive) filed 7-3-80; effective thirtieth day thereafter (Register 80, No. 27).
2. Amendment of subsection (a), and repealer of subsection (c) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32.)
§1357.1. Criteria for Admission.
Note     •     History

An applicant shall meet the following criteria for admission to the program:
(a) The applicant shall be a licensed physician or be otherwise legally authorized to practice medicine in this state.
(b) The applicant is found to abuse dangerous drugs or alcoholic beverages, or suffer from mental or physical disability in a manner which may affect the physician's ability to practice medicine safety or competently.
(c) The applicant shall have voluntarily requested admission to the program.
(d) The applicant agrees to undertake any medical or psychiatric examinations ordered to evaluate the application for participation in the program.
(e) The applicant cooperates with the program by providing medical information, disclosure authorizations and releases of liability as may be necessary for participation in the program.
(f) The applicant agrees in writing to cooperate with all elements of the diversion agreement.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2350, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment of subsection (g) filed 10-5-2000; operative 11-4-2000 (Register 2001, No. 42). 
3. Editorial correction implementing printing of 10-5-2000 order (Register 2001, No. 42). 
4. Repealer of subsection (b) and subsection relettering filed 10-19-2001; operative 11-18-2001 (Register 2001, No. 43). 
§1357.2. Procedure for Review of Applicants.
Note     •     History

(a) Program staff and a committee, shall act as consultants to the program manager for the purpose of interviewing each applicant who requests admission to the program.
(b) The committee shall recommend such medical and psychiatric examinations as may be necessary to determine the applicant's eligibility for the program and request such other information, authorizations, and releases necessary for the program.
(c) The committee shall make a recommendation to the program manager whether the applicant should be admitted to the program.
(d) The program manager's decision on admission of an applicant to the program shall be final.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2350, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Change without regulatory effect amending subsection (a) filed 3-21-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 12).
3. Change without regulatory effect amending subsection (c) filed 11-24-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 48).
4. Amendment filed 10-19-2001; operative 11-18-2001 (Register 2001, No. 43). 
§1357.3. Evaluating Physicians.
Note     •     History

A physician selected by the program manager or his/her designee to conduct medical and psychiatric evaluations of an applicant shall be a licensed physician who is competent in his/her field of specialty.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2350, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment of section heading and section filed 10-19-2001; operative 11-18-2001 (Register 2001, No. 43). 
§1357.4. Causes for Denial of Admission.
Note     •     History

The program manager may deny an applicant admission to the program for any of the following reasons:
(a) The applicant does not meet the requirements set forth in Section 1357.1.
(b) The applicant has been disciplined by another state medical licensing authority.
(c) Complaints or information have been received by the division which indicate that the applicant may have violated a provision of the Medical Practice Act or committed any other act that would be grounds for discipline, excluding Sections 822 and 2239 of the code.
(d) The committee recommends that the applicant will not substantially benefit from participation in the program or that the applicant's participation in the program creates too great a risk to the public health, safety or welfare.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2350 and 2354, Business and Professions Code.
HISTORY

1. Amendment of subsection (c) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Change without regulatory effect amending subsection (c) filed  7-26-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 31).
3. Amendment filed 10-19-2001; operative 11-18-2001 (Register 2001, No. 43). 
§1357.5. Causes for Termination from the Program.
Note     •     History

The program manager may terminate a physician's participation in the program for any of the following reasons:
(a) The physician has failed to comply with the diversion agreement, including but not limited to, failure to comply with the prescribed monitoring or treatment regimen, use of alcohol or other unauthorized drug; or refusal to stop practice when directed to do so by the committee.
(b) Any cause for denial of an applicant in Section 1357.4.
(c) The physician has failed to comply with any of the requirements set forth in Section 1357.1.
(d) The committee recommends that the physician will not benefit from further participation in or has not substantially benefited from participation in the program or that the physician's continued participation in the program creates too great a risk to the public health, safety or welfare.
NOTE

Authority cited: Sections 2018 and 2355, Business and Professions Code. Reference: Sections 2350, 2351 and 2354, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Repealer of subsections (a) and (b), redesignation of subsections (b)(1)-(4) as (a)-(d), amendment of newly designated subsections (a) and (d) and amendment of Note filed 10-5-2000; operative 11-4-2000 (Register 2001, No. 42). 
3. Editorial correction implementing printing of 10-5-2000 order (Register 2001, No. 42). 
4. Amendment of first paragraph and subsection (d) filed 10-19-2001; operative 11-18-2001 (Register 2001, No. 43). 
§1357.6. Notification of Termination.
Note     •     History

Whenever any physician who is self-referred is terminated from the program and has been determined to present a threat to the public health or safety, the program manager shall report such fact to the division, without the inclusion of any confidential information as defined in Section 1357.8.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2350 and 2355, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 10-5-2000; operative 11-4-2000 (Register 2001, No. 42). 
3. Editorial correction implementing printing of 10-5-2000 order (Register 2001, No. 42). 
4. Amendment filed 10-19-2001; operative 11-18-2001 (Register 2001, No. 43). 
§1357.8. Confidentiality of Records.
Note     •     History

(a) All board, division, committee and program records relating to a physician's application to the program or participation in the program shall be kept confidential pursuant to Section 2355 of the code, including all information provided by the applicant, or by an examining physician, to the program manager, a medical consultant, members of the committee, or other employees of the division in connection with the program. Except as otherwise provided in section 1357.9, such records shall be purged when a physician's participation in the program is either completed or terminated.
(b) All other information or records received by the board prior to the acceptance of the applicant into the program, or which do not relate to the physician's application to the program, or which do not relate to the physician's participation in the program, shall not be maintained in a confidential manner as required by Section 2355 and may be utilized by the board in any disciplinary or criminal proceedings instituted against the physician.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2346 and 2355, Business and Professions Code.
HISTORY

1. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Change without regulatory effect amending subsection (a) filed 3-21-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 12).
3. Amendment of subsection (a) filed 10-5-2000; operative 11-4-2000 (Register 2001, No. 42). 
4. Editorial correction implementing printing of 10-5-2000 order (Register 2001, No. 42). 
§1357.9. Retention of Diversion Program Participant Records.
Note     •     History

The diversion program shall retain the following types of records concerning a participant:
(A) All intake reports and case analyses.
(b) All agreements and amendments thereto.
(c) All correspondence with the Enforcement Program.
(d) All committee letters.
(e) All file notes, laboratory and incident reports.
(f) Computerized records derived from any of the foregoing types of documents.
NOTE

Authority cited: Sections 2018 and 2355, Business and Professions Code. Reference: Section 2355, Business and Professions Code.
HISTORY

1. New section filed 10-5-2000; operative 11-4-2000 (Register 2001, No. 42). 
2. Editorial correction implementing printing of 10-5-2000 order (Register 2001, No. 42). 
Article 3. Probation and Reinstatement of Suspended or Revoked Certificates
§1358. Requirements for Physicians on Probation.
Note     •     History

Each physician and surgeon who has been placed on probation by the division shall be subject to the division's Probation Surveillance Compliance Program and shall be required to fully cooperate with representatives of the division and its investigative personnel. Such cooperation shall include, but is not necessarily limited to, submission to laboratory testing for the purpose of determining the existence of alcohol, narcotics, other controlled substances and/or dangerous drugs in his or her system. Such tests shall be made at the times and places required by the division or its duly authorized representative. Any monetary fees incurred as a result of such laboratory tests shall be borne by the physician-probationer.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2227, 2228, and 2229, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
§1358.1. Ethics Course Required as Condition of Probation.
Note     •     History

A licensee who is required, as a condition of probation, to complete an ethics course shall take and successfully complete a professionalism program approved by the division that meets the requirements of this section.
(a) Approved Provider. The program provider shall be accredited by the Accreditation Council of Continuing Medical Education (ACCME), or by an entity qualified in Section 1337, to sponsor continuing medical education for physicians and surgeons and shall provide satisfactory written evidence that its professionalism program meets all of the requirements of this section.
(b) Criteria for Acceptability of Program.
(1) Duration. The course shall consist of a minimum of 22 hours, of which at least 14 are contact hours and at least 8 additional hours are credited for preparation, evaluation and assessment. The provider shall identify the number of continuing medical education hours that will be credited upon successful completion of the program.
(2) Faculty. Every instructor shall either possess a valid unrestricted California professional license or otherwise be qualified, by virtue of prior training, education and experience, to teach an ethics or professionalism course at a university or teaching institution. The provider shall submit with its application a curriculum vitae for each instructor for approval by the division or its designee.
(3) Educational Objectives. There are clearly stated educational objectives that can be realistically accomplished within the framework of the course.
(4) Methods of Instruction. The provider shall describe the teaching methods for each component of the program, e.g., lecture, seminar, role-playing, group discussion, video, etc.
(5) Content. The program shall contain all of the following components:
(A) A background assessment to familiarize the provider and instructors with the factors that led to the prospective candidate's referral to the class.
(B) A baseline assessment of knowledge to determine the participant's knowledge/awareness of ethical and legal issues related to the practice of medicine in California, including but not limited to those legal and ethical issues related to the specific case(s) for which the participant has been referred to the program.
(C) An assessment of the participant's expectations of the program, recognition of need for change, and commitment to change.
(D) Didactic presentation of material related to those areas that were problems for the participants based upon the results of the background assessments and baseline assessments of knowledge.
(E) Experiential exercises that allow the participants to practice concepts and newly developed skills they have learned during the didactic section of the class.
(F) A longitudinal follow-up component that includes (1) a minimum of two contacts at spaced intervals (e.g., 6 months and 12 months) within one year after course completion or prior to completion of the participant's probationary period if probation is less than one year, to assess the participant's status; and (2) a status report submitted to the division within 10 calendar days after the last contact.
(6) Class Size. A class shall not exceed a maximum of 12 participants.
(7) Evaluation. The program shall include an evaluation method that documents that educational objectives have been met -- e.g. written examination or written evaluation -- and that provides for written follow-up evaluation at the conclusion of the longitudinal assessment.
(8) Records. The provider shall maintain all records pertaining to the program, including a record of the attendance for each participant, for a minimum of 3 years and shall make those records available for inspection and copying by the division or its designee.
(9) Program Completion. The provider shall issue a certificate of completion to a participant who has successfully completed the program. The provider shall also notify the division or its designee in writing of its determination that a participant did not successfully complete the program. The provider shall fail a participant who either was not actively involved in the class or demonstrated behavior indicating a lack of insight (e.g., inappropriate comments, projection of blame). This notification shall be made within 10 calendar days of that determination and shall be accompanied by all documents supporting the determination.
(10) Change in Course Content or Instructor. The provider shall report to the division any change in course content or instructor within 30 calendar days after the date of that change.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2227, 2228 and 2229, Business and Professions Code.
HISTORY

1. New section filed 3-7-2005; operative 4-6-2005 (Register 2005, No. 10).
§1359. Petitions for Reinstatement or Modification of Probation.
Note     •     History

(a) A petition for modification or termination of probation or a petition for reinstatement of a revoked certificate shall be filed on a form provided by the division.
(b) Consideration shall be given to a petition for reinstatement of license or modification or termination of probation only when a formal request for such has been filed in the division's office in Sacramento at least thirty (30) days before a regular meeting of the division or appropriate medical quality review panel.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2307, Business and Professions Code.
HISTORY

1. Repealer of subsection (c) filed 4-11-80; effective thirtieth day thereafter (Register 80, No. 15).
2. Amendment of subsection (b) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
3. Amendment filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
§1359.1. Petitions for Reinstatement of Revoked Certificates.
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code.
HISTORY

1. Repealer filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
§1359.5. Application.
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2307, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Repealer filed 8-8-83; effective thirtieth day thereafter (Register 83, No. 33).
§1360. Substantial Relationship Criteria.
Note     •     History

For the purposes of denial, suspension or revocation of a license, certificate or permit pursuant to Division 1.5 (commencing with Section 475) of the code, a crime or act shall be considered to be substantially related to the qualifications, functions or duties of a person holding a license, certificate or permit under the Medical Practice Act if to a substantial degree it evidences present or potential unfitness of a person holding a license, certificate or permit to perform the functions authorized by the license, certificate or permit in a manner consistent with the public health, safety or welfare. Such crimes or acts shall include but not be limited to the following: Violating or attempting to violate, directly or indirectly, or assisting in or abetting the violation of, or conspiring to violate any provision of the Medical Practice Act.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 481, 2081 and 2236, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
§1360.1. Rehabilitation Criteria for Suspensions or Revocations.
Note     •     History

When considering the suspension or revocation of a license, certificate or permit on the ground that a person holding a license, certificate or permit under the Medical Practice Act has been convicted of a crime, the division, in evaluating the rehabilitation of such person and his or her eligibility for a license, certificate or permit shall consider the following criteria:
(a) The nature and severity of the act(s) or offense(s).
(b) The total criminal record.
(c) The time that has elapsed since commission of the act(s) or offense(s).
(d) Whether the licensee, certificate or permit holder has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against such person.
(e) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(f) Evidence, if any, of rehabilitation submitted by the licensee, certificate or permit holder.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 482, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
§1360.2. Rehabilitation Criteria for Petitions for Reinstatement.
Note     •     History

When considering a petition for reinstatement of a license, certificate or permit holder pursuant to the provisions of Section 11522 of the Government Code, the division or panel shall evaluate evidence of rehabilitation submitted by the petitioner considering the following criteria:
(a) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(b) Evidence of any act(s) or crime(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480.
(c) The time that has elapsed since commission of the act(s) or crime(s) referred to in subsections (a) or (b).
(d) In the case of a suspension or revocation based upon the conviction of a crime, the criteria set forth in Section 1360.1, subsections (b), (d) and (e).
(e) Evidence, if any, of rehabilitation submitted by the applicant.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 482, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
Article 4. Disciplinary Guidelines
§1361. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code section 11400 et seq.), the Medical Board of California shall consider the disciplinary guidelines entitled “Manual of Model Disciplinary Orders and Disciplinary Guidelines” (11th Edition/2011) which are hereby incorporated by reference. Deviation from these orders and guidelines, including the standard terms of probation, is appropriate where the Medical Board of California in its sole discretion determines by adoption of a proposed decision or stipulation that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Section 2018, Business and Professions Code; and Section 11400.20, Government Code. Reference: Sections 2227, 2228, 2229 and 2234, Business and Professions Code; and Sections 11400.20 and 11425.50(e), Government Code.
HISTORY

1. Amendment of article heading and new section filed 5-1-97; operative 5-31-97 (Register 97, No. 18). For prior history, see Register 95, No. 33.
2. Amendment filed 1-27-2000; operative 2-26-2000 (Register 2000, No. 4).  
3. Amendment of section and Note filed 9-29-2003; operative 10-29-2003 (Register 2003, No. 40).
4. Amendment filed 8-15-2008; operative 9-14-2008 (Register 2008, No. 33).
5. Amendment filed 12-12-2011; operative 1-11-2012 (Register 2011, No. 50).
Article 4.5. Monitoring of Peer Review Disability Investigations
§1362. Peer Review Body Disability Investigations.
Note     •     History

(a) For purposes of Section 821.5 of the code, the progress of a formal investigation described in that section shall be deemed not “adequate to protect the public” unless the investigation meets the following criteria:
(1) Within 30 days after initiating a formal investigation, the peer review body gathers any necessary facts and determines whether any physical or psychological evaluation is needed.
(2) If no physical or psychological evaluation is necessary, the peer review body completes the investigation within 45 days after the formal investigation was initiated and reports its findings and disposition to the diversion program administrator within 15 days after such disposition.
(3) If one or more physical or psychological evaluations is necessary, the peer review body completes the investigation within 75 days after the formal investigation was initiated and reports its findings and disposition to the diversion program administrator within 15 days after such disposition.
(b) If the diversion program administrator determines that the progress of a formal investigation is not adequate to protect the public, the administrator shall so notify the chief of enforcement for the board. Not less than 10 days prior to making such a notification, the diversion program administrator shall notify the peer review body in writing of the administrator's proposed decision to notify the chief of enforcement in order to allow the peer review body time to take appropriate action with respect to the formal investigation. If the peer review body takes remedial action adequate to protect the public, the administrator shall rescind the decision to notify the chief of enforcement.
NOTE

Authority cited: Sections 821.6 and 2018, Business and Professions Code. Reference: Section 821.5, Business and Professions Code.
HISTORY

1. New article 4.5 (sections 1362-1362.1) and section filed 8-21-97; operative 9-20-97 (Register 97, No. 34). For prior history, see Register 95, No. 33.
§1362.1. Form of Report.
Note     •     History

(a) The report required by Section 821.5 of the code shall include all of the following information:
(1) The name, office address, telephone number, medical license number, and specialty of the physician being investigated;
(2) The name and address of the peer review body making the investigation, together with the name and telephone number of a contact person;
(3) A brief description of the reason for the investigation;
(4) The date the formal investigation was initiated;
(5) The proposed schedule for the investigation; and
(6) The printed name and title of each person signing the report and the date each person signed the report.
(b) The report shall be signed by the chief executive officer, medical director or administrator and also by the chief of medical staff (if any).
NOTE

Authority cited: Sections 821.6 and 2018, Business and Professions Code. Reference: Sections 821.5 and 821.6, Business and Professions Code.
HISTORY

1. New section filed 8-21-97; operative 9-20-97 (Register 97, No. 34). 
Article 5. Advertising and Standards of Practice
§1363. Advertising.
Note     •     History

A licensed physician may advertise the provision of any medical services authorized to be provided by such license in a manner authorized by Section 651 of the code so long as such advertising does not promote the excessive or unnecessary use of such services.
NOTE

Authority cited: Sections 651 and 2018, Business and Professions Code. Reference: Sections 651, 651.3 and 2271, Business and Professions Code.
HISTORY

1. Amendment of article title and new section filed 4-11-80; effective thirtieth day thereafter (Register 80, No. 15).
2. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
§1363.5. Advertising of Specialty Board Certification.
Note     •     History

(a) As used in this section,
(1) “specialty board” means a board or association which certifies physicians in a specialty or subspecialty area of medicine.
(2) “Specialty or subspecialty area of medicine” means a distinct and well-defined field of medical practice.  It includes special concern with diagnostic and therapeutic modalities of patients' health problems, or it may concern health problems according to age, sex, organ system, body region, or the interaction between patients and their environment.  A medical specialty promotes the standards of practice within its specialty association.
(b) If a physician advertises that he or she is certified by a specialty board or association in a specialty or subspecialty area of medicine and that specialty board or association is not a member board of the American Board of Medical Specialties (ABMS) or does not have a postgraduate training program approved by the Accreditation Council for Graduate Medical Education (ACGME) or the Royal College of Physicians and Surgeons of Canada (RCPSC), then the specialty board or association shall be approved by the Division of Licensing and shall comply with all of the following requirements:
(1) The primary purpose of the specialty board shall be certification in a medical specialty or subspecialty.  The specialty board shall encompass the broad areas of the specialty or subspecialty.
(2) The specialty board shall not restrict itself to a single modality or treatment which may be part of a broader specialty or subspecialty.
(3) If the specialty board certifies professionals other than physicians, the specialty board shall not represent either that (i) the criteria set forth in these regulations or (ii) the medical board's approval of the specialty board's certification program is applicable to nonphysicians.
(4) The specialty board shall be a nonprofit corporation or association, and it shall have at least a total of 100 members located in at least one-third of the states who shall possess a clear and unrestricted license to practice medicine.
(5) The specialty board shall have articles of incorporation, a constitution, or a charter and bylaws which describe its operation.  The bylaws shall:
(A) provide for an independent and stable governing body with staggered, limited terms of not more than six years that is internally-appointed or selected by the members.
(B) set forth the requirements and policies for certification by the specialty board. 
(C) require that the specialty board promote the public interest by contributing to improvement of medicine by establishing requirements and evaluating applicants who apply.
(D) require that the specialty board determine whether applicants have received adequate preparation in accord with standards established by the specialty board.
(E) require evidence that applicants have acquired capability in a specialty or subspecialty area of medicine and will demonstrate special knowledge in that field.
(F) require that the specialty board conduct comprehensive evaluations of the knowledge and experience of applicants.
(6) The specialty board shall have standards for determining that those who are certified possess the knowledge and skills essential to provide competent care in the designated specialty or subspecialty area.
(7) More than 80 percent of the specialty board's revenue for continuing operations shall be from certification and examination fees, membership fees and interest and investment income.
(8)(A) Except as provided in subparagraph (B) or (C) of this paragraph (8), the specialty board shall require all applicants who are seeking certification to have satisfactorily completed a postgraduate training program accredited by the ACGME or the RCPSC that includes identifiable training in the specialty or subspecialty area of medicine in which the physician is seeking certification.  This identifiable training shall be deemed acceptable unless determined by the Division of Licensing to be either (1) inadequate in scope, content and duration in that speciality or subspecialty area of medicine in order to protect the public health and safety or (2) not equivalent in scope and content to the residency training required for board certification by any related ABMS board for the specific conditions, disease processes and surgical procedures within the scope of the applicant certifying board's examination and certification.
(B) If the training required of applicants seeking certification by the specialty board is other than ACGME or RCPSC accredited postgraduate training, then the specialty board shall have training standards that include identifiable training in the specialty or subspecialty area of medicine in which the physician is seeking certification and that have been determined by the Division of Licensing to be equivalent in scope, content and duration to those of an ACGME or RCPSC accredited program in a related specialty or subspecialty area of medicine.  This training shall be evaluated by the Division of Licensing to ensure that its scope, content and duration are equivalent to those of an ACGME or RCPSC accredited program and are adequate for training in that specialty or subspecialty area of medicine in order to protect the public health and safety.
(C) In lieu of the postgraduate training required under subparagraph (A) or (B) of this paragraph (8), the specialty board shall require applicants seeking certification to have completed (1) a minimum of six years of full time teaching and/or practice in the specialty or subspecialty area of medicine in which the physician is seeking certification and (2) a minimum of 300 hours of continuing medical education in the specialty or subspecialty area of medicine in which the physician is seeking certification which is approved under Section 1337 and 1337.5 of these regulations.  Any teaching experience acceptable under this subparagraph shall have been in a postgraduate training program accredited by the ACGME or RCPSC or that meets the standards set forth in subparagraph (B) that includes identifiable training in the specialty or subspecialty area of medicine to be certified.  This training shall be evaluated by the Division of Licensing and determined to be equivalent in scope, content, and duration to those of an ACGME or RCPSC accredited program in a related specialty or subspecialty area of medicine and to be adequate for training in that specialty or subspecialty area of medicine in order to protect the public health and safety.  Teaching or practice experience accepted under this subparagraph shall be evaluated by and acceptable to the credentials committee of the specialty board pursuant to standards that are (1) specified in the bylaws of the specialty board and (2) approved by the Division of Licensing in accordance with criteria set forth in these regulations.
Physicians applying for certification who qualify under this subparagraph shall be required by the specialty board to have satisfactorily completed an ACGME or RCPSC accredited residency training program.  This residency shall have provided training in the conditions and disease processes that are included in the new specialty.
Physicians who are certified by specialty boards under this subparagraph which are incorporated, or organized as an association on the effective date of these regulations, may advertise their board certification for three years from the effective date of these regulations.  During that time, the specialty board shall demonstrate to the satisfaction of the Division of Licensing that there is in existence one or more postgraduate training programs that include identifiable training in the specialty or subspecialty area of medicine to be certified that meet the requirements of subparagraph (A) or (B) of this paragraph (8); then the specialty board's approval shall be permanent unless withdrawn under subsection (c).  This training shall be evaluated by the Division of Licensing and determined to be equivalent in scope, content, and duration to those of an ACGME or RCPSC accredited program in a related specialty or subspecialty area of medicine and to be adequate for training in that specialty or subspecialty area of medicine in order to protect the public health and safety.  If a specialty board cannot demonstrate its equivalency to ABMS boards in the three years following the effective date of these regulations, its members may not thereafter advertise certification by that board.  This period may be extended for a year if the Division of Licensing determines that the specialty board is making a good faith effort towards achieving equivalency to ABMS boards.
Physicians who are certified by specialty boards under this subparagraph which are incorporated, or organized as an association after the effective date of these regulations, may not advertise their certification until the specialty board is determined by the Division of Licensing to be equivalent to ABMS boards.  The specialty board shall demonstrate to the satisfaction of the Division of Licensing that there is in existence one or more postgraduate training programs that include identifiable training in the specialty or subspecialty area of medicine to be certified that meet the requirements of subparagraph (A) or (B) of this paragraph (8).  This training shall be evaluated by the Division of Licensing and determined to be equivalent in scope, content, and duration to those of an ACGME or RCPSC accredited program in a related specialty or subspecialty area of medicine and to be adequate for training in that specialty or subspecialty area of medicine in order to protect the public health and safety.
(9) Except as provided in subparagraph (8)(C) above, at the time of application for approval to the Division of Licensing, a specialty board shall demonstrate that one or more postgraduate training programs are in existence and that these programs provide identifiable training in the specialty or subspecialty area of medicine in which physicians are seeking certification.  This training shall be evaluated by the Division of Licensing and determined to be equivalent in scope, content and duration to those of an ACGME or RCPSC accredited program in a related specialty or subspecialty area of medicine and to be adequate for training in that specialty or subspecialty area of medicine in order to protect the public health and safety.
The specialty board shall submit a plan that (A) estimates the number of physicians to be certified through subsection (b)(8)(C), above; (B) specifies the number and location of post graduate training programs developed and to be developed; the number of trainees completing the training annually; (C) demonstrates the equivalency of those programs, as provided for in subsection (b)(8)(B), above; (D) provides for monitoring to evaluate the quality of existing programs; and (E) allows for upgrading of the parameters of the specialty or subspecialty area of medicine to accommodate new developments.
Every year the specialty board shall report to the Division of Licensing its progress in implementing the plan for postgraduate training programs in the specialty or subspecialty area of medicine in which physicians are seeking certification.  Failure to so report shall be grounds for withdrawal of approval by the division.  Failure of a specialty board to establish to the satisfaction of the division that it is in compliance with its plan, as stated in its original submission to the division, shall be grounds for withdrawal of the division's approval of the specialty board.  Failure of a specialty board to provide evidence that the postgraduate training programs are equivalent in scope, content and duration to those of ACGME or RCPSC accredited programs shall be grounds for withdrawal of the approval.
(10) The specialty board shall require all physicians who are seeking certification to successfully pass a written or an oral examination or both which tests the applicants' knowledge and skills in the specialty or subspecialty area of medicine.  All or part of the examinations may be delegated to a testing organization.  All examinations shall be subject to a psychometric evaluation.  The examinations shall be a minimum of sixteen (16) hours in length.  Those specialty boards which require as a prerequisite for certification, prior passage of an ABMS examination in a related specialty or subspecialty area, may grant up to eight hours credit for the ABMS qualifying board examination toward the sixteen (16) hour testing requirement.
(11) The specialty board shall issue certificates to those physicians who are found qualified under the stated requirements of the specialty board.
(12) The specialty board shall assist in maintaining and elevating the standards of graduate medical education and facilities for specialty training in medicine in collaboration with other concerned organizations and agencies, and have a mechanism for assisting accrediting agencies in the evaluation of training programs.
(c)(1) Upon request the Division of Licensing will approve a specialty board if it meets the criteria set forth in these regulations.  The division may withdraw the approval of a specialty board if the division finds that it fails to meet the criteria set forth in these regulations.  
(2) Within 30 working days of receipt of an application for specialty board approval, the division shall inform the applicant in writing that it is either complete and accepted for filing and referral to a medical consultant selected by the division or that it is deficient and what specific information or documentation is required to complete the application.
(3) Within 918 calendar days from the date of filing of a completed application, the division shall inform the applicant in writing of its decision regarding the applicant's approval as a specialty board.
(4) The division's time periods for processing an application from the receipt of the initial application to the final decision regarding approval or disapproval based on the division's actual performance during the two years preceding the proposal of this section were as follows:
(A) Minimum - 646 days.
(B) Median - 714 days.
(C) Maximum - 918 days.
(d) Specialty boards approved by the Division of Licensing shall certify every three years from the date of approval that they continue to meet the requirements of these regulations.
(e) The Division of Licensing shall conduct such evaluations as it deems appropriate to ensure that applicant boards applying to the division meet the criteria of these regulations.
NOTE

Authority cited: Sections 651 and 2018, Business and Professions Code; and Section 15376, Government Code.  Reference: Section 651, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New section filed 1-27-94; operative 2-28-94 (Register 94, No. 4).
2. Amendment of subsections (c)(2) and (c)(3) and new subsections (c)(4)-(c)(4)(C) filed 3-24-99; operative 4-23-99 (Register 99, No. 13).
§1364. Ophthalmic Devices.
Note     •     History

The minimum quality standards for prescription ophthalmic devices sold, dispensed or furnished by ophthalmologists are the current standards of the American National Standard Institute Z80.1 and Z80.2.
NOTE

Authority cited: Sections 2018 and 2541.3, Business and Professions Code. Reference: Section 2541.3, Business and Professions Code.
HISTORY

1. Amendment filed 4-11-80; effective thirtieth day thereafter (Register 80. No. 15).
2. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
Article 6. Citations and Fines
§1364.10. Citations and Fines.
Note     •     History

(a) For purposes of this article, “board official” shall mean the chief, deputy chief or supervising investigator II of the enforcement program of the board or the chief of licensing of the board.
(b) A board official is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and fines for violations by a licensed physician or surgeon of the statutes referred to in Section 1364.11.
(c) A citation shall be issued whenever any fine is levied or any order of abatement is issued. Each citation shall be in writing and shall describe with particularity the nature and facts of the violation, including a reference to the statute or regulations alleged to have been violated. The citation shall be served upon the individual personally or by certified mail.
NOTE

Authority cited: Sections 125.9, 148 and 2018, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New article 6 and section filed 3-24-94; operative 4-25-94 (Register 94, No. 12).
2. Amendment of subsection (a) filed 11-25-96; operative 12-25-96 (Register 96, No. 48).
3. Change without regulatory effect amending subsection (a) filed 2-26-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 9).
§1364.11. Citable Offenses.
Note     •     History

The amount of any fine to be levied by a board official shall take into consideration the factors listed in subdivision (b)(3) of Section 125.9 of the code and shall be within the range set forth below.
(a) In his or her discretion, a board official may issue a citation under Section 1364.10 for a violation of the provisions listed in this section.
(1) Business and Professions Code Section 119
(2) Business and Professions Code Section 125
(3) Business and Professions Code Section 125.6
(4) Business and Professions Code Section 475(a)(1)
(5) Business and Professions Code Section 496
(6) Business and Professions Code Section 650
(7) Business and Professions Code Section 650.1
(8) Business and Professions Code Section 654
(9) Business and Professions Code Section 654.1
(10) Business and Professions Code Section 654.2
(11) Business and Professions Code Section 655.5
(12) Business and Professions Code Section 655.6
(13) Business and Professions Code Section 702
(14) Business and Professions Code Section 730
(15) Business and Professions Code Section 732
(16) Business and Professions Code Section 810
(17) Business and Professions Code Section 2021
(18) Business and Professions Code Section 2052
(19) Business and Professions Code Section 2054
(20) Business and Professions Code Section 2065
(21) Business and Professions Code Section 2066
(22) Business and Professions Code Section 2072
(23) Business and Professions Code Section 2073
(24) Business and Professions Code Section 2097
(25) Business and Professions Code Section 2168
(26) Business and Professions Code Section 2168.4
(27) Business and Professions Code Section 2216.1
(28) Business and Professions Code Section 2221.1
(29) Business and Professions Code Section 2234 only for a violation of one of the following:
(A) Business and Professions Code Section 802(b)
(B) Business and Professions Code Section 802.1
(C) Health and Safety Code Section 102795
(D) Health and Safety Code Section 102800
(E) Health and Safety Code Section 103785
(F) Health and Safety Code Section 109275
(G) Health and Safety Code Section 109277
(H) Health and Safety Code Section 109278
(I) Health and Safety Code Section 109282
(J) Health and Safety Code Section 120250
(K) Health and Safety Code Section 121362
(L) Health and Safety Code Section 121363
(M) Title 17 California Code of Regulations Section 2500
(30) Business and Professions Code Section 2236
(31) Business and Professions Code Section 2238
(32) Business and Professions Code Section 2240
(33) Business and Professions Code Section 2244 (maximum fine $1000 pursuant to section 2244)
(34) Business and Professions Code Section 2243
(35) Business and Professions Code Section 2250
(36) Business and Professions Code Section 2255
(37) Business and Professions Code Section 2256
(38) Business and Professions Code Section 2257
(39) Business and Professions Code Section 2259
(40) Business and Professions Code Section 2261
(41) Business and Professions Code Section 2262
(42) Business and Professions Code Section 2263
(43) Business and Professions Code Section 2264
(44) Business and Professions Code Section 2265
(45) Business and Professions Code Section 2266
(46) Business and Professions Code Section 2271
(47) Business and Professions Code Section 2272
(48) Business and Professions Code Section 2273
(49) Business and Professions Code Section 2274
(50) Business and Professions Code Section 2285
(51) Business and Professions Code Section 2286
(52) Business and Professions Code Section 2305
(53) Business and Professions Code Section 2400
(54) Business and Professions Code Section 2415
(55) Business and Professions Code Section 2439
(56) Business and Professions Code Section 2440
(57) Business and Professions Code Section 2441
(58) Business and Professions Code Section 2630
(59) Business and Professions Code Section 3516
(60) Business and Professions Code Section 4080
(61) Business and Professions Code Section 4081(a)
(62) Business and Professions Code Section 17500
(63) Title 16 California Code of Regulations Section 1338(c)
(64) Title 16 California Code of Regulations Section 1399.545
(65) Civil Code Section 56.10
(66) Health and Safety Code Section 1248.15
(67) Health and Safety Code Section 123110(a), (b)
(68) Health and Safety Code Section 123148
(69) Penal Code Section 11166
(b) In his or her discretion, a board official may issue a citation under Section 1364.10 to a licensee for a violation of a term or condition contained in the decision placing that licensee on probation.
(c) A citation may include a fine from $100 to $2500. However, a citation may include a fine up to $5,000 if one or more of the following circumstances apply:
(1) The cited person has received two or more prior citations for the same or similar violations;
(2) The citation involves multiple violations that demonstrate a willful disregard for the law.
(d) In his or her discretion, a board official may issue a citation with an order of abatement without levying a fine for the first violation of any provision set forth above.
NOTE

Authority cited: Sections 125.9, 148 and 2018, Business and Professions Code. Reference: Sections 125.9, 148, 2227, 2228, 2229 and 2234, Business and Professions Code.
HISTORY

1. New section filed 3-24-94; operative 4-25-94 (Register 94, No. 12).
2. Amendment filed 12-6-95; operative 1-5-96 (Register 95, No. 49).
3. Change without regulatory effect amending subsection (a)(54) filed 5-31-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 22).
4. Amendment of section and Note filed 11-25-96; operative 12-25-96 (Register 96, No. 48).
5. New subsections (a)(26) and (a)(27) and subsection renumbering filed 1-8-99; operative 2-7-99 (Register 99, No. 2).
6. Repealer of subsection (a)(8), new subsections (a)(27), (a)(29)(E), (a)(32)-(33) and (a)(64)-(65), subsection renumbering and relettering and amendment of newly designated subsections (a)(60)-(61) filed 11-8-2000; operative 12-8-2000 (Register 2000, No. 45).
7. Amendment of subsection (a), new subsections (a)(29)(F)-(I), (a)(65), (a)(68) and (b)-(c)(2), subsection relettering and renumbering and amendment of Note filed 11-18-2005; operative 12-18-2005 (Register 2005, No. 46).
§1364.12. Compliance with Orders of Abatement.
Note     •     History

(a) If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, the person cited my request an extension of time in which to complete the correction from the board official who issued the citation. Such a request shall be in writing and shall be made within the time set forth for abatement.
(b) When an order of abatement is not contested or if the order is appealed and the person cited does not prevail, failure to abate the violation charged within the time allowed shall constitute a violation and a failure to comply with the order of abatement. An order of abatement shall either be personally served or mailed by certified mail, return receipt requested. The time allowed for the abatement of a violation shall begin when the order of abatement is final and has been served or received. Such failure may result in disciplinary action being taken by the Division of Medical Quality or other appropriate judicial relief being taken against the person cited.
NOTE

Authority cited: Sections 125.9, 148 and 2018, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 3-24-94; operative 4-25-94 (Register 94, No. 12).
§1364.13. Citations for Unlicensed Practice.
Note     •     History

A board official is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and fines against persons, partnerships, corporations or associations who are performing or who have performed services for which licensure as a physician and surgeon is required under the Medical Practice Act. The chief of licensing is authorized to issue citations and orders of abatement and levy fines only in the case of (a) physicians who have practiced medicine with a delinquent, inactive or restricted license or (b) applicants for licensure as a physician and surgeon who practice medicine beyond the exemptions authorized in Sections 2065 and 2066 of the Business and Professions Code. Each citation issued shall contain an order of abatement. Where appropriate, a board official shall levy a fine for such unlicensed activity in accordance with subdivision (b)(3) of Section 125.9 of the code. The provisions of Sections 1364.10 and 1364.12 shall apply to the issuance of citations for unlicensed activity under this subsection. The sanction authorized under this section shall be separate from and in addition to any other civil or criminal remedies.
NOTE

Authority cited: Sections 125.9, 148 and 2018, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 3-24-94; operative 4-25-94 (Register 94, No. 12).
2. Change without regulatory effect amending section filed 2-26-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 9).
§1364.14. Contest of Citations.
Note     •     History

(a) In addition to requesting a hearing as provided for in subdivision (b)(4) of Section 125.9 of the code, the person cited may, within ten (10) days after service or receipt of the citation, notify the board official who issued the citation in writing of his or her request for an informal conference with the board official regarding the acts charged in the citation. The time allowed for the request shall begin the first day after the citation has been served or received.
(b) The board official who issued the citation shall, within 30 days from the receipt of the request, hold an informal conference with the person cited or his or her legal counsel or authorized representative. At the conclusion of the informal conference the board official may affirm, modify or dismiss the citation, including any fine levied or order of abatement issued. The board official shall state in writing the reasons for his or her action and serve or mail a copy of his or her findings and decision to the person cited within ten days from the date of the informal conference, as provided in subsection (b) of Section 1364.12. This decision shall be deemed to be a final order with regard to the citation issued, including the fine levied and the order of abatement.
(c) The person cited does not waive his or her request for a hearing to contest a citation by requesting an informal conference after which the citation is affirmed by a board official. If the citation is dismissed after the informal conference, the request for a hearing on the matter of the citation shall be deemed to be withdrawn. If the citation, including any fine levied or order of abatement, is modified, the citation originally issued shall be considered withdrawn and new citation issued. If a hearing is requested for the subsequent citation, it shall be requested within 30 days in accordance with subdivision (b)(4) of Section 125.9 of the code.
NOTE

Authority cited: Sections 125.9, 148 and 2018, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 3-24-94; operative 4-25-94 (Register 94, No. 12).
§1364.15. Public Disclosure; Record Retention.
Note     •     History

Every citation that is issued pursuant to this article shall be disclosed to an inquiring member of the public. Citations that have been resolved, by payment of the administrative fine or compliance with the order of abatement, shall be purged five (5) years from the date of resolution. A citation that has been withdrawn or dismissed shall be purged immediately upon being withdrawn or dismissed.
NOTE

Authority cited: Sections 125.9, 148 and 2018, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 11-25-96; operative 12-25-96 (Register 96, No. 48).
2. Amendment filed 11-8-2000; operative 12-8-2000 (Register 2000, No. 45).
Article 7. Public Letters of Reprimand
§1364.20. Intent to Issue Public Letter of Reprimand.
Note     •     History

(a) In lieu of filing or prosecuting a formal accusation, the executive director or his/her designee may, by stipulation or settlement, issue a public letter of reprimand to a licensed physician and surgeon for minor violations.
(b) The division or its designee shall send a letter by certified mail notifying the licensee of its intention to issue a public letter of reprimand. The affected licensee shall indicate agreement or nonagreement in writing within 30 calendar days from the date of service. The division may, in its discretion, extend this response time.
(c) A letter from the division of its intent to issue a letter of reprimand shall include a copy of the proposed letter describing the nature and facts of the violation and shall state that the letter of reprimand is a public record which will be disclosed to an inquiring member of the public.
NOTE

Authority cited: Section 2018 and 2233, Business and Professions Code. Reference: Section 2233, Business and Professions Code.
HISTORY

1. New article 7 (§§ 1364.20-1364.21) and section filed 3-2-95; operative 4-3-95 (Register 95, No. 9).
§1364.21. Public Letter of Reprimand; Disclosure.
Note     •     History

A letter of reprimand that has been agreed to by a licensee and issued pursuant to this article shall be served upon the licensee by certified mail and shall be disclosed to an inquiring member of the public.
NOTE

Authority cited: Section 2018 and 2233, Business and Professions Code. Reference: Section 2233, Business and Professions Code.
HISTORY

1. New section filed 3-2-95; operative 4-3-95 (Register 95, No. 9).
Article 8. Oral Arguments; Amicus Briefs
§1364.30. Procedures for the Conduct of Oral Arguments.
Note     •     History

(a) A party who wishes to present oral argument to the panel of the board that issued an order of nonadoption or reconsideration shall make a written request for oral argument not later than twenty (20) calendar days after the date of the notice of nonadoption or the order granting reconsideration.
(b) An administrative law judge will preside at oral argument. The administrative law judge may sit with and assist the panel members with their closed session deliberations.
(c) The arguments shall be based only on the existing record and shall not exceed the scope of the record of duly admitted evidence. No new evidence will be heard. The panel members may ask questions of the parties to clarify the arguments, but may not ask questions that would elicit new evidence. The administrative law judge and any panel member may ask a party to support the party's oral argument on a matter with a specific citation to the record.
(d) The administrative law judge shall stop an attorney, a party, or a panel member if the line of questioning or argument is beyond the record or is otherwise out of order.
(e) The administrative law judge shall offer the respondent physician an opportunity to address the panel regarding the penalty. If the respondent elects to address the panel, the administrative law judge shall place the respondent under oath.
(f) The sequence of, and time limitations on, oral argument are as follows:
(1) First--the respondent licensee and/or his or her legal counsel, who shall be limited to fifteen minutes.
(2) Second--the deputy attorney general, who shall be limited to fifteen minutes.
(3) Third--the respondent licensee's rebuttal or that of his or her legal counsel, which shall be limited to five minutes.
(4) Fourth--the deputy attorney general, who shall be limited to five minutes.
NOTE

Authority cited: Sections 2018 and 2336, Business and Professions Code. Reference: Section 2336, Business and Professions Code.
HISTORY

1. New article 8 (section 1364.30) and section filed 12-22-98; operative 1-21-99 (Register 98, No. 52).
2. Editorial correction inserting inadvertently omitted article 8 heading (Register 99, No. 33).
3. Amendment of article heading filed 4-7-2000; operative 5-7-2000 (Register 2000, No. 14).
4. Amendment of subsections (a), (c) and (e) filed 5-7-2008; operative 6-6-2008 (Register 2008, No. 19).
§1364.31. Amicus Briefs.
Note     •     History

(a) A non-party with an interest in the outcome of an administrative proceeding may be permitted to file an amicus curiae brief when a panel has nonadopted a proposed decision or has received or granted a petition for reconsideration of a decision. The filing of an amicus curiae brief regarding whether a panel should nonadopt a proposed decision is not permitted.
(b) A person who wishes to file an amicus curiae brief shall file with the executive director of the board a signed request, not to exceed one page, specifying the points to be argued in the brief and indicating why additional argument on those points is necessary or would be helpful to the panel. The request shall be accompanied by the original and six copies of the brief. The petitioner shall include a proof of service of the request and brief on the deputy attorney general assigned to the case. The brief shall be limited to matters contained in the record of the proceeding and shall not include or incorporate any attachments. No delay in the proceedings will be granted in order to allow an amicus curiae brief to be filed.
(c) The executive director shall immediately transmit the request to the chairperson of the panel. The decision whether to grant the request shall be made by the panel chairperson and one member designated by the chairperson. In the event the vote is not unanimous, the request shall be deemed denied. The request may be granted in whole or in part or may be denied without explanation. In determining whether to grant a request to file an amicus curiae brief, the following factors, among other factors, shall be considered:
(1) whether the matters in the brief will be helpful to the panel;
(2) the interest of the public and public policy, including the effect of the decision on non-parties; and
(3) the costs to the parties to reply to the amicus curiae brief.
(d) If the request is granted, the executive director shall then transmit a copy of the brief to each panel member.
(e) Where a decision has been nonadopted or a petition for reconsideration has been granted, a request to file an amicus curiae brief will be considered only if it is received no later than 45 days prior to the date on which oral argument is scheduled or the matter is to be considered by the panel if no oral argument has been requested.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 11440.50, Government Code.
HISTORY

1. New section filed 4-7-2000; operative 5-7-2000 (Register 2000, No. 14).
§1364.32. Written Argument Submitted in Response to an Order of Nonadoption or Reconsideration.
Note     •     History

Written argument submitted in response to an order of nonadoption or reconsideration shall:
(a) State each point under a separate heading or subheading summarizing the point and support each point by argument, and citation of authority if applicable; and
(b) Support any reference to a matter in the record by a citation to the volume and page number of the record or exhibit number where the matter appears.
NOTE

Authority cited: Sections 2018 and 2336, Business and Professions Code.  Reference: Section 2336, Business and Professions Code.
HISTORY

1. New section filed 5-7-2008; operative 6-6-2008 (Register 2008, No. 19).
Article 9. Precedent Decisions
§1364.40. Precedent Decisions.
Note     •     History

(a) The division may designate, as a precedent decision, any decision or part of any decision that contains a significant legal or policy determination of general application that is likely to recur. The division may also designate as a precedent decision any precedent decision issued by another California state government agency.
(b) Once the division designates a decision or part of a decision as precedent, the division may rely on it or that part of it as precedent and the parties may cite to such decision in their argument to the division and courts.
(c) The division may reverse in whole or in part the prior designation of a decision as a precedent decision.
(d) Notice of intent to designate or withdraw designation of a precedent decision shall be given with the notice of a division meeting. Interested persons may submit written comments for or against the proposed action. The division may decide the issue at that meeting or put the matter over to a subsequent meeting.
NOTE

Authority cited: Section 2018, Business and Professions Code; Section 11425.60, Government Code. Reference: Section 11425.60, Government Code.
HISTORY

1. New article 9 (section 1364.40) and section filed 11-6-2000; operative 12-6-2000 (Register 2000, No. 45).
Chapter 3. Affiliated Healing Arts*

* For disposition for former Sections 1370-1375.45, see Table of Parallel Reference, Chapter 13.2, Title 16, California Code of Regulations.
Article 1. General Provisions
§1365. Administration.
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2006, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Change without regulatory effect repealing article 1 (sections 1365-1365.4) and section filed 3-19-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 12).
3. Change without regulatory effect amending chapter 3 heading filed 11-24-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 48).
§1365.1. Location of Office.
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2019, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Change without regulatory effect amending section filed 9-9-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 51).
3. Change without regulatory effect repealing section filed 3-19-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 12).
§1365.2. Tenses, Gender and Number.
Note     •     History

NOTE

Authority and reference cited: Section 2018, Business and Professions Code.
HISTORY

1. New NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Repealer filed 8-3-83; effective thirtieth day thereafter (Register 83, No. 32).
3. Change without regulatory effect repealing section filed 3-19-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 12).
§1365.3. Definitions.
Note     •     History

NOTE

Authority and reference cited: Section 2018, Business and Professions Code.
HISTORY

1. New NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 8-3-83; effective thirtieth day thereafter (Register 83, No. 32).
3. Change without regulatory effect amending subsection (a) filed 9-9-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 51).
4. Change without regulatory effect repealing section filed 3-19-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 12).
§1365.4. Continuation of Existing Regulations.
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code.
HISTORY

1. New NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Repealer filed 8-3-83; effective thirtieth day thereafter (Register 83, No. 32).
Article 2. Medical Assistants
§1366. Additional Technical Supportive Services.
Note     •     History

(a) A medical assistant may perform additional technical supportive services such as those specified herein provided that all of the following conditions are met:
(1) Each technical supportive service is not prohibited by another provision of law, including Section 2069(c) of the code, or these regulations, and is a usual and customary part of the medical or podiatric practice where the medical assistant is employed;
(2) The supervising physician or podiatrist authorizes the medical assistant to perform the service and shall be responsible for the patient's treatment and care;
(3) The medical assistant has completed the training specified in Sections 1366.2, 1366.3, and 1366.4 and has demonstrated competence in the performance of the service;
(4) A record shall be made in the patient chart or other record, including a computerized record, if any, of each technical supportive service performed by the medical assistant, indicating the name, initials or other identifier of the medical assistant, the date and time, a description of the service performed, and the name of the physician or podiatrist who gave the medical assistant patient-specific authorization to perform the task or who authorized such performance under a patient-specific standing order.
(5) The supervising physician or podiatrist may, at his or her discretion, provide written instructions to be followed by a medical assistant in the performance of tasks or supportive services. Such written instructions may provide that a physician assistant or registered nurse may assign a task authorized by a physician or podiatrist.
(b) A medical assistant in accordance with the provisions of subsection (a) may perform additional technical supportive services such as the following:
(1) Administer medication orally, sublingually, topically, vaginally or rectally, or by providing a single dose to a patient for immediate self-administration. Administer medication by inhalation if the medications are patient-specific and have been or will be routinely and repetitively administered to that patient. In every instance, prior to administration of medication by the medical assistant, a licensed physician or podiatrist, or another person authorized by law to do so shall verify the correct medication and dosage. Nothing in this section shall be construed as authorizing the administration of any anesthetic agent by a medical assistant.
(2) Perform electrocardiogram, electroencephalogram, or plethysmography tests, except full body plethysmography. Nothing in this section shall permit a medical assistant to perform tests involving the penetration of human tissues except for skin tests as provided in Section 2069 of the code, or to interpret test findings or results.
(3) Apply and remove bandages and dressings; apply orthopedic appliances such as knee immobilizers, envelope slings, orthotics, and similar devices; remove casts, splints and other external devices; obtain impressions for orthotics, padding and custom molded shoes; select and adjust crutches to patient; and instruct patient in proper use of crutches.
(4) Remove sutures or staples from superficial incisions or lacerations.
(5) Perform ear lavage to remove impacted cerumen.
(6) Collect by non-invasive techniques, and preserve specimens for testing, including urine, sputum, semen and stool.
(7) Assist patients in ambulation and transfers.
(8) Prepare patients for and assist the physician, podiatrist, physician assistant or registered nurse in examinations or procedures including positioning, draping, shaving and disinfecting treatment sites; prepare a patient for gait analysis testing.
(9) As authorized by the physician or podiatrist, provide patient information and instructions.
(10) Collect and record patient data including height, weight, temperature, pulse, respiration rate and blood pressure, and basic information about the presenting and previous conditions.
(11) Perform simple laboratory and screening tests customarily performed in a medical office.
(12) Cut the nails of otherwise healthy patients.
(c) Nothing in this section prohibits the administration of first aid or cardiopulmonary resuscitation in an emergency.
(d) Nothing in these regulations shall be construed to authorize a medical assistant to practice physical therapy.
(e) Nothing in these regulations shall be construed to modify the requirement that a licensed physician or podiatrist be physically present in the treatment facility as required in Section 2069 of the code.
(f) A medical assistant may also fit prescription lenses or use any optical device in connection with ocular exercises, visual training, vision training, or orthoptics pursuant to Sections 2544 and 3042 of the code, but nothing in these regulations shall require a technician performing only those functions permitted by Sections 2544 and 3042 of the code to be qualified as a medical assistant.
NOTE

Authority cited: Sections 2018 and 2071, Business and Professions code. Reference: Sections 2069 and 2070, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former article 4 (sections 1376-1377.1) to article 2 (sections 1366 and 1366.1); effective thirtieth day thereafter (Register 83, No. 32). For prior history, see Registers 79, No. 49; 78, No. 12; and 77, No. 35.
2. Renumbering and amendment of former section 1366 to section 1366.1 and new section filed 3-20-92; operative 4-20-92 (Register 92, No. 13).
3. Change without regulatory effect repealing subsection (b)(4) and the introductory portion of subsection (d) filed 11-17-94 pursuant to section 100, title 1, California Code of Regulations in accordance with the Judgment of the Superior Court of California for the County of Sacramento entered on 5-25-94, Case Nos. 532588 and 531542 (Register 94, No. 46).
4. Amendment of subsection (a)(1), new subsection (b)(4), repealer of subsection (d) and subsection relettering filed 2-14-96; operative 3-15-96 (Register 96, No. 7).
5. Repealer of subsection (b)(4) and subsection renumbering pursuant to California Optometric Association v. The Division of Licensing of the Medical Board of California, Sacramento Superior Court Case 96 AS 01599, judgment entered June 12, 1997. Filed 12-12-97; operative 12-12-97 pursuant to Government Code Section 11343.4(d) (Register 97, No. 50).
§1366.1. Training to Perform Venipuncture, Injections and Inhalation of Medication.
Note     •     History

In order to administer medications by intramuscular, subcutaneous and intradermal injection, to perform skin tests, or to perform venipuncture of skin puncture for the purposes of withdrawing blood, a medical assistant shall have completed the minimum training prescribed herein. Training shall be for the duration required by the medical assistant to demonstrate to the supervising physician, podiatrist, or instructor, as referenced in Section 1366.3(a)(2), proficiency in the procedures to be performed as authorized by Sections 2069 or 2070 of the code, where applicable, but shall include no less than:
(a) Ten (10) clock hours of training in administering injections and performing skin tests, and/or
(b) Ten (10) clock hours of training in venipuncture and skin puncture for the purpose of withdrawing blood, and
(c) Satisfactory performance by the trainee of at least ten (10) each of intramuscular, subcutaneous, and intradermal injections and ten (10) skin tests, and/or at least ten (10) venipunctures and ten (10) skin punctures.
(d) For those only administering medication by inhalation, ten (10) clock hours of training in administering medication by inhalation.
(e) Training in (a) through (d) above, shall include instruction and demonstration in:
(1) pertinent anatomy and physiology appropriate to the procedures;
(2) choice of equipment;
(3) proper technique including sterile technique;
(4) hazards and complications;
(5) patient care following treatment or test;
(6) emergency procedures; and
(7) California law and regulations for medical assistants.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2069 and 2070, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1366.1 to section 1366.3 and renumbering and amendment of former section 1366 to section 1366.1 filed 3-20-92; operative 4-20-92 (Register 92, No. 13).
§1366.2. Training to Perform Additional Technical Supportive Services.
Note     •     History

Prior to performing any of the additional technical supportive services provided in Section 1366, a medical assistant shall receive such training as, in the judgement of the supervising physician, podiatrist or instructor, as referenced in Section 1366.3(a)(2), is necessary to assure the medical assistant's competence in performing that service at the appropriate standard of care. Such training shall be administered pursuant to either subsection (a)(1) or (a)(2) of Section 1366.3.
NOTE

Authority cited: Sections 2018 and 2071, Business and Professions Code. Reference: Sections 2069, 2070 and 2071, Business and Professions Code.
HISTORY

1. New section filed 3-20-92; operative 4-20-92 (Register 92, No. 13).
§1366.3. Administration of Training.
Note     •     History

(a) Training required in Sections 1366, 1366.1 or 1366.2 may be administered in either of these settings:
(1) Under a licensed physician or podiatrist, who shall ascertain the proficiency of the medical assistant; or under a registered nurse, licensed vocational nurse, physician assistant or a qualified medical assistant acting under the direction of a licensed physician or podiatrist who shall be responsible for determining the content of the training and the proficiency of the medical assistant except that training to administer medication by inhalation shall be provided by a licensed physician or respiratory care practitioner; or
(2) In a secondary, postsecondary, or adult education program in a public school authorized by the Department of Education, in a community college program provided for in Part 48 of Division 7 of the Education Code, or a postsecondary institution accredited by an accreditation agency recognized by the United States Department of Education or approved by the Bureau for Private Postsecondary and Vocational Education under Sections 94130 or 94311 of the Education Code. A licensed physician or podiatrist shall serve as advisor to the medical assistant training program. The instructor in a public school setting shall possess a valid teaching credential issued by the Commission on Teacher Credentialing. The instructor in a private postsecondary institution shall meet the requirements of Sections 94310 and 94311 of the Education Code and any regulations adopted pursuant to those sections.
(b) The supervising physician or podiatrist, pursuant to subsection (a)(1) or the instructor pursuant to subsection (a)(2) shall certify in writing the place and date such training was administered, the content and duration of the training, and that the medical assistant was observed by the certifying physician, podiatrist, or instructor to demonstrate competence in the performance of each such task or service, and shall sign the certification. More than one task or service may be certified in a single document; separate certifications shall be made for subsequent training in additional tasks or services.
(c) For purposes of this section only, a “qualified medical assistant” is a medical assistant who:
(1) is certified by a medical assistant certifying organization approved by the division;
(2) holds a credential to teach in a medical assistant training program at a community college; or
(3) is authorized to teach medical assistants in a private postsecondary institution accredited by an accreditation agency recognized by the United States Department of Education or approved by the Bureau for Private Postsecondary and Vocational Education.
NOTE

Authority cited: Sections 2018 and 2071, Business and Professions Code. Reference: Sections 2069, 2070 and 2071, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1366.1 to section 1366.3 filed 3-20-92; operative 4-20-92 (Register 92, No. 13).
2. Amendment of subsections (a)(1)-(2) filed 10-26-94; operative 11-25-94 (Register 94, No. 43).
3. Amendment of subsections (a)(1) and (a)(2), new subsections (c)-(c)(3) and amendment of Note filed 3-23-99; operative 4-22-99 (Register 99, No. 13).
§1366.31. Approved Certifying Organizations.
Note     •     History

(a) An organization that certifies medical assistants may apply to the division for approval. This application shall include the following information:
(1) Name and address of the applicant;
(2) Applicant's federal employee identification number (FEIN) or social security number;
(3) Name, address and telephone number of a contact person for the applicant;
(4) Name, address and telephone number of the accrediting organization that accredited the applicant;
(5) Name, address and telephone number of the organization that validated the applicant's certifying examination;
(6) Information sufficient to establish that the certifying organization meets the standards set forth in subsection (b).
(b) For purposes of Section 1366.3(c)(1), an organization that certifies medical assistants shall be approved if it meets all of the following standards:
(1) Is a non-profit, tax-exempt organization;
(2) Requires all applicants for certification to successfully complete a psychometrically valid examination that is secure, is occupationally relevant and tests for the skills and procedures outlined in Section 1366;
(3) Has a requirement for certification of a medical assistant in one or more of the following:
(A) Graduation from a medical assistant training program accredited by an accreditation agency recognized by the United States Department of Education;
(B) Graduation from a medical assistant training program in a postsecondary institution accredited by an accreditation agency recognized by the United States Department of Education or an institution approved by the Bureau for Private Postsecondary and Vocational Education;
(C) A minimum of 2 years experience as a practicing medical assistant within 5 years immediately preceding the date of examination;
(D) Military training or schooling equivalent to that described in subsections (A) or (B) above;
(E) Employment at the time of certification as an instructor in an accredited medical assistant program or institution;
(4) Requires its certificate holders to obtain a minimum of 60 hours of continuing education related to the practice of medical assistants over a 5 year period.
(c) The American Association of Medical Assistants and the American Medical Technologists, which were previously referenced in Section 1366.3(a), shall be deemed approved as medical assistant certifying organizations. This approval shall terminate on January 1, 2000 unless prior to that time the above certifying organizations have applied for and been approved by the division. This paragraph shall be automatically repealed on January 1, 2000.
NOTE

Authority cited: Sections 2018 and 2071, Business and Professions Code. Reference: Sections 2069, 2070 and 2071, Business and Professions Code.
HISTORY

1. New section filed 3-23-99; operative 4-22-99 (Register 99, No. 13).
§1366.32. Report of Changes by Certifying Organization; Review by Division.
Note     •     History

(a) An approved certifying organization shall notify the division within 30 days thereafter of any changes related to the standards contained in Section 1366.31.
(b) The division shall review each approved certifying body at least once every 5 years for compliance with the standards set forth in Section 1366.31. The division may, in its discretion, review any certifying organization that has submitted a notice of changes as required by subsection (a).
NOTE

Authority cited: Sections 2018 and 2071, Business and Professions Code. Reference: Sections 2069, 2070 and 2071, Business and Professions Code.
HISTORY

1. New section filed 3-23-99; operative 4-22-99 (Register 99, No. 13).
§1366.33. Permit Processing Times--Approved Certifying Organizations (Section 2071).
Note     •     History

(a) Within 60 working days of receipt of an application pursuant to Section 1366.31 for an approved certifying organization registration, the division shall inform the applicant in writing whether it is complete and accepted for filing or that it is deficient and what specific information or documentation is required to complete the application. An application is considered complete if it is in compliance with the requirements of Section 1366.31.
(b) Within 100 calendar days from the date of filing of a completed application, the division shall inform the applicant in writing of the decision regarding the application for an approved certifying organization registration.
NOTE

Authority cited: Sections 2018 and 2071, Business and Professions Code. Reference: Sections 2069, 2070 and 2071, Business and Professions Code.
HISTORY

1. New section filed 3-23-99; operative 4-22-99 (Register 99, No. 13).
§1366.4. Training in Infection Control.
Note     •     History

Each medical assistant shall receive training in the Center for Disease Control ``Guidelines for Infection Control in Hospital Personnel'' (July 1983) and shall demonstrate to the satisfaction of the supervising physician, podiatrist or instructor that he or she understands the purposes and techniques of infection control.
NOTE

Authority cited: Sections 2018 and 2071, Business and Professions Code. Reference: Sections 2069, 2070 and 2071, Business and Professions Code.
HISTORY

1. New section filed 3-20-92; operative 4-20-92 (Register 92, No. 13).
Article 3. Research Psychoanalysts
§1367. Citation.
Note     •     History

This chapter may be cited and referred to as the “Research Psychoanalyst Regulations.”
NOTE

Authority and reference cited: Section 2018, Business and Professions Code.
HISTORY

1. Repealer of former Article 3 (Sections 1370-1374) and renumbering and amendment of former Article 5 (Sections 1378-1378.32, not consecutive) to Article 3 (Sections 1367-1378, not consecutive) filed 8-3-83; effective thirtieth day thereafter (Register 83, No. 32). For prior history, see Registers 81, No. 32; and 79, No. 29.
§1367.1. Definitions.
Note

As used in this article:
(a) “Research Psychoanalyst” means psychoanalyst who is registered with the division.
(b) “Student” means a person enrolled in a psychoanalytic institution for training in psychoanalysis who is registered with the division.
(c) “Graduate psychoanalyst” means a licensed physician, psychologist, clinical social worker or marriage, family and child counselor who has had training in psychoanalysis equal to that specified in Section 1374 or a research psychoanalyst who is a graduate of either a psychoanalytic institute specified in Section 2529 of the code or a psychoanalytic institution deemed equivalent by the division which meets the criteria set forth in Section 1374.
(d) “Psychoanalytic institution” means any institution, institute, department or program organized to provide training in psychoanalytic theory and technique meeting the criteria of Section 1374 and which certifies or graduates students engaged in such training.
(e) “Research psychoanalysts law” means Chapter 5.1 of Division 2 of the code.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2529, Business and Professions Code.
§1367.2. Delegation of Authority.
Note

The power and discretion conferred upon the division to review and approve applications for registration and to enforce the provisions of the research psychoanalysts law are hereby delegated and conferred upon the executive director of the board or his or her staff.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2529 and 2529.5, Business and Professions Code. 
§1367.3. Applications Generally.
Note

All applications for registration shall be submitted on a form provided by the division and shall be accompanied by such evidence or documents which may be necessary to determine the applicant's qualifications for registration. All such applications shall be filed with the division's principal office in Sacramento and shall be accompanied by the required registration fee.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2529, Business and Professions Code.
§1367.4. Review of Research Psychoanalyst Applications; Processing Time.
Note     •     History

(a) The division shall inform in writing an applicant for registration as a research psychoanalyst within 11 days of receipt of the initial application form whether the application is complete and accepted for filing or is deficient and what specific information is required.
(b) The division shall inform an applicant for registration as a research psychoanalyst within 71 days after completion of the application of its decision whether the applicant meets the requirements for registration. “Completion of the application” means that a completed application form together with all required information, documentation and fees have been filed by the applicant.
(c) The minimum, median and maximum processing times for an application for registration as a research psychoanalyst from the time of receipt of the initial application until the division makes a final decision on the application are:
(1) Minimum -- 7 days
(2) Median -- 22 days
(3) Maximum -- 95 days
NOTE

Authority cited: Section 2018, Business and Professions Code; Section 15376, Government Code. Reference: Section 15376, Government Code.
HISTORY

1. New section filed 10-3-83; effective thirtieth day thereafter (Register 83, No. 41).
§1368. Evidence Required of Graduate or Student Status.
Note

All applicants shall submit to the division with the application for registration official certification of graduation or student status, as the case may be, from the registrar or a similar office of the institution attended.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2529, Business and Professions Code.
§1369. Registration Not Required.
Note

Physicians and surgeons, psychologists, clinical social workers, and marriage, family and child counselors, licensed in this state, and any other persons otherwise exempt from the Medical Practice Act (Section 2000 et seq. of the code) or otherwise exempt from other state licensure laws are not required to register with the division in order to engage in research psychoanalysis.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2529, Business and Professions Code.
§1370. Completion of Clinical Training Defined.
Note

The term “completed clinical training” as used in Section 2529 of the code means completion of psychoanalytic training in a psychoanalytic institute referred to in that section or from an institute, department or program deemed equivalent by the division.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2529, Business and Professions Code.
§1371. Adjunct Defined.
Note

A research psychoanalyst may engage in psychoanalysis as an adjunct to teaching, training or research. “Adjunct” means that the research psychoanalyst may not engage in a full-time clinical practice rendering psychoanalytic services on a fee-for-service basis. A research psychoanalyst may render psychoanalytic services on a fee-for-service basis for not more than an average of one-third of his or her total professional time including time spent in practice, teaching, training or research. Such teaching, training or research shall be the primary activity of the research psychoanalyst. This primary activity may be demonstrated by
(a) A full-time faculty appointment at the University of California, a state university or college, or an accredited or approved educational institution as defined in Section 94310, subdivisions (a) and (b), of the Education Code.
(b) Significant ongoing responsibility for teaching or training as demonstrated by the amount of time devoted to such teaching or training or the number of students trained; or
(c) A significant research effort demonstrated by publications in professional journals or publication of books.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2529, Business and Professions Code.
§1372. Supervision of Students Required.
Note

Students may practice psychoanalysis under proper supervision as set forth in Section 1373.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2529, Business and Professions Code.
§1373. Criteria for Supervision.
Note

(a) Each supervisor of a student shall be a graduate psychoanalyst who has a minimum of five years of postgraduate clinical experience in psychoanalysis following completion of his or her psychoanalytic education.
(b) Each such supervisor shall
(1) provide individual supervision of each student for a minimum of one (1) hour for each week per case of patient psychoanalysis for the first year of such supervision, then no less than one (1) hour per case each month thereafter;
(2) supervise no more students than, in the judgment of the training institute, can be effectively supervised.
(c) There shall be a minimum of 50 hours of supervision for each case for a total of at least 150 hours of supervision during training.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2529, Business and Professions Code.
§1373.1. Registration After Graduation.
Note

Any person who has been registered with the division as a research psychoanalyst student who wishes to continue to perform psychoanalysis shall, upon completion of training in psychoanalysis, register with the division as a research psychoanalyst.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2529, Business and Professions Code.
§1374. Criteria for Equivalent Psychoanalytic Institutes.
Note     •     History

In order to be deemed an equivalent psychoanalytic institute, such an institute, department or program shall meet the following criteria:
(a) Have a curriculum which is designed and implemented by a faculty which is predominantly graduate psychoanalysts;
(b) Insure that each student has practical clinical exposure to a wide variety of psychopathologies and training in their differential diagnosis;
(c) Require each research psychoanalyst student prior to admission to have received a doctorate degree, or its equivalent in education and experience from the University of California, a state university or college, an educational institution which is accredited or approved pursuant to section 94310 of the Education Code or an educational institution located outside the state which has accreditation by a national or applicable regional accrediting agency recognized by the United States Department of Education;
(d) Require each research psychoanalyst student prior to admission to have shown achievement in teaching, training or research with demonstrated aptitude in his or her primary filed of scholarly or scientific endeavor;
(e) Require each student to participate in at least 560 hours of classroom training over at least three (3) years on all phases of psychoanalysis;
(f) Require each student to participate in continuous case conferences conducted by graduate psychoanalysts;
(g) Require each student to undergo a minimum of 300 hours personal psychoanalysis conducted by a graduate psychoanalyst who has a minimum of five years of postgraduate clinical experience in psychoanalysis following the completion of his or her psychoanalytic education;
(h) Require each student to conduct at least three (3) psychoanalyses under the supervision of three different graduate psychoanalysts, at least one of which is taken to termination except in those rare instances where a delay may post an extreme hardship to the student and the institute has made provision for continuing supervision of the student after graduation until at least one case is taken to termination;
(i) Require each student to either pass a comprehensive examination or write an approved thesis.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2529, Business and Professions Code.
HISTORY

1. Editorial correction of printing error restoring subsection (g) designation (Register 90, No. 51).
2. Amendment of subsection (h) filed 11-9-90; operative 12-9-90 (Register 90, No. 51).
§1375. Applicants from Equivalent Institutions.
Note

(a) Any applicant from a psychoanalytic institution which is claimed to be equivalent to an institute specified in Section 2529 shall have presented to the division evidence that such institution complies with the criteria set forth in Section 1374.
(b) In its discretion the division may register an applicant who graduated from an equivalent institution before the time of its approval by the division, if the program undertaken by the applicant as a student otherwise complies with the provisions of Section 1374.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2529, Business and Professions Code.
§1376. Unprofessional Conduct.
Note

The division may deny, suspend, revoke or impose probationary conditions upon a registrant for unprofessional conduct as specified in Section 2529 of the code which includes, but is not limited to, the following:
(a) Any violation of the research psychoanalysts law.
(b) Any violation of the Research Psychoanalysts Regulations.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2529, Business and Professions Code.
§1376.1. Disciplinary Actions.
Note

Any action taken by the division to deny, suspend, revoke or impose probationary conditions upon a registrant shall be pursuant to the Administrative Procedure Act (Section 11500 et seq. of the Government Code).
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2529, Business and Professions Code.
§1377. Fees.
Note

(a) The registration fee is $100 for research psychoanalysts and students, except that if the registration will expire less than one (1) year after its issuance, then the registration fee is $75.
(b) The biennial renewal fee is $50.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2529.5, Business and Professions Code.
§1377.5. Verification of Student Status.
Note

Students renewing their registration shall present to the division verification of their continuing student status from the registrar or similar official of the psychoanalytic institute attended.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2529.5, Business and Professions Code.
§1378. Expiration of Registration.
Note

All registrations expire and become invalid at midnight on the last day of February of each even-numbered year if not renewed. To renew an unexpired registration, the registrant shall, on or before the date on which it would otherwise expire, apply for renewal on a form provided by the division, accompanied by a required verification and the prescribed renewal fee.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 152.6 and 2529.5, Business and Professions Code.
Article 4. Standardized Procedure Guidelines
§1379. Standardized Procedures for Registered Nurses.
Note     •     History

A physician and surgeon or a podiatrist who collaborates in the development of standardized procedures for registered nurses shall comply with Title 16 California Administrative Code Sections 1470 through 1474 governing development and use of standardized procedures.
NOTE

Authority cited: Sections 2018 and 2725, Business and Professions Code. Reference: Section 2725, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Article 4 (Sections 1376-1377.1) to Article 2 (Sections 1366 and 1366.1), and new Article 4 (Section 1379) filed 8-3-83; effective thirtieth day thereafter (Register 83, No. 32). For prior history, see Registers 81, No. 32; and 78, No. 17.
Article 5. Research Psychoanalysts
NOTE

Authority cited: Sections 2529 and 3510, Business and Professions Code. Reference: Section 3510 and Chapter 5.1 (commencing with Section 2529), Division 2, Business and Professions Code.
HISTORY

1. Renumbering of Article 15 (Sections 1379-1379.86) to Article 5 (Sections 1379-1379.86) of Subchapter 3 filed 5-20-77; effective thirtieth day thereafter (Register 77, No. 21). For latest prior history, see Register 76, No. 52.
2. Repealer of Article 5 (Sections 1379-1379.86) and redesignation as Chapter 13.7 (Sections 1399.50, et seq. ) filed 11-22-77; effective thirtieth day thereafter (Register 77, No. 48). For prior history, see Register 72, Nos. 39 and 49, Register 73, Nos. 18, 21, 35 and 38, Register 74, No. 45, Register 76, Nos. 30, 33 and 52; and Register 77, No. 25.
3. Editorial correction of History note No. 2 (Register 78, No. 33).
4. New Article 5 (Sections 1378-1378.32, not consecutive) filed 10-12-78; effective thirtieth day thereafter (Register 78, No. 41).
5. Renumbering and amendment of Article 5 (Sections 1378-1378.32, not consecutive) to Article 3 (Sections 1367-1378, not consecutive) filed 8-3-83; effective thirtieth day thereafter (Register 83, No. 32). For prior history, see Registers 81, No. 32; and 79, No. 29.
Chapter 4. Licensed Midwives
Article 1. General Provisions
§1379.1. Location of Office.
Note     •     History

The Midwifery Licensing Program is located at 1426 Howe Avenue, Sacramento, CA 95825.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2505 through 2521, Business and Professions Code.
HISTORY

1. New chapter 4, article 1 and section filed 4-26-95; operative 5-26-95 (Register 95, No. 17).
§1379.2. Definitions.
Note     •     History

For the purposes of the regulations contained in this chapter and for purposes of Article 24 of Chapter 5 of Division 2 (commencing with section 2505) of the code:
(a) “Accrediting organization approved by the board,” as used in section 2515 of the code, means either an accrediting organization that is recognized by the United States Department of Education, Division of Accreditation, or an accrediting organization that is equivalent thereto.
(b) “Board” means the Division of Licensing of the Medical Board of California.
(c) “Code” means the Business and Professions Code.
(d) “Midwifery education program” includes but is not limited to nurse midwifery education programs.
NOTE

Authority cited: Section 2514.5, Business and Professions Code. Reference: Sections 2505 through 2521, Business and Professions Code.
HISTORY

1. New section filed 4-26-95; operative 5-26-95 (Register 95, No. 17).
2. Amendment of first paragraph, new subsection (a), subsection relettering, and amendment of Note filed 7-23-98; operative 8-22-98 (Register 98, No. 30).
§1379.3. Delegation of Functions.
Note     •     History

Except for those powers reserved exclusively to the “agency itself” under the Administrative Procedure Act (Section 11500 et seq. of the Government Code), the board delegates and confers upon the executive director of the board, or his/her designee, all functions necessary to the dispatch of business of the board in connection with investigative and administrative proceedings under the jurisdiction of the board.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2505 through 2521, Business and Professions Code.
HISTORY

1. New section filed 4-26-95; operative 5-26-95 (Register 95, No. 17).
Article 2. Fees
§1379.5. Midwifery Fees.
Note     •     History

The licensed midwifery fees are fixed as follows:
(a) The license application fee shall be $300.00.
(b) The biennial renewal fee shall be $200.00.
(c) The delinquency fee shall be $50.00.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2520 through 2521, Business and Professions Code.
HISTORY

1. New article 2 and section filed 4-25-95; operative 5-25-95 (Register 95, No. 17).
2. Change without regulatory effect amending section number filed 9-14-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 37).
Article 3. Application
§1379.10. Application for Licensure as a Midwife.
Note     •     History

An application for licensure as a midwife shall be filed with the board at its principal office on the prescribed application form (Application for Midwife License - 62A-1(Revised 5-2000) which is incorporated by reference. The application shall be accompanied by such evidence, statements or documents as therein required and filed with the fee required by section 1379.5.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2512, 2517 and 2520, Business and Professions Code.
HISTORY

1. New article 3 and section filed 6-30-95; operative 7-30-95 (Register 95, No. 26).
2. Amendment filed 11-6-2000; operative 12-6-2000 (Register 2000, No. 45).
§1379.11. Review of Applications; Processing Time.
Note     •     History

(1) The board shall inform an applicant for licensure as a midwife in writing within 30 days of receipt of an application as to whether the application is complete and accepted for filing or is deficient and what specific information is required.
(2) The board shall inform an applicant for licensure as a midwife in writing within 30 days after notification that an application has been accepted for filing as to whether the applicant meets the requirements for licensure.
NOTE

Authority cited: Section 2018, Business and Professions Code; and Section 15376, Government Code. Reference: Section 2512, Business and Professions Code; and Section 15376 et seq., Government Code.
HISTORY

1. New section filed 10-5-95; operative 11-4-95 (Register 95, No. 40).
§1379.15. Verification of Minimum Clinical Experiences Required.
Note     •     History

(a) A person may obtain educational credit by examination for previous midwifery education and clinical experience. An applicant for licensure on or before December 31, 1997, who would rely upon such education and experience as his/her sole qualifications for taking the comprehensive licensing exam pursuant to sections 2512.5 and 2513 of the code shall have obtained all of the experiences described in subsection (c) within ten years immediately preceding the date of application.
(b) A person who applies for licensure as a midwife on or after January 1, 1998, who would rely upon credit by examination for previous education and experience as his/her sole qualifications for taking the comprehensive licensing exam pursuant to sections 2512.5 and 2513 of the code shall have obtained at least 50 percent of the experiences described in subsection (c) within five years immediately preceding the date of application.
(c) For purposes of satisfying section 2513(b) of the code, an approved midwifery education program shall verify the following minimum number of clinical experiences:
(1) 20 new antepartum visits clinical experiences
(2) 75 return antepartum visits
(3) 20 labor management experiences
(4) 20 deliveries
(5) 40 postpartum visits, within the first five days after birth
(6) 20 newborn assessments
(7) 40 postpartum/family planning/gynecology visits
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2513, Business and Professions Code.
HISTORY

1. New section filed 5-22-96; operative 6-21-96 (Register 96, No. 21).
Article 3.5. Midwifery Practice
§1379.19. Standards of Care for Midwives.
Note     •     History

(a) For purposes of Section 2507(f) of the code, the appropriate standard of care for licensed midwives is that contained in the “Standard of Care for California Licensed Midwives” (September 15, 2005 edition) (“SCCLM”), which is hereby incorporated by reference.
(b) With respect to the care of a client who has previously had a caesarean section (“C-section”) but who meets the criteria set forth in the SCCLM, the licensed midwife shall provide the client with written informed consent (and document that written consent in the client's midwifery record) that includes but is not limited to all of the following:
(1) The current statement by the American College of Obstetricians and Gynecologists regarding its recommendations for vaginal birth after caesarean section (“VBAC”).
(2) A description of the licensed midwife's level of clinical experience and history with VBACs and any advanced training or education in the clinical management of VBACs.
(3) A list of educational materials provided to the client.
(4) The client's agreement to: provide a copy of the dictated operative report regarding the prior C-section; permit increased monitoring; and, upon request of the midwife, transfer to a hospital at any time or if labor does not unfold in a normal manner.
(5) A detailed description of the material risks and benefits of VBAC and elective repeat C-section.
NOTE

Authority cited: Sections 2018 and 2507, Business and Professions Code. Reference: Section 2507, Business and Professions Code.
HISTORY

1. New article 3.5 heading and new section filed 2-7-2006; operative 3-9-2006 (Register 2006, No. 6).
§1379.20. Liability Insurance Disclosure.
Note     •     History

A midwife who does not have liability insurance coverage for the practice of midwifery shall disclose that fact to the client on the first visit or examination, whichever comes first.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2508, Business and Professions Code.
HISTORY

1. New section filed 5-17-96; operative 6-16-96 (Register 96, No. 20).
2. Change without regulatory effect amending section filed 1-24-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 4).
§1379.22. Physician Requirements.
Note     •     History

A physician described in Section 2508 of the code shall have hospital privileges in obstetrics and shall be located in reasonable geographic and/or temporal proximity to the patient whose care the physician will assume should complications arise.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2508, Business and Professions Code.
HISTORY

1. New section filed 11-28-95; operative 12-28-95 (Register 95, No. 48).
Article 4. Continuing Education
§1379.25. Definitions.
Note     •     History

For purposes of this article:
(a) “Continuing education” means the variety of forms of learning experience undertaken by licensed midwives for relicensure, which are meant to directly enhance the licentiate's knowledge, skill or competence in the provision of midwifery services.
(b) “Continuing education hour” means at least fifty (50) minutes of participation in an organized learning experience. One academic quarter unit is equal to ten (10) continuing education hours. One academic semester unit is equal to fifteen (15) continuing education hours.
(c) “Course” means a systematic learning experience, at least one hour in length, which deals with and is designed for the acquisition of knowledge, skills, and information related to the practice of midwifery.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2518, Business and Professions Code.
HISTORY

1. New article 4 (sections 1379.25-1379.28) and section filed 7-8-97; operative 8-7-97 (Register 97, No. 28).
§1379.26. Approved Continuing Education Programs.
Note     •     History

(a) The following programs are approved by the division for continuing education credit:
(1) Programs offered by the American College of Nurse Midwives;
(2) Programs offered by the Midwives Alliance of North America;
(3) Programs offered by a midwifery school approved by the division;
(4) Programs offered by a state college or university or by a private postsecondary institution accredited by the Western Association of Schools and Colleges;
(5) Programs offered by a midwifery school accredited by the Midwives Education Accreditation Council;
(6) Programs which qualify for Category I credit from the California Medical Association or the American Medical Association;
(7) Programs offered by the Public Health Service;
(8) Programs offered by the California Association of Midwives;
(9) Programs offered by the American College of Obstetricians and Gynecologists; and
(10) Courses offered by a provider approved by the California Board of Registered Nursing or the board of registered nursing of another state in the United States.
(b) Only those courses and other education activities that meet the requirements of Section 1379.27 which are offered by these organizations shall be acceptable for credit under this section.
(c) A maximum of one third of the required hours of continuing education may be satisfied by teaching or otherwise presenting a course or program approved under this section.
(d) Tape-recorded courses and correspondence courses offered by an approved provider shall be accepted for no more than half of the total required hours.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2518, Business and Professions Code.
HISTORY

1. New section filed 7-8-97; operative 8-7-97 (Register 97, No. 28).
2. Amendment of subsection (a)(9) and new subsection (a)(10) filed 10-25-2004; operative 11-24-2004 (Register 2004, No. 44).
§1379.27. Criteria for Acceptability of Courses.
Note     •     History

(a) Those courses and programs referred to in section 1379.26 above shall meet the following criteria in order to be acceptable to the division:
(1) Faculty--the course or program instructor shall: (A) be currently licensed or certified in his/her area of expertise, if appropriate, and (B) show evidence of specialized training which may include, but is not limited to, a certificate of training or an advanced degree in a given subject area. The curriculum vitae of all faculty members shall be kept on file.
(2) Rationale--The need for the course and how the need was determined shall be clearly stated and maintained on file.
(3) Course content--The content of the course or program shall be directly related to midwifery, patient care, community health or public health, preventive medicine, professional ethics, the Medical Practice Act, the Licensed Midwifery Practice Act, or improvement of the midwife-client relationship.
(4) Educational objectives--Each course or program shall clearly state educational objectives that can be realistically accomplished within the framework of the course.
(5) Method of instruction--Teaching methods for each course or program shall be described, e.g. lecture, seminar, audio-visual, simulation.
(6) Evaluation--Each course or program shall include an evaluation method which documents that the educational objectives have been met--for example, written examination or written evaluation by each participant.
(7) Attendance--A course provider shall maintain a record of attendance of each participant.
(b) The division will not give prior approval to individual courses or programs; however, the division will randomly audit courses or programs submitted for credit in addition to any course or program for which a complaint is received. If an audit is made, course providers will be asked to submit to the division documentation concerning each of the items described in subsection (a) above.
(c) Credit toward the required hours of continuing education will not be accepted for any course deemed unacceptable by the division after an audit has been made pursuant to this section.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2518, Business and Professions Code.
HISTORY

1. New section filed 7-8-97; operative 8-7-97 (Register 97, No. 28).
§1379.28. Audit and Sanctions for Noncompliance.
Note     •     History

(a) The division shall audit once every two years a random sample of midwives who have reported compliance with the continuing education requirement. No midwife shall be subject to random audit more than once every four (4) years. Those midwives selected for audit shall be required to document their compliance with the continuing education requirements of Section 2518 of the code and this article.
(b) Any midwife who is found not to have completed the required number of hours of approved continuing education will be required to make up any deficiency during the next biennial renewal period. Such midwife shall document to the division the completion of any deficient hours identified by audit. Any midwife who fails to make up the deficient hours during the following renewal period shall be ineligible for renewal of his/her license to practice midwifery until such time as the deficient hours of continuing education are documented to the division.
(c) It shall constitute unprofessional conduct for any midwife to misrepresent his/her compliance with the provisions of this article.
(d) The division requires that each midwife retain for a minimum of four years records of all continuing education programs attended, including the title of the course or program attended, the length of the course or program, the number of continuing education hours, the sponsoring organization and the accrediting organization, if any, which may be needed in the event of an audit by the division.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2518 and 2519, Business and Professions Code.
HISTORY

1. New section filed 7-8-97; operative 8-7-97 (Register 97, No. 28).
Article 5. Educational Requirements
§1379.30. Midwifery Education Program.
Note     •     History

The midwifery education program shall prepare the midwife to practice as follows:
(a) Management of the normal pregnancy.
(b) Management of normal labor and delivery in all birth settings, including the following, when indicated:
(1) Administration of intravenous fluids, analgesics, postpartum oxytocics, and RhoGAM.
(2) Amniotomy during labor.
(3) Application of external or internal monitoring devices.
(4) Administration of local anesthesia, paracervical blocks, pudendal blocks, and local infiltration.
(5) Episiotomy.
(6) Repair of episiotomies and lacerations.
(7) Resuscitation of the newborn.
(c) Management of the normal postpartum period.
(d) Management of the normal newborn care, including administration of vitamin K and eye prophylaxis.
(e) Management of family planning and routine gynecological care including barrier methods of contraception such as diaphragms and cervical caps.
NOTE

Authority cited: Section 2514.5, Business and Professions Code. Reference: Sections 2512.5 and 2514.5, Business and Professions Code.
HISTORY

1. New article 5 (sections 1379.30-1379.31) and section filed 7-23-98; operative 8-22-98 (Register 98, No. 30).
§1379.31. Evidence of Completion of Educational Requirements.
Note     •     History

For purposes of Section 2515.5 of the code, either of the following shall be deemed satisfactory evidence that an applicant has met the educational standards required for licensure as a midwife:
(a) A diploma issued by a midwifery program approved by the division; or
(b) A notice of successful completion of the challenge program (credit by examination) issued by a program approved by the division.
NOTE

Authority cited: Section 2514.5, Business and Professions Code. Reference: Section 2515.5, Business and Professions Code.
HISTORY

1. New section filed 7-23-98; operative 8-22-98 (Register 98, No. 30).
Chapter 4.3. Polysomnography
Article 1. General Provisions
§1379.40. Definitions.
Note     •     History

For the purposes of the regulations contained in this chapter and for purposes of Chapter 7.8 of Division 2 (commencing with section 3575) of the Code:
(a) “Approved polysomnographic education program” means (1) a polysomnographic education program accredited either by the Commission on Accreditation of Allied Health Education Programs (“CAAHEP”) or by the Commission on Accreditation for Respiratory Care; (2) a sleep technologist program accredited by the American Academy of Sleep Medicine; and (3) a sleep technologist program approved by the Board of Registered Polysomnographic Technologists. 
(b) “Board” means the Medical Board of California.
(c) “Code” means the Business and Professions Code.
(d) “National certifying examination” means the technologist credentialing examination given by the Board of Registered Polysomnographic Technologists.
(e) “Polysomnography registrant” includes any person registered as a trainee, technician or technologist under this chapter.
(f) “Supervising physician and surgeon” means physician and surgeon who holds a valid license in California and who (1) possesses a current certification or subspecialty certification or is eligible for such a certification in sleep medicine by a member board of the American Board of Medical Specialties (“ABMS”) or the American Board of Sleep Medicine (“ABSM”); or (2) holds active staff membership at a sleep center or laboratory accredited by the American Academy of Sleep Medicine or by the Joint Commission.
(g) “Valid, current credentials as a polysomnographic technologist issued by a national accrediting agency approved by the board” means current valid registration as a polysomnographic technologist issued by the Board of Registered Polysomnographic Technologists.
NOTE

Authority cited: Sections 2018 and 3575, Business and Professions Code. Reference: Section 3575, Business and Professions Code.
HISTORY

1. New chapter 4.3 (articles 1-6, sections 1379.40-1379.78), article 1 (sections 1379.40-1379.42) and section filed 1-19-2012; operative 2-18-2012 (Register 2012, No. 3).
§1379.42. Delegation of Functions.
Note     •     History

Except for those powers reserved exclusively to the “agency itself” or for the adoption of stipulated settlements under the Administrative Procedure Act (Section 11500 et seq. of the Government Code), the board delegates and confers upon the executive director of the board, or his/her designee, all functions necessary to the dispatch of business of the board in connection with investigative and administrative proceedings under the jurisdiction of the board.
NOTE

Authority cited: Sections 2018 and 3575, Business and Professions Code. Reference: Sections 3575 and 3577, Business and Professions Code.
HISTORY

1. New section filed 1-19-2012; operative 2-18-2012 (Register 2012, No. 3).
Article 2. Applications
§1379.44. Application for Registration as a Polysomnographic Technologist, Technician, or Trainee.
Note     •     History

An application for registration as a polysomnographic technologist, technician, or trainee shall be filed with the board at its principal office on the prescribed application form, Polysomnography Registration Application [PST -- 1A (8/10)], which is incorporated by reference. The application shall be accompanied by such evidence, statements or documents as therein required and filed with the fee required by section 1379.78.
NOTE

Authority cited: Sections 2018 and 3577, Business and Professions Code. Reference: Sections 3575 and 3577, Business and Professions Code.
HISTORY

1. New article 2 (sections 1379.44-1379.46) and section filed 1-19-2012; operative 2-18-2012 (Register 2012, No. 3).
§1379.46. Abandonment of Applications.
Note     •     History

An applicant shall be deemed to have abandoned an application if he or she does not complete the requirements for registration within one year from the date on which the application was filed. An application submitted subsequent to an abandoned application shall be treated as a new application.
NOTE

Authority cited: Sections 2018 and 3575, Business and Professions Code. Reference: Sections 3575 and 3577, Business and Professions Code.
HISTORY

1. New section filed 1-19-2012; operative 2-18-2012 (Register 2012, No. 3).
Article 3. Qualifications for Registration
§1379.48. Examination.
Note     •     History

The certification examination offered by the Board of Registered Polysomnographic Technologists is approved by the board for purposes of qualifying for registration pursuant to Chapter 7.8 of Division 2 of the Code.
NOTE

Authority cited: Sections 2018 and 3575, Business and Professions Code. Reference: Sections 3575 and 3577, Business and Professions Code.
HISTORY

1. New article 3 (sections 1379.48-1379.50) and section filed 1-19-2012; operative 2-18-2012 (Register 2012, No. 3).
§1379.50. Registration Requirements.
Note     •     History

(a) Polysomnographic Trainee. In addition to the requirements set forth in Section 3575(c) of the Code, an applicant for registration as a polysomnographic trainee shall meet the following requirements:
(1) Not be subject to denial under Section 3576 of the Code; and 
(2) Have either (A) a high school diploma or GED and six months of supervised direct polysomnographic patient care experience; or (B) be currently enrolled in an approved polysomnographic education program; and
(3) Possess at the time of application a current certificate in Basic Life Support issued by the American Heart Association.
(b) Polysomnographic Technician. In addition to the requirements set forth in Section 3575(c) of the Code, an applicant for registration as a polysomnographic technician shall meet the following requirements:
(1) Not be subject to denial under Section 3576 of the Code; and 
(2) Have successfully completed an approved polysomnographic education program; and 
(3) Possess a minimum of six months experience as a registered polysomnographic trainee; and
(4) Possess at the time of application a current certificate in Basic Life Support issued by the American Heart Association.
(c)(1) Polysomnographic Technologist. An applicant for registration as a polysomnographic technologist shall meet the requirements set forth in Sections 3575 and 3576 of the Code and shall possess at the time of application a current certificate in Basic Life Support issued by the American Heart Association.
(2) With respect to applications received on or before October 22, 2012, an applicant for registration as a polysomnographic technologist may satisfy the requirements of subdivision (b)(1) of section 3575 of the Code by submitting any of the following as proof that the applicant has been practicing polysomnography safely for at least five years:
(A) One or more declarations under penalty of perjury by a supervising physician attesting to the period of time the physician supervised the applicant, the tasks performed by the applicant, and the applicant's ability to practice polysomnography safely.
(B) A letter of good standing from each state in which the applicant is registered or licensed.
NOTE

Authority cited: Sections 2018 and 3575, Business and Professions Code. Reference: Sections 3575 and 3577, Business and Professions Code.
HISTORY

1. New section filed 1-19-2012; operative 2-18-2012 (Register 2012, No. 3).
Article 4. Polysomnography Practice
§1379.52. Employment and Supervision of Registrants.
Note     •     History

(a) A physician and surgeon who does not meet one of the requirements set forth in section 1379.40(f) shall not supervise polysomnography registrants. No physician and surgeon shall supervise more than eight polysomnographic technologists at any one time. A physician and surgeon shall comply with the supervision requirement of Section 3575(a) of the Code.
(b) A supervising physician and surgeon, supervising polysomnographic technologist or other licensed health care professional shall not supervise more than a total of eight polysomnographic technicians and/or trainees at any one time. If a supervising physician and surgeon is not physically present on the premises, a supervising polysomnographic technologist or other licensed health care professional shall be physically present on the premises and available to the polysomnographic technicians and/or trainees under his/her supervision. For purposes of this article, “other licensed health care professional” means a registered nurse, physician assistant or respiratory care practitioner who possesses a current California license.
(c) A supervising polysomnographic technologist and his or her supervising physician and surgeon shall establish written guidelines for the adequate supervision by the technologist of polysomnographic technicians and trainees. This requirement may be satisfied by the supervising physician and surgeon adopting protocols for some or all of the tasks performed by the technicians and trainees. Protocols shall be signed and dated by the supervising physician and surgeon and the polysomnographic technologist.
(d) The delegation of procedures to a registrant or other licensed health care professional shall not relieve the supervising physician of primary continued responsibility for the welfare of the patient.
NOTE

Authority cited: Sections 2018 and 3575, Business and Professions Code. Reference: Sections 3575, Business and Professions Code.
HISTORY

1. New article 4 (sections 1379.52-1379.58) and section filed 1-19-2012; operative 2-18-2012 (Register 2012, No. 3).
§1379.54. Scope of Services--Polysomnographic Trainee.
Note     •     History

Under the direct supervision of a supervising physician and surgeon, polysomnographic technologist or other licensed health care professional, a polysomnographic trainee may provide basic supportive services as part of the trainee's educational program, including but not limited to gathering and verifying patient information, testing preparation and monitoring, documenting routine observations, data acquisition and scoring, and assisting with appropriate interventions for patient safety.
NOTE

Authority cited: Sections 2018 and 3575, Business and Professions Code. Reference: Section 3575, Business and Professions Code.
HISTORY

1. New section filed 1-19-2012; operative 2-18-2012 (Register 2012, No. 3).
§1379.56. Scope of Services-Polysomnographic Technician.
Note     •     History

A polysomnographic technician may perform the services described in section 1379.54 under general supervision and may implement appropriate interventions necessary for patient safety.
NOTE

Authority cited: Sections 2018 and 3575, Business and Professions Code. Reference: Section 3575, Business and Professions Code.
HISTORY

1. New section filed 1-19-2012; operative 2-18-2012 (Register 2012, No. 3).
§1379.58. Notice to Consumers.
Note     •     History

(a) A polysomnography registrant shall provide notice to each patient of the fact that the person is registered and regulated by the board. The notice shall include the following statement and information: 

NOTICE TO CONSUMERS
Medical doctors and polysomnographic technologists,
technicians, and trainees are licensed and regulated
by the Medical Board of California
(800) 633-2322
www.mbc.ca.gov
(b) The notice required by this section shall be provided by one of the following methods: 
(1) Prominently posting the notice in an area visible to patients on the premises where the registrant provides the services for which registration is required, in which case the notice shall be in at least 48-point type in Arial font.
(2) Including the notice in a written statement, signed and dated by the patient or the patient's representative and retained in that patient's medical records, stating the patient understands the polysomnographic registrant is registered and regulated by the board. 
(3) Including the notice in a statement on letterhead, discharge instructions, or other document given to a patient or the patient's representative, where the notice is placed immediately above the signature line for the patient in at least 14-point type. 
NOTE

Authority cited: Sections 138 and 2018, Business and Professions Code; Reference: Section 138, Business and Professions Code.
HISTORY

1. New section filed 1-19-2012; operative 2-18-2012 (Register 2012, No. 3).
Article 5. Enforcement
§1379.68. Substantial Relationship Criteria.
Note     •     History

For the purpose of denial, suspension, or revocation of the registration of a polysomnography registrant pursuant to Division 1.5 (commencing with Section 475) of the Code, a crime or act shall be considered substantially related to the qualifications, functions, and duties of a polysomnographic registrant if to a substantial degree it evidences present or potential unfitness of a polysomnographic registrant to perform the functions authorized by his or her registration in a manner consistent with the public health, safety, or welfare. Such crimes or acts shall include, but not be limited to, those involving the following:
(a) Violating or attempting to violate, directly or indirectly, or assisting or abetting the violation of or conspiring to violate any provision or term of Chapter 7.8 of Division 2 of the Code.
(b) Conviction of a crime involving fiscal dishonesty, or theft.
(c) Battery or assault.
(d) Sexual misconduct or abuse.
(e) Conviction of a crime involving lewd conduct, prostitution or solicitation thereof, or pandering and/or indecent exposure, as defined by the Penal Code.
NOTE

Authority cited: Sections 481 and 2558, Business and Professions Code. Reference: Sections 481, 2555.1, 2556 and 3576, Business and Professions Code.
HISTORY

1. New article 5 (sections 1379.68-1379.72) and section filed 1-19-2012; operative 2-18-2012 (Register 2012, No. 3).
§1379.70. Criteria for Rehabilitation for Denial and Reinstatement.
Note     •     History

When considering the denial of a registration under Section 480 of the Code, or a petition for reinstatement under Section 11522 of the Code, the board in evaluating the rehabilitation of the applicant and his or her present eligibility for registration, shall consider the following criteria:
(a) The nature and severity of the act(s) or crime(s) under consideration.
(b) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration which also could be considered as grounds for denial under Section 480 of the Business and Professions Code.
(c) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (a) or (b).
(d) The extent to which the applicant or petitioner has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against him or her.
(e) Evidence, if any, of rehabilitation submitted by the applicant or petitioner.
NOTE

Authority cited: Sections 482 and 2018, Business and Professions Code. Reference: Sections 482 and 3576, Business and Professions Code.
HISTORY

1. New section filed 1-19-2012; operative 2-18-2012 (Register 2012, No. 3).
§1379.72. Rehabilitation Criteria for Suspensions and Revocations.
Note     •     History

When considering the suspension or revocation of a registration on the grounds that the registrant has been convicted of a crime, the board, in evaluating the rehabilitation of such person and his or her present eligibility for a registration, shall consider the following criteria:
(a) Nature and severity of the act(s) or offense(s).
(b) Total criminal record.
(c) Extent of time that has elapsed since commission of the act(s) or offense(s).
(d) Whether the registrant has complied with any or all terms of parole, probation, restitution or any other sanctions lawfully imposed against the registrant.
(e) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(f) Evidence, if any, of rehabilitation submitted by the registrant.
NOTE

Authority cited: Section 482, Business and Professions Code. Reference: Sections 482 and 3576, Business and Professions Code.
HISTORY

1. New section filed 1-19-2012; operative 2-18-2012 (Register 2012, No. 3).
Article 6. Fees.
§1379.78. Fees.
Note     •     History

The polysomnography registrant fees are fixed as follows:
(a) The application fee shall be $100.00.
(b) The registration fee shall be $100.00.
(c) The biennial renewal fee shall be $150.00.
(d) The delinquency fee shall be $75.00.
NOTE

Authority cited: Sections 2018 and 3577, Business and Professions Code. Reference: Sections 163.5 and 3577, Business and Professions Code.
HISTORY

1. New article 6 (section 1379.78) and section filed 1-19-2012; operative 2-18-2012 (Register 2012, No. 3).
Division 13.1. Board of Psychology
Article 1. General Provisions
§1380. Citation and Authority.
Note     •     History

This chapter may be cited and referred to as the “Psychology Regulations.”
NOTE

Authority and reference cited: Section 2930, Business and Professions Code.
HISTORY

1. Renumbering of Section 1380 to Section 1380.1 and new Section 1380 filed 11-21-77; effective thirtieth day thereafter (Register 77, No. 48). For prior history, see Register 76, No. 52.
2. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1380.1. Location of Principal Office.
Note     •     History

The principal office of the Board of Psychology is located at 2005 Evergreen Street, Suite 1400, Sacramento, California 95815-3831.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2930, Business and Professions Code.
HISTORY

1. Renumbering of section 1380 to section 1380.1 filed 11-21-77; effective thirtieth day thereafter (Register 77, No. 48). For prior history, see Register 76, No. 52.
2. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
3. Amendment filed 2-29-2000; operative 3-30-2000 (Register 2000, No. 9).  
4. Change without regulatory effect amending section filed 4-14-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 16).
§1380.2. Tenses, Gender and Number. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code.
HISTORY

1. Renumbering of Section 1380.1 to 1380.2 filed 11-21-77; effective thirtieth day thereafter (Register 77, No. 48).
2. Repealer filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1380.3. Definitions.
Note     •     History

For the purpose of the regulations contained in this chapter, the term “board” means the Board of Psychology, and the term “code” means the Business and Professions Code.
NOTE

Authority and reference cited: Section 2930, Business and Professions Code.
HISTORY

1. Amendment filed 12-22-76; effective thirtieth day thereafter (Register 76,No. 52).
2. Renumbering of section 1380.2 to section 1380.3 filed 11-21-77; effective thirtieth day thereafter (Register 77, No. 48).
3. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
4. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
§1380.4. Delegation of Functions.
Note     •     History

Except for those powers reserved exclusively to the “agency itself ” under the Administrative Procedure Act (section 11500 et seq. of the Government Code), the board delegates and confers upon the executive officer for the board, or in his or her absence, the chairperson of the board, or in his or her absence, the vice chairperson of the board, all functions necessary to the dispatch of business of the board in connection with investigative and administrative proceedings under the jurisdiction of the board.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Sections 2928 and 2965, Business and Professions Code; and Section 11500, Government Code.
HISTORY

1. Renumbering and amendment of section 1380.3 to section 1380.4 filed 11-21-77; effective thirtieth day thereafter (Register 77, No. 48).
2. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
3. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
4. Amendment filed 6-14-93; operative 7-1-93 pursuant to Government Code section 11346.2(d) (Register 93, No. 25).
§1380.5. Filing of Address.
Note     •     History

Each person holding a license as a psychologist shall file with the board his proper and current mailing address, and shall report immediately to the board at its Sacramento office any and all changes of address, giving both his old and new address.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2982, Business and Professions Code.
HISTORY

1. Renumbering of section 1380.4 to section 1380.5 filed 11-21-77; effective thirtieth day thereafter (Register 77, No. 48).
2. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
3. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
§1380.6. Display of License Number.
Note     •     History

Pursuant to Section 137 of the code, every licensed psychologist shall include his or her number in any advertising, public directory or solicitation, regardless of whether such a presentment is made under the licensee's own name, a fictitious business or group name or a corporate name.
This requirement shall not apply to psychologists practicing in governmental organizations, nonprofit organizations which are engaged in research, education or services which services are defined by a board composed of community representatives and professionals.
NOTE

Authority cited: Sections 137 and 2930, Business and Professions Code. Reference: Section 137, Business and Professions Code.
HISTORY

1. New section filed 4-26-79; effective thirtieth day thereafter (Register 79, No. 17).
§1380.7. Declaratory Decisions.
Note     •     History

No decision or opinion issued by the Board of Psychology is a declaratory decision under Government Code Sections 11465.10-11456.70 unless the decision or opinion specifically states that it is a “Declaratory Decision”.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Sections 11465.10-11465.70, Government Code.
HISTORY

1. New section filed 7-2-99; operative 8-1-99 (Register 99, No. 27).
§1380.10. Emergency Meetings and Additions to Meeting Agendas. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code.
HISTORY

1. New section filed 4-27-78; effective thirtieth day thereafter (Register 78, No. 17).
2. Repealer filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
Article 1.5. Psychological Assistants [Repealed]
HISTORY

1. Repealer of Article 1.5 (Sections 1380.5-1380.16) filed 11-21-77; effective thirtieth day thereafter (Register 77, No. 48). For prior history, see Registers 68, No. 42, 73, No. 4, 75, No. 7, 75, No. 15, 76, No. 52 and 77, No. 8.
Article 2. Applications
§1381. Applications.
Note     •     History

All applications shall be accompanied by such evidence, statements or documents as therein required to establish that the applicant meets all of the requirements for licensing or registration as set forth in the code.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Sections 2940 and 2941, Business and Professions Code.
HISTORY

1. Amendment filed 7-14-76; effective thirtieth day thereafter (Register 76, No. 29).
2. Amendment filed 12-22-76; effective thirtieth day thereafter (Register 76, No. 52).
3. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
4. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
5. Amendment filed 9-23-2004; operative 10-23-2004 (Register 2004, No. 39).
§1381.1. Abandonment of Applications.
Note     •     History

An application shall be denied without prejudice when, in the discretion of the board, an applicant does not exercise due diligence in the completion of his or her application, in furnishing additional information or documents requested or in the payment of any required fees.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2940, Business and Professions Code.
HISTORY

1. Amendment filed 12-22-76, effective thirtieth day thereafter (Register 76, No. 52.).
2. Editorial correction to add section erroneously omitted (Register 78, No. 12).
3. Amendment filed 3-31-78; effective thirtieth day thereafter (Register 78, No. 13).
4. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
§1381.2. Petition for Hearing.
Note     •     History

An applicant for examination or licensure whose credentials indicate ineligibility shall be notified of the deficiency. The applicant may correct the deficiency indicated or in the alternative file a request for hearing before the appropriate committee.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2940, Business and Professions Code.
HISTORY

1. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
2. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
§1381.3. Appearances Before the Committee. [Repealed]
History

HISTORY

1. Repealer filed 12-22-76; effective thirtieth day thereafter (Register 76, No. 52).
§1381.4. Failure to Appear for Examination--Withdrawal of Application.
Note     •     History

Any applicant approved to take or retake a board licensing examination who fails to appear for such examination in any twelve month period shall have his or her application withdrawn. An applicant who subsequently decides to take the examination shall be required to file a new application and pay the current application and examination fees.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Sections 2914, 2931, 2940, 2941, and 2942, Business and Professions Code.
HISTORY

1. New section filed 3-31-78; effective thirtieth day thereafter (Register 78, No.13).
2. Amendment of NOTE filed 4-26-79; effective thirtieth day thereafter (Register 79, No. 17).
3. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
4. Amendment filed 3-13-97; operative 4-12-97 (Register 97, No. 11).
5. Repealer and new section filed 7-11-2001; operative 8-10-2001 (Register 2001, No. 28).
§1381.5. Failure to Pay Initial License Fee.
Note     •     History

An application shall be deemed to have been abandoned if an applicant fails to pay the initial license fee within three years after notification by the board. An applicant whose application has been deemed abandoned may again be eligible for licensure upon the filing of a new application and meeting all current licensing requirements, including payment of any fees. Such applicant shall not be required to take the Examination for Professional Practice in Psychology (EPPP) but shall take and pass the California Psychology Supplemental Examination (CPSE).
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Sections 2940 and 2983, Business and Professions Code.
HISTORY

1. New section filed 3-31-78; effective thirtieth day thereafter (Register 78, No.13).
2. Renumbering from section 1382 to section 1381. 5 filed 9-28-78; effective thirtieth day thereafter (Register 78, No. 39).
3. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
4. Amendment filed 3-13-97; operative 4-12-97 (Register 97, No. 11).
5. Change without regulatory effect amending section filed 8-11-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 33).
6. Amendment filed 4-9-2007; operative 5-9-2007 (Register 2007, No. 15).
7. Amendment filed 4-1-2008; operative 4-1-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 14). 
§1381.6. Permit Processing Times.
Note     •     History

“Permit” as defined by the Permit Reform Act of 1981 means any license, certificate, registration permit or any other form of authorization required by a state agency to engage in a particular activity or act. Processing times for the board's various programs are set forth below. The actual processing times apply to those applicants who have passed all appropriate examinations.

View Graphic
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 15736, Government Code.
HISTORY

1. New section filed 5-14-91; operative 6-13-91 (Register 91, No. 27). 
§1381.7. Renewal of License.
Note     •     History

(a) A renewal application shall be accompanied by the fee or fees specified in section 1392 or 1392.1. 
(b) For a license or registration that expires after December 31, 2010, as a condition of renewal, an applicant for renewal not previously fingerprinted by the board, or for whom an electronic record of the submission of fingerprints does not exist in the Department of Justice's criminal offender record identification database, is required to furnish to the Department of Justice, as directed by the board, a full set of fingerprints for the purpose of conducting a criminal history record check and to undergo a state and federal level criminal offender record information search conducted through the Department of Justice. Failure to submit a full set of fingerprints to the Department of Justice on or before the date required for renewal of a license or registration is grounds for discipline by the board. The licensee or registrant shall certify on the renewal application whether the fingerprints have been submitted. This requirement is waived if the licensee or registrant renews in an inactive status, or is actively serving in the military outside the country. 
(c) As a condition of renewal, an applicant for renewal shall disclose on the renewal application whether, since he or she last renewed his or her license or registration, he or she has been convicted of any violation of the law in this or any other state, the United States or its territories, military court, or other country, omitting traffic infractions under $500.00 not involving alcohol, a dangerous drug, or a controlled substance. 
(d) As a condition of renewal, an applicant for renewal shall disclose on the renewal application whether, since he or she last renewed his or her license or registration, he or she has had a license disciplined by a government agency or other disciplinary body. Discipline includes, but is not limited to, suspension, revocation, voluntary surrender, probation, reprimand, or any other restriction on a license or registration held. 
(e) Failure to provide all of the information required by this section renders any application for renewal incomplete and the license or registration ineligible for renewal. 
NOTE

Authority cited: Sections 144, 2930 and 2982, Business and Professions Code. Reference: Sections 2960, 2960.6, 2963, 2982, 2984, 2986 and 2988, Business and Professions Code; and Sections 11105(b)(10) and 11105(e), Penal Code. 
HISTORY

1. New section filed 2-2-2011; operative 3-4-2011 (Register 2011, No. 5).
§1381.8. Inactive License.
Note     •     History

A license may be maintained in an inactive status by providing the renewal application and fee specified in section 1392. 
In addition to any other requirements, a licensee activating a license pursuant to section 2988 of the Code shall furnish a full set of fingerprints as required by and set out in section 1381.7(b) as a condition of activation. 
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2988, Business and Professions Code; and Section 11105(b)(10), Penal Code. 
HISTORY

1. New section filed 2-2-2011; operative 3-4-2011 (Register 2011, No. 5).
§1381.9. Renewal of Expired License.
Note     •     History

In the event a licensee does not renew his or her license as provided in section 2982 of the Code, the license expires. In addition to any other requirements, a licensee renewing pursuant to section 2984 of the Code shall furnish a full set of fingerprints as required by and set out in section 1381.7(b) as a condition of renewal. 
NOTE

Authority cited: Sections 2930 and 2982, Business and Professions Code. Reference: Sections 2984 and 2986, Business and Professions Code; and Section 11105(b)(10), Penal Code. 
HISTORY

1. New section filed 2-2-2011; operative 3-4-2011 (Register 2011, No. 5).
Article 3. Education and Experience
§1382. Human Sexuality Training.
Note     •     History

Unless otherwise exempted, all persons applying for a license as a psychologist shall, in addition to all other requirements for licensure, have completed coursework or training in human sexuality which meets the requirements of this section. Such training shall:
(a) Be completed after January 1, 1970.
(b) Be obtained
(1) In an accredited or approved educational institution, as defined in section 2901 of the Code, including extension courses offered by such institutions, or
(2) In an educational institution approved by the Department of Education pursuant to section 94310 of the Education Code, or
(3) From a continuing education provider approved by a professional association, or
(4) In a course sponsored or offered by a professional association, or
(5) In a course sponsored, offered or approved by a local, county or state department of health or mental health or by health agencies of the Federal Government.
(c) Have a minimum length of ten (10) contact hours.
(d) Include the study of physiological-psychological and social-cultural variables associated with sexual identity, sexual behavior or sexual disorders.
All applicants shall provide the board with documentation of completion of the required human sexuality training.
It is the intent of the board that all persons licensed to practice psychology have minimal training in human sexuality. It is not intended that by complying with the requirements of this section only, a practitioner is fully trained in the subject of sex therapy.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 25, Business and Professions Code.
HISTORY

1. Renumbering of section 1382 to section 1381.5 and new section 1382 filed 9-28-78; effective thirtieth day thereafter (Register 78, No. 39). For history of former Section 1382, see Register 78, No. 13.
2. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
3. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
§1382.1. Human Sexuality Training Required for Licensees. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 25, Business and Professions Code.
HISTORY

1. New section 1382.1 filed 9-28-78; effective thirtieth day thereafter (Register 78, No. 39).
2. Repealer of subsections (a) and (b) and amendment of subsection (c) filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
3. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
4. Change without regulatory effect repealing section filed 12-24-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 52).
§1382.2. Exemption from Human Sexuality Training Requirement. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 25, Business and Professions Code.
HISTORY

1. New section filed 9-28-78; effective thirtieth day thereafter (Register 78, No. 39).
2. Amendment filed 9-14-79; effective thirtieth day thereafter (Register 79, No. 37).
3. Repealer filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1382.3. Training in Alcoholism/Chemical Dependency Detection and Treatment.
Note     •     History

The requirements set forth in Section 2914 (e) of the code shall be satisfied by completion of a graduate level course which meets the following criteria:
(a) The course shall be devoted solely to the topic of alcoholism and chemical dependency detection and treatment and shall not be less than a semester or a quarter term in length.
(b) The course must be obtained at an educational institution, or in an extension course offered by an institution, which is either credited under Education Code Section 94310.1, or approved under Education Code Section 94310.2, by the State Department of Education.
(c) An original transcript indicating successful completion of the course shall be deemed sufficient evidence for purposes of satisfying this requirement.
(d) The course shall include training in each of the following subjects as they relate to alcoholism and chemical dependency:
(1) The definition of alcoholism and other chemical dependency, and the evaluation of the user.
(2) Current theories of, and research on, the etiology of substance abuse.
(3) Physiological and medical aspects and effects of alcoholism and other chemical dependency.
(4) Psychopharmacology and the interaction of various classes of drugs, including alcohol.
(5) Diagnosing and differentiating alcoholism and substance abuse in patients referred for other clinical symptoms, such as depression, anxiety, psychosis, and impotence.
(6) Populations at risk with regard to substance abuse.
(7) Cultural and ethnic considerations.
(8) Prenatal effects.
(9) Adolescent substance abuse.
(10) Implications for the geriatric population.
(11) Iatrogenic dependency.
(12) Major treatment approaches to alcoholism and chemical dependency, including research and application.
(13) The role of persons and systems which support or compound abuse.
(14) Family issues which include treatment approaches with families of alcoholics and/or substance abusers.
(15) The process of referring affected persons.
(16) Community resources offering assessment, treatment and follow--up for the abuser and family.
(17) Ethical and Legal issues for clinical practice.
(18) Prevention of substance abuse.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2914(e), Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1387.6 to section 1382.3 filed 2-19-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 8).
2. Change without regulatory effect amending first paragraph and subsection (d)(1) and adding subsection (d)(5) designator filed 8-20-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 34).
§1382.4. Child Abuse Assessment Training Requirements.
Note     •     History

All persons applying for a license or renewal of a license as a psychologist shall in addition to all other requirements for licensure, have completed coursework or training in child abuse assessment and reporting and shall submit documentation thereof to the board. The coursework or training in child abuse assessment and reporting shall consist of not less than 7 instructional hours and shall include training in each of the subject areas described in section 28 of the Code. The coursework or training shall be:
(a) Obtained at an educational institution, or in an extension course offered by an institution which is accredited by the Western Association of Schools and Colleges, the Northwest Association of Secondary and Higher Schools, or an essentially equivalent accrediting agency as determined by the board or approved by the State Department of Education pursuant to section 94310.2 of the Education Code; or
(b) Obtained from a statewide professional association representing the professions of psychology, social work, or marriage, family and child counseling; or
(c) Obtained from or sponsored by a local county, state or federal governmental entity.
(d) Completed after January 1, 1983.
NOTE

Authority cited: Sections 28 and 2930, Business and Professions Code. Reference: Section 28, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1387.7 to section 1382.4 filed 2-19-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 8).
§1382.5. Spousal or Partner Abuse Assessment, Detection, and Intervention Strategies Training Requirements.
Note     •     History

All persons applying for a license as a psychologist who began their graduate training on or after January 1, 1995 shall, in addition to all other requirements for licensure, have completed coursework in spousal or partner abuse assessment, detection, and intervention strategies and shall submit documentation thereof to the board. The coursework in spousal or partner abuse assessment, detection, and intervention strategies shall consist of not less than a combined total of two (2) hours focused on this topic. All persons applying for a license as a psychologist who began their graduate training on or after January 1, 2004 shall also meet the above requirement, however, such course shall consist of at least fifteen (15) contact hours.
The coursework shall be:
(a) taken in fulfillment of other educational requirements in the applicant's graduate and/or doctoral training, or
(b) taken in a separate course approved by the board's recognized continuing education accrediting agency, or
(c) taken in a separate course provided by a sponsor approved by the American Psychological Association.
(d) completed after January 1, 1995.
An applicant may request an exemption from this requirement if he or she intends to practice in an area that does not include the direct provision of mental health services.
NOTE

Authority cited: Sections 2914(f) and 2930, Business and Professions Code. Reference: Section 2914(f), Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1387.8 to section 1382.5 filed 2-19-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 8).
2. Amendment of section heading, first paragraph and subsection (d) filed 10-22-2004; operative 11-21-2004 (Register 2004, No. 43).
§1382.6. Aging and Long-Term Care Training Requirements.
Note     •     History

All persons applying for a license as a psychologist who began their graduate training on or after January 1, 2004, shall, in addition to all other requirements for licensure, have completed coursework in aging and long-term care which shall include but not be limited to the biological, social, and psychological aspects of aging, and shall submit documentation thereof of the board. The coursework in aging and long-term care shall consist of not less than a combined total of ten (10) contact hours focused on this topic.
The coursework shall be:
(a) taken in fulfillment of other educational requirements in the applicant's graduate and/or doctoral training, or
(b) taken in a separate course approved by the board's recognized continuing education accrediting agency, or
(c) taken in a separate course provided by a sponsor approved by the American Psychological Association.
(d) completed after January 1, 2004.
NOTE

Authority cited: Section 2915.5 and 2930, Business and Professions Code. Reference: Section 2915.5, Business and Professions Code.
HISTORY

1. New section filed 10-22-2004; operative 11-21-2004 (Register 2004, No. 43).
§1383. Comparable Programs. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2914, Business and Professions Code.
HISTORY

1. Amendment filed 12-22-76; effective thirtieth day thereafter (Register 76, No. 52).
2. Amendment filed 2-14-77; effective thirtieth day thereafter (Register 77, No. 8).
3. Repealer and new section filed 7-31-84; effective thirtieth day thereafter (Register 84, No. 31).
4. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
5. Amendment of subsection (a) filed 5-24-91; operative 6-23-91 (Register 91, No. 27).
6. Change without regulatory effect repealing section filed 8-24-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 34).
§1383.1. Criteria for Approval of Comparable Programs. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2914, Business and Professions Code.
HISTORY

1. New section filed 7-31-84; effective thirtieth day thereafter (Register 84, No. 31). For history of former section, see Register 79, No. 17.
2. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
3. Change without regulatory effect repealing section filed 8-24-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 34).
§1383.2. W.A.S.C. Accreditation. [Repealed]
History

HISTORY

1. New section filed 2-14-77; effective thirtieth day thereafter (Register 77, No. 8).
2. Repealer of NOTE filed 11-21-77; effective thirtieth day thereafter (Register 77, No. 48).
3. Repealer filed 7-31-84; effective thirtieth day thereafter (Register 84, No. 31).
§1384. Criteria for Evaluation of Equivalent Education. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code.
HISTORY

1. Amendment filed 1-23-73; effective thirtieth day thereafter (Register 73, No. 4).
2. Amendment filed 7-27-77 as an emergency; effective upon filing (Register 77, No. 31).
3. Certificate of Compliance filed 10-21-77 (Register 77, No. 43).
4. Amendment of subsection (a) filed 9-28-78; effective thirtieth day thereafter (Register 78, No. 39).
5. Amendment filed 4-26-79; effective thirtieth day thereafter (Register 79, No. 17).
6. Repealer filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1384.5. Effect of Revised Criteria for Evaluation of Equivalent Education. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2914, Business and Professions Code.
HISTORY

1. New section filed 2-14-77; effective thirtieth day thereafter (Register 77, No. 8).
2. Amendment filed 11-21-77; effective thirtieth day thereafter (Register 77, No. 48).
3. Amendment of subsections (a) and (b) filed 2-28-80; effective thirtieth day thereafter (Register 80, No. 9).
4. Repealer filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1384.6. Revised Criteria for Evaluation of Education. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2914, Business and Professions Code.
HISTORY

1. Amendment of subsection (c) filed 9-28-78; effective thirtieth day thereafter (Register 78, No. 39). For prior history, see Registers 77, No. 8, 77, No. 31, 77, No. 43 and 77, No. 48.
2. Amendment filed 4-26-79; effective thirtieth day thereafter (Register 79, No. 17).
3. Repealer and new subsection (c) filed 2-28-80; effective thirtieth day thereafter (Register 80, No. 9).
4. Renumbering of Section 1384.6 to Section 1386 filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1384.7. Original Research Dissertation Requirement Defined. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2914, Business and Professions Code.
HISTORY

. New section filed 2-15-78 as an emergency; effective upon filing (Register 78, No. 7).
2. Certificate of Compliance transmitted to OAH 6-9-78 and filed 6-15-78 (Register 78, No. 24).
3. Amendment filed 6-22-78; effective thirtieth day thereafter (Register 78, No. 24).
4. Repealer filed 9-28-78; effective thirtieth day thereafter (Register 78, No. 39).
§1385. Foreign Graduates. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Sections 2914 and 2940, Business and Professions Code.
HISTORY

1. Amendment filed 4-26-79; effective thirtieth day thereafter (Register 79, No. 17).
2. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
3. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
4. Change without regulatory effect repealing section filed 8-24-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 34).
§1386. Revised Criteria for Evaluation of Education.
Note     •     History

(a) Only those doctorate degrees which are designated as being earned in a department or school of psychology, educational psychology or education with the field of specialization in counseling psychology or educational psychology shall be accepted as an earned doctorate degree as specified in section 2914, subdivisions (b)(1) through (3), of the code. If it is not evident on the official transcript, the board may require that any doctorate degree earned in education with the field of specialization in counseling psychology or educational psychology be certified by the registrar as such a degree.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2914, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1386 to section 1387.5, and renumbering of former section 1384.6 to section 1386 filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25). For prior history, see Registers 80, No. 9; 79, No. 17; and 78, No. 39.
2. Amendment filed 7-31-84; effective thirtieth day thereafter (Register 84, No. 31).
3. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
4. Amendment of subsections (a) and (b) filed 5-24-91; operative 6-23-91 (Register 91, No. 27).
5. Amendment of subsection (c) filed 8-18-93; operative 9-17-93 (Register 93, No. 34).
6. Change without regulatory effect amending subsection (a) and repealing subsections (b)-(f) filed 8-24-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 34).
§1386.5. Effect of Revised Criteria for Evaluation of Experience. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code.
HISTORY

1. New section filed 2-14-77; effective thirtieth day thereafter (Register 77, No. 8).
2. Amendment and repealer of NOTE filed 11-21-77; effective thirtieth day thereafter (Register 77, No. 48).
3. Repealer filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1387. Supervised Professional Experience.
Note     •     History

This section applies to all trainees, pre- or post-doctoral, who intend for hours of supervised professional experience (SPE) to count toward meeting the licensing requirement stated in section 2914(c) of the Business and Professions Code. Those trainees accruing hours of supervised experience in areas of psychology that do not include direct mental health services should refer to section 1387.3 for information on establishing an alternate plan for SPE. 
SPE is defined as an organized program that consists of a planned, structured and administered sequence of professionally supervised comprehensive clinical training experiences. SPE shall have a logical training sequence that builds upon the skills and competencies of trainees to prepare them for the independent practice of psychology once they become licensed.
SPE shall include socialization into the profession of psychology and shall be augmented by integrated modalities including mentoring, didactic exposure, role-modeling, enactment, observational/ vicarious learning, and consultative guidance.
SPE shall include activities which address the integration of psychological concepts and current and evolving scientific knowledge, principles, and theories to the professional delivery of psychological services to the consumer public.
SPE shall include only the time spent by the trainee engaged in psychological activities that directly serve to prepare the trainee for the independent practice of psychology once licensed. SPE shall not include custodial tasks such as filing, transcribing or other clerical duties.
The term “trainee” as used in these regulations means a psychology trainee working under one of the conditions listed in subsections (a)(1) and (a)(2) of this section.
(a) Pursuant to section 2914(c) of the code, two years of qualifying SPE shall be completed and documented prior to licensure. One year of SPE shall be defined as 1500 hours. At least one year of SPE shall be completed postdoctorally. Each year of SPE shall be completed within a thirty (30) consecutive month period. If both years of SPE (3000 hours) are completed postdoctorally, they shall be completed within a sixty (60) month period. Upon showing of good cause as determined by the board, these specified time limitations may be reasonably modified.
(1) Predoctoral SPE: Up to 1500 hours of SPE may be accrued predoctorally but only after completion of 48 semester/trimester or 72 quarter units of graduate coursework in psychology not including thesis, internship or dissertation. Predoctoral SPE may be accrued only as follows: 
(A) In a formal internship placement pursuant to section 2911 of the code, which is accredited by the American Psychological Association (APA), or which is a member of the Association of Psychology Postdoctoral and Internship Centers (APPIC) or the California Psychology Internship Council (CAPIC) and registration with the board is not required. A formal internship placement that actually began prior to January 1, 2007 that meets the membership requirements of, but is not a member of, APPIC or CAPIC will satisfy the requirements of this section; or 
(B) As an employee of an exempt setting pursuant to section 2910 of the code and registration with the board is not required; or 
(C) As a psychological assistant pursuant to section 2913 of the code and registration with the board prior to commencing work is required; or 
(D) Pursuant to a Department of Mental Health Waiver (5751.2 Welfare and Institutions Code) for which registration with the board is not required.
(2) Postdoctoral SPE: At least 1500 hours of SPE shall be accrued postdoctorally. “Postdoctorally” means after the date certified as “meeting all the requirements for the doctoral degree” by the Registrar or Dean of the educational institution, or by the Director of Training of the doctoral program. Postdoctoral SPE may be accrued only as follows: 
(A) For postdoctoral SPE accrued on or after January 1, 2006, in  a formal postdoctoral training program pursuant to section 2911 of the code, which is accredited by the American Psychological Association (APA), or which is a member of the Association of Psychology Postdoctoral and Internship Centers (APPIC) or the California Psychology Internship Council (CAPIC) and registration with the board is not required; or
(B) As a registered psychologist pursuant to section 2909(d) of the code and registration with the board prior to commencing work is required; or 
(C) As an employee of an exempt setting pursuant to section 2910 of the code and registration with the board is not required; or 
(D) As a psychological assistant pursuant to section 2913 of the code and registration with the board prior to commencing work is required; or 
(E) Pursuant to a Department of Mental Health Waiver (5751.2 Welfare and Institutions Code) for which registration with the board is not required.
(b) Supervision Requirements: 
(1) Primary supervisors shall meet the requirements set forth in section 1387.1. 
(2) Delegated supervisors shall meet the requirements set forth in section 1387.2. 
(3) Trainees shall have no proprietary interest in the business of the primary or delegated supervisor(s) and shall not serve in any capacity which would hold influence over the primary or delegated supervisor(s)' judgment in providing supervision. 
(4) Trainees shall be provided with supervision for 10% of the total time worked each week. At least one hour per week shall be face-to-face, direct, individual supervision with the primary supervisor. 
(5) A maximum of forty four (44) hours per week will be credited toward meeting the SPE requirement. This shall include the required 10% supervision. 
(6) The primary supervisor shall be employed by the same work setting as the trainee and be available to the trainee 100% of the time the trainee is accruing SPE. This availability may be in-person, by telephone, by pager or by other appropriate technology.
(7) Primary supervisors shall ensure that a plan is in place to protect the patient/client in the event a patient/client crisis or emergency occurs during any time the supervisor is not physically present at the established site at which the trainee is working. The primary supervisor shall ensure that the trainee thoroughly understands the plan in the event of a crisis/emergency.
(8) SPE shall not be obtained from supervisors who have received payment, monetary or otherwise, from the trainee for the purpose of providing such supervision. 
(9) SPE gained while the trainee is functioning in under another mental health license shall not be credited toward meeting the requirements for the psychologist's license. 
(10) Except for the accrual of SPE by a psychological assistant in a private practice setting as provided for in section 1387(b)(11), prior to the start of the experience, the primary supervisor and the supervisee shall together prepare a document that identifies at least the following:
· Name, license number and signature of primary supervisor;
· Name and signature of supervisee;
· Statutory authority under which the supervisee will function;
· Start date of the experience and the anticipated completion date;
· Duties to be performed in a sequential structured plan as defined in this section;
· Address of the locations at which the duties will be performed; and
· Goals and objectives of the plan for SPE, including how socialization into the profession will be achieved.
Additionally, the document shall reflect that both supervisor and supervisee have discussed and understand each term of SPE as required by the California Code of Regulations. The primary supervisor shall maintain the document until the hours of supervised experience are completed. Once the supervised experience outlined in the document has been completed, the primary supervisor shall submit directly to the Board both the document and a verification of the experience signed by the primary supervisor under penalty of perjury. The verification shall certify to completion of the hours consistent with the terms of the supervision agreement document. The supervisor must indicate, in his/her best professional judgment, whether the supervisee demonstrated an overall performance at or above the level of minimal competence expected for the supervisee's level of education, training and experience. When SPE is accrued in a formal predoctoral internship or postdoctoral training program, the program's training director shall be authorized to perform the verification and rating duties of the primary supervisor provided that the internship training director is a licensed psychologist who possesses a valid, active license free of any disciplinary action.
(11) Due to lack of standardization in training, a psychological assistant in a private practice setting shall submit the plan as described in subsection (b)(10) for supervised professional experience to the Board for prior approval as provided for in section 2914(c) of the Code prior to the accrual of SPE. A private practice setting is defined as those settings allowed pursuant to section 1387(a)(1)(C) and 1387(a)(2)(C), except a Welfare and Institutions Code section 5614 clinic or a Health and Safety Code section 1204.1 clinic. SPE that is accrued prior to the approval of the plan will not count toward qualifying the applicant for licensure. 
(c) Delegated Supervision Requirements: 
(1) Except as provided in 1391.5, which regulates the supervision of psychological assistants, primary supervisors may delegate supervision to other qualified psychologists or to other qualified mental health professionals including licensed marriage and family therapists, licensed educational psychologists, licensed clinical social workers and board certified psychiatrists. 
(2) The primary supervisor remains responsible for providing the minimum one hour per week of direct, individual face-to-face supervision. 
(3) The primary supervisor remains responsible for ensuring compliance with this section. 
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Sections 2911 and 2914, Business and Professions Code.
HISTORY

1. New section filed 7-6-2000; operative 8-5-2000 (Register 2000, No. 27). For prior history see Register 93, No. 34.
2. Editorial correction deleting former section 1387 “Revised Criteria for Evaluation of Experience” which expired by its own term effective 12-31-2000 (Register 2003, No. 1).
3. Amendment filed 12-16-2004; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2004, No. 51).
4. New fifth and seventh paragraphs and amendment of subsection (b)(10) filed 7-28-2005; operative 8-27-2005 (Register 2005, No. 30).
5. Repealer of sixth paragraph, amendment of subsection (a)(1)(A), new subsection (a)(2)(A), subsection relettering, amendment of subsections (b)(9)-(10) and amendment of Note filed 4-27-2007; operative 5-27-2007 (Register 2007, No. 17).
6. Amendment of subsection (a)(2)(A) filed 12-30-2008; operative 12-30-2008 pursuant to Government Code section 11343.4 (Register 2009, No. 1).
7. Amendment of subsection (b)(10) and new subsection (b)(11) filed 7-24-2009; operative 8-23-2009 (Register 2009, No. 30).
§1387.1. Qualifications and Responsibilities of Primary Supervisors.
Note     •     History

All primary supervisors shall be licensed psychologists, except that board certified psychiatrists may be primary supervisors of their own registered psychological assistants. In this regard, a maximum of 750 hours of experience out of the required 3000, can be supervised by a board certified psychiatrist and can be counted toward meeting the SPE licensing requirements.
(a) Primary supervisors shall possess and maintain a valid, active license free of any formal disciplinary action, and shall immediately notify the supervisee of any disciplinary action, including revocation, surrender, suspension, probation terms, or changes in licensure status including inactive license, delinquent license or any other license status change that affects the primary supervisor's ability or qualifications to supervise. 
(b) Primary supervisors who are licensed by the board shall complete a minimum of six (6) hours of supervision coursework every two years.
(1) Primary supervisors shall certify under penalty of perjury to completion of this coursework requirement each time the supervisor completes a verification form as referenced in section 1387(b)(10).
(c) Primary supervisors shall be in compliance at all times with the provisions of the Psychology Licensing Law and the Medical Practice Act, whichever is applicable, and the regulations adopted pursuant to these laws. 
(d) Primary supervisors shall be responsible for ensuring compliance at all times by the trainee with the provisions of the Psychology Licensing Law and the regulations adopted pursuant to these laws. 
(e) Primary supervisors shall be responsible for ensuring that all SPE including record keeping is conducted in compliance with the Ethical Principles and Code of Conduct of the American Psychological Association. 
(f) Primary supervisors shall be responsible for monitoring the welfare of the trainee's clients. 
(g) Primary supervisors shall ensure that each client or patient is informed, prior to the rendering of services by the trainee (1). that the trainee is unlicensed and is functioning under the direction and supervision of the supervisor; (2). that the primary supervisor shall have full access to the treatment records in order to perform supervision responsibilities and (3). that any fees paid for the services of the trainee must be paid directly to the primary supervisor or employer. 
(h) Primary supervisors shall be responsible for monitoring the performance and professional development of the trainee. 
(i) Primary supervisors shall ensure that they have the education, training, and experience in the area(s) of psychological practice they will supervise. 
(j) Primary supervisors shall have no familial, intimate, business or other relationship with the trainee which would compromise the supervisor's effectiveness, and/or which would violate the Ethical Principles and Code of Conduct of the American Psychological Association. 
(k) Primary supervisors shall not supervise a trainee who is now or has ever been a psychotherapy client of the supervisor. 
(l) Primary supervisors shall not exploit trainees or engage in sexual relationships or any other sexual contact with trainees. 
(m) Primary supervisors shall require trainees to review the pamphlet “Professional Therapy Never Includes Sex.”
(n) Primary supervisors shall monitor the supervision performance of all delegated supervisors. 
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2914, Business and Professions Code.
HISTORY

1. New section filed 7-6-2000; operative 8-5-2000 (Register 2000, No. 27).
2. Repealer of first paragraph, amendment of subsection (b), new subsections (c)-(c)(3) and subsection relettering filed 7-17-2002; operative 1-1-2003 (Register 2002, No. 29).
3. Amendment filed 12-16-2004; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2004, No. 51).
4. Amendment of subsection (m) filed 7-28-2005; operative 8-27-2005 (Register 2005, No. 30).
§1387.2. Qualifications and Responsibilities of Delegated Supervisors.
Note     •     History

Delegated supervisors shall be qualified psychologists or those other qualified mental health professionals listed in section 1387(c). The delegated supervisor(s) shall be employed in the same work setting as the trainee.
(a) Delegated supervisors shall have and shall maintain a valid, active license free of any formal disciplinary action, shall immediately notify the trainee and the primary supervisor of any disciplinary action, including revocation, surrender, suspension, probation terms, or changes in licensure status including inactive license, or any other license status change that affects the supervisor's ability or qualifications to supervise. 
(b) Delegated supervisors shall be in compliance at all times with the provisions of the Psychology Licensing Law, and the regulations adopted pursuant to these laws. 
(c) Delegated supervisors shall be responsible for ensuring compliance by the trainee with the provisions of the Psychology Licensing Law and the regulations adopted pursuant to these laws. 
(d) Delegated supervisors shall be responsible for ensuring that all SPE and record keeping performed under the supervision delegated to them is conducted in compliance with the Ethical Principles and Code of Conduct of the American Psychological Association. 
(e) Delegated supervisors shall be responsible for monitoring the welfare of the trainee's clients while under their delegated supervision. 
(f) Delegated supervisors shall be responsible for monitoring the performance and professional development of the trainee and for reporting this performance and development to the primary supervisor. 
(g) Delegated supervisors shall ensure that they have the education, training, and experience in the area(s) of psychological practice to be supervised. 
(h) Delegated supervisors shall have no familial, intimate, business or other relationship with the trainee which would compromise the supervisor's effectiveness and/or which would violate the Ethical Principles and Code of Conduct of the American Psychological Association. 
(i) Delegated supervisors shall not supervise a trainee who is now or has ever been a psychotherapy client of the supervisor. 
(j) Delegated supervisors shall not exploit trainees or engage in sexual relationships, or any other sexual contact with trainees. 
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2914, Business and Professions Code.
HISTORY

1. New section filed 7-6-2000; operative 8-5-2000 (Register 2000, No. 27).
2. Amendment filed 12-16-2004; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2004, No. 51).
3. Amendment of first paragraph filed 7-28-2005; operative 8-27-2005 (Register 2005, No. 30).
§1387.3. Alternate Plan for Supervised Professional Experience in Non-Mental Health Services.
Note     •     History

This section pertains only to those trainees who are preparing for practice, once licensed, in the non-mental health areas of the profession of psychology.
Due to lack of training sites and qualified supervisors, typically in the area of applied psychological research, industrial-organizational psychology, media and social-experimental psychology, but not including those involving direct mental health services, trainees in these areas of psychology shall submit a plan for supervised professional experience to the board for approval on a case-by-case basis as provided for in section 2914(c) of the code. In all such cases, the proposed plan must be submitted by the supervisee and approved by the board prior to commencement of supervision. Supervised professional experience (SPE) which is accrued prior to the approval of the plan will not count towards licensure.
(a) Supervision Plan Required
The proposed supervision plan (“plan”) submitted by the trainee for approval shall be signed by all participants involved. It shall describe the qualifications and responsibilities of the supervisor (and co-supervisor, if appropriate) for supervision. The plan shall be developed for and shall demonstrate appropriate preparation of the trainee to practice effectively in non-mental health services, and within the specific non-mental health setting. The plan shall address how the quality of work done by the trainee working in a non-mental health role will be monitored and assure protection of the client. As used in this section, “trainee” means a psychology trainee working under the provisions of this section.
(b) Hours and Setting Requirements
(1) Pursuant to section 2914(c) of the code, two years of qualifying SPE shall be completed and documented prior to licensure. One year of SPE shall be defined as 1500 hours. At least one year of SPE shall be completed postdoctorally. Each year of SPE shall be completed within a thirty (30) consecutive month period. If both years of SPE (3000 hours) are completed postdoctorally, they shall be completed within a sixty (60) month period. Upon showing of good cause as determined by the board, these specified time limitations may be reasonably modified.
(2) Predoctoral SPE under this section may be accrued only as follows:
(A) In a formal internship placement pursuant to section 2911 of the code and registration with the board is not required; or 
(B) As an employee of an exempt setting pursuant to section 2910 of the code and registration with the board is not required; or 
(C) As a psychological assistant pursuant to section 2913 of the code and registration with the board prior to commencing work is required. 
(3) Postdoctoral SPE may be accrued only as follows:
(A) As a psychological assistant pursuant to section 2913 of the code and registration with the board prior to commencing work is required; or 
(B) As a registered psychologist pursuant to section 2909(d) of the code and registration with the board prior to commencing work is required; or 
(C) As an employee of an exempt setting pursuant to section 2910 of the code and registration with the board is not required. 
(c) Supervision Requirements
(1) The trainee shall be provided with supervision for 10% of the total time worked each month. At least four hours per month shall be face-to-face, direct, individual supervision with the primary supervisor. The plan shall address how the supervision will be provided. The remainder of the 10% may be provided by the delegated supervisor or co-supervisor and may include supervision via electronic means.
(2) A maximum of forty-four (44) hours per week, including the required 10% supervision, may be credited toward meeting the supervised professional experience requirement.
(3) The trainee shall have no proprietary interest in the business of the primary, delegated or co-supervisor and shall not serve in any capacity that would hold influence over the primary, delegated or co-supervisor's judgment in providing supervision.
(4) Neither the primary supervisor nor any delegated or co-supervisor shall receive payment, monetary or otherwise, from the trainee for the purpose of providing supervision.
(5) The trainee will not function under any other license with the same client or in the same setting during the supervised experience accrued pursuant to the plan.
(6) A clear and accurate record of the trainee's supervision shall be maintained. The trainee shall maintain this record in an SPE log pursuant to section 1387.5 but shall also include information relevant to the co-supervisor;
(7) Except as provided in section 1391.5(c), a primary supervisor who is a licensed psychologist may delegate supervision pursuant to section 1387.2.
(8) If the primary supervisor is unlicensed, the trainee shall also obtain a co-supervisor who meets the requirements of subsection (f).
(d) Qualifications and Responsibilities of Primary Supervisors
The primary supervisor shall:
(1) possess a degree that meets the requirements of section 2914(b) of the code;
(2) meet the requirements of section 2913 of the code if supervising a psychological assistant;
(3) if licensed, possess and maintain a valid, active license issued by the board free of any formal disciplinary action during the period of supervision covered by the plan. The primary supervisor shall notify the trainee of any disciplinary action that disqualifies him or her from providing supervision. If not licensed, the primary supervisor shall never have been denied, or possessed a professional license for providing psychological or other mental health services issued by any jurisdiction that was subject to discipline, or surrendered with charges pending;
(4) be employed or contracted by the same organization as the trainee;
(5) be available to the trainee 100% of the time the trainee is accruing SPE pursuant to the plan. This availability may be in person, through telephone, pager or other appropriate technology(ies);
(6) if licensed, complete a minimum of six hours of supervision coursework every two years as described in section 1387.1(b);
(7) ensure that all parties work together throughout the training experience to ensure that the trainee will be engaged in duties that are considered doctoral level;
(8) maintain ongoing communication between all parties regarding supervisory needs and experiences;
(9) ensure that all parties to the plan comply at all times with the provisions of the Psychology Licensing Law or the Medical Practice Act, whichever might apply, and the regulations adopted pursuant to these laws;
(10) ensure that all SPE accrued under the plan complies with the Ethical Principles and Code of Conduct of the American Psychological Association;
(11) monitor the welfare of the trainee's clients;
(12) ensure that each client of the trainee is informed prior to rendering of services by the trainee that the trainee is unlicensed and is functioning under the direction and supervision of the primary supervisor;
(13) monitor the performance and professional development of the trainee which shall include socialization into the practice of psychology;
(14) have the education, training, and experience in the area(s) of psychological practice for which they are providing supervision;
(15) have or have had no familial, intimate, sexual, social, or professional relationship with the trainee which could compromise the supervisor's effectiveness, or would violate the Ethical Principles and Code of Conduct of the American Psychological Association;
(16) not supervise a trainee who is a current or former client of psychological services provided by the supervisor; and
(17) monitor the supervision performance of all delegated supervisors and co-supervisors.
(e) Qualifications and Responsibilities of Delegated Supervisors
Except as provided in section 1391.5, which regulates the supervision of psychological assistants, primary supervisors may delegate supervision to other qualified psychologists or to other qualified mental health professionals including licensed marriage and family therapists, licensed educational psychologists, licensed clinical social workers and board certified psychiatrists.
The delegated supervisor shall:
(1) possess and maintain a valid, active license free of any formal disciplinary action during the period covered by the plan. The supervisor shall notify the trainee of any disciplinary action that disqualifies him or her from providing supervision; 
(2) be employed or contracted by the same organization as the trainee;
(3) be responsible for ensuring compliance by the trainee with the provisions of the Psychology Licensing Law, the licensing laws of the Board of Behavioral Sciences, or the Medical Practice Act, whichever might apply, and the regulations adopted pursuant to these laws.
(4) ensure that all SPE accrued under the supervision delegated to them complies with the Ethical Principles and Code of Conduct of the American Psychological Association;
(5) monitor the welfare of the trainee's clients while under their delegated supervision;
(6) monitor the performance and professional development of the trainee and is responsible for reporting this performance and development to the primary supervisor;
(7) have the education, training, and experience in the area(s) of psychological practice to be supervised;
(8) have or have had no familial, intimate, social, sexual or professional relationship with the trainee which could compromise the supervisor's effectiveness, or would violate the Ethical Principles and Code of Conduct of the American Psychological Association; and
(9) not supervise a trainee who is now or has ever been a psychotherapy client of the supervisor.
(f) Qualifications and Responsibilities of the Co-Supervisor (This section only applies when the primary supervisor is not licensed)
The co-supervisor shall:
(1) possess and maintain a valid, active license issued by the board free of any formal disciplinary action during the period covered by the plan. The co-supervisor shall notify the trainee of any disciplinary action that disqualifies him or her from providing supervision;
(2) complete a minimum of six hours of supervision coursework every two years as described in section 1387.1(b);
(3) monitor the performance and professional development of the trainee and is responsible for reporting this performance and development to the primary supervisor;
(4) not supervise a trainee who is a current or former client of psychological services provided by the supervisor;
(5) have or have had no familial, intimate, social, sexual or professional relationship with the trainee which could compromise the supervisor's effectiveness, or would violate the Ethical Principles and Code of Conduct of the American Psychological Association;
(6) ensure that all parties work together throughout the training experience to ensure that the trainee will be engaged in duties that are considered doctoral level;
(7) maintain ongoing communication between all parties regarding supervisory needs and experiences; and
(8) not supervise more than five trainees under any section at any given time.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2914, Business and Professions Code.
HISTORY

1. New section filed 7-6-2000; operative 8-5-2000 (Register 2000, No. 27). For prior history see Register 93, No. 34.
2. Editorial correction deleting former section 1387.3 “Qualifications of Supervisors” which expired by its own term effective 12-31-2000 (Register 2003, No. 1).
3. Amendment of section heading and section filed 12-16-2004; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2004, No. 51).
4. New first paragraph and amendment of subsection (a) filed 7-28-2005; operative 8-27-2005 (Register 2005, No. 30).
5. Amendment of section heading and section filed 4-24-2008; operative 5-24-2008 (Register 2008, No. 17).
§1387.4. Out of State Experience.
Note     •     History

(a) All out of state SPE must be (1) supervised by a primary supervisor who is a psychologist licensed at the doctoral level in the state, U.S. territory or Canadian province in which the SPE is taking place, (2) in compliance with all laws and regulations of the jurisdiction in which the experience was accrued and (3) in substantial compliance with all the supervision requirements of section 1387.
(b) Supervised professional experience can be accrued at a U.S. military installation so long as the experience is supervised by a qualified psychologist licensed at the doctoral level in the U.S. or Canada.
(c) SPE can be accrued in countries outside the U.S. or Canada which regulate the profession of psychology pursuant to the same requirements as set forth in section 2914 of the code. SPE accrued in countries outside the U.S., its Territories or Canada must comply with all the supervision requirements of section 1387. The burden shall be upon the applicant to provide the necessary documentation and translation that the board may require to verify the qualification of the SPE. 
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2914, Business and Professions Code.
HISTORY

1. New section filed 7-6-2000; operative 8-5-2000 (Register 2000, No. 27).
2. Amendment filed 12-16-2004; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2004, No. 51).
§1387.5. SPE Log.
Note     •     History

(a) The trainee shall maintain a written weekly log of all hours of SPE earned toward licensure. The log shall contain a weekly accounting of the following information and shall be made available to the board upon request: 
(1) The specific work setting in which the SPE took place. 
(2) The specific dates for which the log is being completed. 
(3) The number of hours worked during the week. 
(4) The number of hours of supervision received during the week. 
(5) An indication of whether the supervision was direct, individual, face-to-face, group, or other (specifically listing each activity). 
(6) An indication of whether the SPE performed that week was satisfactory.
(b) This log must also contain the following information: 
(1) The trainee's legibly printed name, signature and date signed. 
(2) The primary supervisor's legibly printed name, signature, license type and number, and date signed. 
(3) Any delegated supervisors' legibly printed name, license type and number, and date signed. 
(4) A description of the psychological duties performed during the period of supervised professional experience. 
(5) A statement signed by the primary supervisor attesting to the accuracy of the information. 
(c) When SPE is accrued as part of a formal internship, the internship training director shall be authorized to provide all information required in section 1387.5(b). 
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2914, Business and Professions Code.
HISTORY

1. New section filed 7-6-2000; operative 8-5-2000 (Register 2000, No. 27). For prior history, see Register 83, No. 25.
2. Editorial correction deleting former section 1387.5 “Pre-Doctoral Experience” which expired by its own term effective 12-31-2000 (Register 2003, No. 1).
3. Repealer of first paragraph and amendment of subsections (a) and (b)(1) filed 12-16-2004; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2004, No. 51).
4. New subsection (a)(6) filed 7-28-2005; operative 8-27-2005 (Register 2005, No. 30).
§1387.6. Psychological Assistants.
Note     •     History

In order to accrue hours of SPE, a psychological assistant shall at all times be in compliance with the supervision requirements of section 1387 and with the requirements for psychological assistants set forth in Article 5.1 of this chapter. A psychological assistant accruing SPE in a private setting shall submit a plan for SPE to the Board for approval as provided for in section 1387(b)(11). The proposed supervision plan submitted by the psychological assistant for approval shall be signed by all participants involved. It shall describe the qualifications and responsibilities of the supervisor and/or the delegated supervisor. The plan shall be developed for, and shall demonstrate appropriate preparation of, the psychological assistant to practice effectively, and within the specific private practice setting. The plan shall address how the quality of work done by the psychological assistant will be monitored and assure protection of the client. 
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Sections 2913 and 2914, Business and Professions Code.
HISTORY

1. New section filed 12-16-2004; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2004, No. 51). For prior history, see Register 2002, No. 8.
2. Amendment filed 7-28-2005; operative 8-27-2005 (Register 2005, No. 30).
3. Amendment of section and Note filed 7-24-2009; operative 8-23-2009 (Register 2009, No. 30).
§1387.7. Registered Psychologists.
Note     •     History

Persons working as registered psychologists pursuant to section 2909 of the code in order to accrue postdoctoral hours of SPE shall at all times be in compliance with the supervision requirements of section 1387 and with the requirements for registered psychologists set forth in Article 5 of this chapter.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2909, Business and Professions Code.
HISTORY

1. New section filed 12-16-2004; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2004, No. 51). For prior history, see Register 2002, No. 8.
§1387.8. Spousal or Partner Abuse Assessment, Detection, and Intervention Training Requirements. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 2914(f) and 2930, Business and Professions Code. Reference: Section 2914(f), Business and Professions Code.
HISTORY

1. New section filed 2-29-2000; operative 3-30-2000 (Register 2000, No. 9).  
2. Change without regulatory effect renumbering former section 1387.8 to section 1382.5 filed 2-19-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 8).
Article 4. Examination
§1388. Examinations.
Note     •     History

(a) The board recognizes the expertise of the Department of Consumer Affairs' (DCA) Office of Examination Resources (OER). The board shall utilize the services of the OER in licensing examination development and validation through an interagency agreement.
(b) An applicant shall successfully take and pass the licensing examinations prior to being licensed. The licensing examination shall consist of the Association of State and Provincial Psychology Boards' (ASPPB) Examination for Professional Practice in Psychology (EPPP), and the California Psychology Supplemental Examination (CPSE), except that the EPPP and the CPSE shall be waived for those applicants who meet the criteria in section 1388.6 of this chapter. Such applicants shall be required to take and pass the California Psychology Law and Ethics Examination (CPLEE).
(c) An applicant is eligible to take the EPPP upon completion of a qualifying doctorate degree and 1500 hours of qualifying professional experience. An applicant shall pass the EPPP and complete all 3000 hours of supervised professional experience prior to being eligible for the CPSE or the CPLEE, whichever is applicable, pursuant to section 1388.6.
(d) Upon application, the board will notify applicants of their eligibility to take the EPPP. Applicants are responsible for completing any administrative requirements for taking the EPPP established by ASPPB or its agent, including paying any fees. This subsection applies to those re-taking the EPPP as well as to those taking it for the first time.
(e) For forms of the EPPP taken prior to September 1, 2001, the passing score is the score that was recognized by the board at that time. For computer administered forms of the EPPP, the board shall apply a scaled score of 500 as recommended by ASPPB.
(f) Qualified applicants desiring to take the CPSE or the CPLEE, for those applications who qualify for a waiver of the CPSE pursuant to section 1388.6, shall submit to the board the fee set forth in section 1392 of this chapter. Applicants shall comply with all instructions established by the DCA examination vendor for taking the CPSE or the CPLEE.
(g) The passing score on the CPSE and the CPLEE shall be determined for each form of the examination by a criterion referenced procedure performed by OER.
NOTE

Authority cited: Sections 2930 and 2942, Business and Professions Code. Reference: Sections 123, 496, 2941, 2942, 2943 and 2960, Business and Professions Code.
HISTORY

1. Amendment filed 12-22-76; effective thirtieth day thereafter (Register 76, No. 52).
2. Amendment of subsection (b) filed 2-14-77; effective thirtieth day thereafter (Register 77, No. 8).
3. Repealer and new section filed 11-21-77; effective thirtieth day thereafter (Register 77, No. 48).
4. Amendment of subsection (b) filed 4-26-79; effective thirtieth day thereafter (Register 79, No. 17).
5. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
6. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
7. Amendment of subsection (b) and Note filed 6-14-93; operative 7-1-93 pursuant to Government Code section 11346.2(d) (Register 93, No. 25).
8. Amendment of subsection (c) and Note filed 8-11-95; operative 9-10-95 (Register 95, No. 32).
9. Amendment of subsection (b) filed 1-8-99 as an emergency; operative 1-8-99 (Register 99, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-99 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 1-8-99 order transmitted to OAL 5-7-99 and filed 6-15-99 (Register 99, No. 25).
11. Amendment of subsections (a)-(c) and new subsections (d)-(g) filed 7-11-2001; operative 8-10-2001 (Register 2001, No. 28).
12. Change without regulatory effect amending subsection (f) filed 8-13-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 33).
13. Amendment of subsections (a)-(c) and (e) and new subsections (h)-(i) filed 12-19-2001 as an emergency; operative 1-1-2002 (Register 2001, No. 51). A Certificate of Compliance must be transmitted to OAL by 5-1-2002 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 12-19-2001 order transmitted to OAL 1-8-2002 and filed 2-20-2002 (Register 2002, No. 8).
15. Amendment filed 2-11-2003; operative 3-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 7).
16. Amendment of subsections (b), (c), (f) and (g) filed 5-12-2006; operative 5-12-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
17. Amendment of subsections (b), (c), (f) and (g) filed 4-1-2008; operative 4-1-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 14). 
§1388.5. Oral Examinations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Sections 2931, 2941, 2942 and 2945, Business and Professions Code; and Section 12944, Government Code.
HISTORY

1. New section filed 11-21-77; effective thirtieth day thereafter (Register 77, No. 48).
2. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
3. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
4. Amendment of subsections (b)-(c) and Note filed 8-11-95; operative 9-10-95 (Register 95, No. 32).
5. New subsection (d) filed 1-8-99 as an emergency; operative 1-8-99 (Register 99, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 1-8-99 order transmitted to OAL 5-7-99 and filed 6-15-99 (Register 99, No. 25).
7. Repealer filed 12-19-2001 as an emergency; operative 1-1-2002 (Register 2001, No. 51). A Certificate of Compliance must be transmitted to OAL by 5-1-2002 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 12-19-2001 order transmitted to OAL 1-8-2002 and filed 2-20-2002 (Register 2002, No. 8).
§1388.6. License Requirements and Waiver of Examination.
Note     •     History

(a) When a California-licensed psychologist has been licensed for at least five years and has allowed his/her license to expire by not renewing the license for at least three years, the psychologist shall not be required to take the EPPP or the CPSE.
(b) If an applicant for licensure as a psychologist has been licensed in another state, Canadian province, or U.S. territory, for at least five years the applicant shall not be required to take the EPPP or the CPSE.
(c) An applicant for licensure as a psychologist who holds a Certificate of Professional Qualification (CPQ) issued by the Association of State and Provincial Psychology Boards (ASPPB), shall not be required to take the EPPP or the CPSE. Such an applicant shall be deemed to have met the educational and experience requirements of subdivisions (b) and (c) of Code section 2914.
(d) An applicant for licensure as a psychologist who is credentialed as a Health Service Provider in Psychology by the National Register of Health Service Providers in Psychology (NRHSPP) and has been licensed based on a doctoral degree in another state, Canadian province, or U.S. territory for a minimum of five years shall not be required to take the EPPP or the CPSE. Such an applicant shall be deemed to have met the educational and experience requirements of subdivisions (b) and (c) of Code section 2914.
(e) An applicant for licensure as a psychologist who is certified by the American Board of Professional Psychology (ABPP) and has been licensed based on a doctoral degree in another state, Canadian province, or U.S. territory for a minimum of five years shall not be required to take the EPPP or the CPSE. Such an applicant shall be deemed to have met the educational and experience requirements of subdivisions (b) and (c) of Code section 2914. 
(f) Although the EPPP and the CPSE are waived under this section, an applicant must file a complete application and meet all current licensing requirements not addressed above, including payment of any fees, take and pass the California Psychology Law and Ethics Examination (CPLEE), and not been subject to discipline. 
NOTE

Authority cited: Sections 2930 and 2946, Business and Professions Code. Reference: Section 2946, Business and Professions Code.
HISTORY

1. New section filed 3-13-97; operative 4-12-97 (Register 97, No. 11).
2. Amendment of subsections (a)-(c), new subsection (d), subsection relettering, and amendment of newly designated subsection (e) filed 12-1-98; operative 12-31-98 (Register 98, No. 49).
3. Amendment filed 4-5-2001; operative 5-5-2001 (Register 2001, No. 14).
4. Amendment filed 12-19-2001 as an emergency; operative 1-1-2002 (Register 2001, No. 51). A Certificate of Compliance must be transmitted to OAL by 5-1-2002 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-19-2001 order transmitted to OAL 1-8-2002 and filed 2-20-2002 (Register 2002, No. 8).
6. Amendment of section heading and section filed 8-7-2003; operative 9-6-2003 (Register 2003, No. 32).
7. Amendment of subsection (f) filed 5-12-2006; operative 5-12-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
8. New subsection (e) and subsection relettering filed 4-9-2007; operative 5-9-2007 (Register 2007, No. 15).
9. Amendment filed 4-1-2008; operative 4-1-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 14). 
§1389. Reconsideration of Examinations.
Note     •     History

(a) There shall be no reconsideration of the grade received on the EPPP or on the CPSE.
(b) Nothing in this section shall be construed to deprive an applicant of his or her rights of appeal as afforded by other provisions of law.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Sections 2942 and 2944, Business and Professions Code.
HISTORY

1. Repealer and new section filed 2-14-77; effective thirtieth day thereafter (Register 77, No. 8).
2. Amendment filed 11-21-77; effective thirtieth day thereafter (Register 77, No. 48).
3. Amendment of subsection (c) filed 4-26-79; effective thirtieth day thereafter (Register 79, No. 17).
4. Amendment of subsections (b) and (c) filed 2-28-80; effective thirtieth day thereafter (Register 80, No. 9).
5. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83,No. 25).
6. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
7. Amendment of subsection (a), repealer of subsection (b), subsection relettering, and amendment of newly designated subsection (c) filed 8-11-95; operative 9-10-95 (Register 95, No. 32).
8. Repealer of subsections (a)-(b), subsection relettering, and amendment of newly designated subsection (a) filed 12-19-2001 as an emergency; operative 1-1-2002 (Register 2001, No. 51). A Certificate of Compliance must be transmitted to OAL by 5-1-2002 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-19-2001 order transmitted to OAL 1-8-2002 and filed 2-20-2002 (Register 2002, No. 8).
10. Amendment of subsection (a) filed 5-12-2006; operative 5-12-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
§1389.1. Inspection of Examinations.
Note     •     History

(a) All examination materials, except those owned by an examination service, shall be retained by the board at the board's office in Sacramento for a period of two (2) years after the date of the examination.
(b) No inspection is allowed of the written examination administered by the board.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Sections 2942 and 2944, Business and Professions Code; and Section 12944, Government Code.
HISTORY

1. Renumbering of former section 1390 to new section 1389.1 filed 12-16-2004; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2004, No. 51).
Article 5. Registered Psychologists
§1390. Citation.
Note     •     History

This article may be cited and referred to as the “Registered Psychologist Regulations.”
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2909, Business and Professions Code.
HISTORY

1. Amendment filed 12-22-76; effective thirtieth day thereafter (Register 76, No. 52).
2. Editorial correction (Register 77, No. 15).
3. Amendment filed 11-21-77; effective thirtieth day thereafter (Register 77, No. 48).
4. New subsection (c) filed 4-26-79; effective thirtieth day thereafter (Register 79, No. 17).
5. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
6. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
7. Amendment of subsections (a)-(b) filed 8-11-95; operative 9-10-95 (Register 95, No. 32).
8. Change without regulatory effect repealing subsection (b) and relettering former subsection (c) to new subsection (b) filed 4-7-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 15).
9. Relocation and amendment of article 5 heading from preceding section 1391 to preceding section 1390, renumbering of former section 1390 to section 1389.1 and renumbering of former section 1391 to section 1390 filed 12-16-2004; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2004, No. 51).
10. Amendment of article heading, section and Note filed 7-28-2005; operative 8-27-2005 (Register 2005, No. 30).
§1390.1. Registration.
Note     •     History

Any person desiring to register at a qualifying agency as a registered psychologist shall submit an application on a form provided by the board.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2909, Business and Professions Code.
HISTORY

1. New section filed 12-16-2004; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2004, No. 51).
§1390.2. Withdrawal of Applications.
Note     •     History

Applications for registration which have not been completed within ninety (90) days after additional information has been requested shall be deemed to be withdrawn.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2909, Business and Professions Code.
HISTORY

1. New section filed 12-16-2004; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2004, No. 51).
§1390.3. Statement of Purpose.
Note     •     History

A person meeting the requirements set forth in section 2909(d) of the code, may provide psychological services under supervision at a non-profit community agency that receives at least 25% of its funding from a governmental source for the purpose of training and providing services so long as that person registers with the board as a registered psychologist. The employing agency must provide the board with evidence of the requisite level of government funding.
(a) The registered psychologist is authorized to function only in the agency to which he or she is registered and only after a registration number has been issued by the board;
(b) The registration shall be in effect for a period of 30 months from the date of issuance and cannot be renewed and the registrant cannot re-register as a registered psychologist to the same agency;
(c) The registered psychologist shall at all times be under the primary supervision of a qualified licensed psychologist who is employed by the same agency. The primary supervisor shall be available to the trainee 100% of the time that the trainee is working in such a capacity. This availability can be in-person, by telephone, by pager or by other appropriate technology.
(1) The primary supervisor shall comply with the coursework requirements set forth in section 1387.1(b) of the code.
(2) The primary supervisor shall ensure that a plan is in place in the event a patient/client crisis or emergency occurs during any time the supervisor is not physically present at the established site at which the trainee is working. The primary supervisor shall ensure that the trainee thoroughly understands the plan in the event of such an emergency.
(d) In order to qualify as “supervised professional experience” pursuant to section 2914(c) of the code, experience gained as a registered psychologist must comply with section 1387.
(e) Each patient or client of a registered psychologist shall be informed, prior to the rendering of services, that the registrant is unlicensed and under the supervision of a qualified licensed psychologist as an employee of the agency and that the supervisor shall have access to the patient's chart in fulfilling his/her supervisorial duties.
(f) No supervisor or employing agency of a registered psychologist may charge a fee or otherwise require monetary payment in consideration for the employment or supervision of a registered psychologist.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2909, Business and Professions Code.
HISTORY

1. New section filed 12-16-2004; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2004, No. 51).
2. Amendment of subsection (c)(1) filed 7-28-2005; operative 8-27-2005 (Register 2005, No. 30).
3. Amendment of subsection (b) filed 4-27-2007; operative 5-27-2007 (Register 2007, No. 17).
Article 5.1. Psychological Assistants
§1391. Citation.
Note     •     History

This article may be cited and referred to as the “Psychological Assistant Regulations.”
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2913, Business and Professions Code.
HISTORY

1. New Article 4.5 (Sections 1391-1391.14) filed 11-21-77; effective thirtieth day thereafter (Register 77, No. 48).
2. Renumbering of Article 4.5 to Article 5 filed 4-26-79; effective thirtieth day thereafter (Register 79, No. 17).
3. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
4. Relocation and amendment of article 5 heading from preceding section 1391 to preceding section 1390 and renumbering of former section 1391 to section 1390 filed 12-16-2004; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2004, No. 51).
5. New article 5.1 and new section filed 7-28-2005; operative 8-27-2005 (Register 2005, No. 30).
§1391.1. Registration; Limitation of Registration Period.
Note     •     History

(a) Any person desiring to supervise a psychological assistant shall submit an application on a form provided by the Board.
(b) Registration as a psychological assistant shall be limited to a cumulative total of six years (72 months). Each registration shall be subject to annual renewal pursuant to section 1391.12.
For any psychological assistant registered prior to the effective date of this subdivision, subsequent renewals or registrations shall be limited to a cumulative total of six years (72 months) from the date of the psychological assistant's next registration or renewal, whichever occurs first.
Upon showing of good cause as determined by the Board, these specified time limitations may be reasonably modified.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2913, Business and Professions Code.
HISTORY

1. Amendment filed 4-26-79; effective thirtieth day thereafter (Register 79, No. 17).
2. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
3. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
4. Amendment of section heading and section filed 9-23-2010; operative 10-23-2010 (Register 2010, No. 39).
§1391.2. Withdrawal of Applications.

Applications for registration which have not been completed within ninety (90) days after additional information has been requested shall be deemed to be withdrawn.
§1391.3. Required Training.
Note     •     History

Any person who possesses a doctorate degree which will qualify for licensure as a psychologist pursuant to Section 2914 of the code, shall be deemed to have completed “one fully matriculated year of graduate training in psychology” and will be eligible for registration as a psychological assistant upon compliance with other provisions of Section 2913 of the code.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2913, Business and Professions Code.
HISTORY

1. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
2. Amendment filed 12-16-2004; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2004, No. 51).
§1391.4. Limited Psychological Functions.
Note     •     History

As used in Section 2913 of the code, the phrase “limited psychological functions” means those functions which are performed under the direction and supervision of the qualified supervisor pursuant to the American Psychological Association's (APA) January 1, 1997 version of the Guidelines and Principles for Accreditation of Programs in Professional Psychology and the APA Code of Conduct and Ethical Principles.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2913, Business and Professions Code.
HISTORY

1. Amendment of section and new Note filed 12-16-2004; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2004, No. 51).
§1391.5. Statement of Purpose; Supervision Required.
Note     •     History

(a) A psychological assistant shall be under the direction and supervision of a licensed psychologist or board-certified psychiatrist who is employed in the same setting in which the psychological assistant is employed. A licensed psychologist who is supervising psychological assistants must comply with the supervision course requirements set forth in section 1387.1.
(b) The supervisor shall provide a minimum of one (1) hour per week of individual supervision to the psychological assistant, unless more such supervision is required under Section 1387 or by the nature of the psychological functions performed by the psychological assistant. 
(c) A registered psychological assistant employed by one of the organizations specified in section 2913 of the code may receive delegated supervision pursuant to section 1387(c) from a qualified psychologist or a board certified psychiatrist other than the supervisor to whom he/she is registered if the delegated supervisor is also employed within the same organization. Otherwise, supervision may not be delegated under a psychological assistant registration.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2913, Business and Professions Code.
HISTORY

1. Amendment filed 12-29-88; operative 12-29-88 (Register 89, No. 2).
2. Amendment filed 12-16-2004; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2004, No. 51).
§1391.6. Supervisor's Responsibility.
Note     •     History

(a) Every supervisor of a psychological assistant shall be responsible for supervising the psychological functions performed by the psychological assistant and ensuring that the extent, kind and quality of the psychological functions performed by the assistant are consistent with the supervisor's training and experience, and that the assistant complies with the provisions of the code, the board's regulations, and the standards established by the American Psychological Association.
(b) The supervisor shall inform each client or patient prior to the rendering of services by the psychological assistant that the assistant is unlicensed and is under the direction and supervision of the supervisor as an employee and that the supervisor shall have access to the patient's chart in fulfilling his/her supervision duties.
(c) The supervisor shall be available to the assistant 100% of the time the assistant is performing psychological functions. The availability can be in-person, by telephone, by pager or by other appropriate technology.
(d) The supervisor shall ensure that a plan is in place to protect the patient or client in the event a patient/client crisis or emergency occurs during any time the supervisor is not physically present at the established site at which the supervisee is working. The supervisor shall ensure that the supervisee thoroughly understands the plan in the event a patient crisis or emergency occurs.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2913, Business and Professions Code.
HISTORY

1. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
2. Amendment filed 12-29-88; operative 12-29-88 (Register 89, No. 2).
3. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
4. Amendment filed 12-16-2004; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2004, No. 51).
§1391.7. Supervised Professional Experience.
Note     •     History

In order to qualify as “supervised professional experience” pursuant to Section 2914(c) of the code, experience gained as a psychological assistant must comply with Section 1387.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2913, Business and Professions Code.
HISTORY

1. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
2. Change without regulatory effect amending section filed 1-18-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 3).
§1391.8. Employer-Employee Business Relationship.
Note     •     History

(a) No supervisor or employer of a psychological assistant may charge a fee or otherwise require monetary payment in consideration for the employment or supervision of a psychological assistant. The supervisor or employer shall supply all provisions necessary to function as a psychological assistant.
(b) The psychological assistant shall have no proprietary interest in the business of the supervisor or the employer.
(c) The psychological assistant shall not rent, lease, sublease, or lease-purchase office space from any entity for purposes of functioning as a psychological assistant.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2913, Business and Professions Code.
HISTORY

1. Amendment filed 12-29-88; operative 12-29-88 (Register 89, No. 2). 
2. Amendment filed 12-16-2004; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2004, No. 51).
§1391.9. Continuing Education.
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code.
HISTORY

1. Repealer filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1391.10. Annual Reports.
Note     •     History

On or before the expiration of a registration, every supervisor of a psychological assistant shall submit to the Board on a form provided by the Board a report for the registration period showing:
(a) The nature of the psychological functions performed by the psychological assistant being supervised.
(b) Certification of employment.
(c) The locations at which the psychological assistant provided the psychological functions and the type, extent and amount of supervision.
(d) A certification that the psychological functions performed by the psychological assistant were performed at a level satisfactory to ensure safety to the public.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2913, Business and Professions Code.
HISTORY

1. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
2. Amendment filed 12-29-88; operative 12-29-88 (Register 89, No. 2).
3. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
4. Amendment filed 12-16-2004; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2004, No. 51).
5. Amendment of first paragraph and subsection (a) filed 7-24-2009; operative 8-23-2009 (Register 2009, No. 30).
§1391.11. Notification of Termination.
Note     •     History

Within thirty (30) days after the termination of the employment of a psychological assistant, the employer shall notify the board in writing of such termination, setting forth the date thereof.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2913, Business and Professions Code.
HISTORY

1. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
§1391.12. Psychological Assistant Renewals.
Note     •     History

(a) A new registration shall expire one year after issuance. The registration of a psychological assistant shall be renewed by the employer annually, on or before its expiration.
(b) A registration renewed 30 days after its expiration must be accompanied by the delinquency fee required in section 1392.1 in order to be renewed.
(c) A psychological assistant who has been registered with the Board but whose registration has expired and has not been renewed by the employer shall not function as a psychological assistant.
(d) A psychological assistant employed and registered by more than one employer shall have his or her registration renewed by each employer.
(e) A registration not renewed within 60 days after its expiration shall become void and a new application for registration shall be submitted by the employer.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Section 2913, Business and Professions Code.
HISTORY

1. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
2. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
3. Change without regulatory effect amending subsection (b) filed 10-16-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 42).
4. Amendment filed 7-24-2009; operative 8-23-2009 (Register 2009, No. 30).
§1391.13. Effect of Violation, Psychological Assistant. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code.
HISTORY

1. Repealer filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1391.14. Effect of Violation, Employer. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code.
HISTORY

1. Repealer filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25). 
Article 5.5. Psychological Corporations [Repealed]
NOTE

Authority cited: Sections 2119 and 2151.9, Business and Professions Code.
HISTORY

1. Repealer of Article 5.5 (Sections 1392.2-1392.9) filed 4-26-79; effective thirtieth day thereafter (Register 79, No. 17). For former history, see Registers 76, No. 52, 71, No. 12, and 70, No. 5.
§1240. Issuance of Citations; Content.
Note     •     History

(a) The bureau is authorized to issue citations containing orders of abatement and assessing administrative fines for violations by any licensee of the bureau of any provision of the Funeral Directors and Embalmers Law or of any regulation adopted by the bureau, as specified in Section 1241 of this article.
(b) Each citation shall be in writing and shall describe with particularity the nature of the violation, including reference to the statute or regulation alleged to have been violated. Each citation shall contain a statement informing the cited person or entity of his, her or its right to contest the citation and to request a hearing pursuant to subdivision (b)(4) of Business and Professions Code Section 125.9, and Section 1245 of this code. Each citation may contain an assessment of an administrative fine, an order of abatement fixing a reasonable period of time for abatement of the violation, or both an administrative fine and an order of abatement. Each citation shall be served in accordance with the provisions of Section 11505(c) of the Government Code.
(c) If a hearing is not requested pursuant to subdivision (b)(4) of Business and Professions Code Section 125.9, and Section 1245 of this code, payment of any fine shall not constitute an admission of the violation charged.
NOTE

Authority cited: Sections 125.9, 125.95, 7606 and 7740, Business and Professions Code. Reference: Sections 125.9 and 125.95, Business and Professions Code.
HISTORY

1. New article heading and section filed 11-13-92; operative 12-14-92 (Register 92, No. 46). For prior history, see Register 86, No. 27.
2. Change without regulatory effect amending subsection (a) and redesignating former subsection (d) to new subsection (c) filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1241. Classes of Violations; Assessment of Fines.
Note     •     History

(a) Violations of the following code sections shall be designated Class A violations, the administrative fine for which may range from one thousand one dollars ($1,001.00) to two thousand five hundred dollars ($2,500.00):
(1) Business and Professions Code Section 7615, 7616 and 7617.
(2) Business and Professions Code Section 7632.
(3) Business and Professions Code Section 7640 and 7641.
(4) Business and Professions Code Section 7692.
(5) Business and Professions Code Section 7692.5.
(6) Business and Professions Code Section 7705.
(7) Business and Professions Code Section 7707.
(8) Business and Professions Code Section 7737.
(9) California Code of Regulations Section 1258.2.
(10) California Code of Regulations Section 1262.
(11) California Code of Regulations Section 1263(b).
(12) California Code of Regulations Section 1268.
(b) Violations of the following code sections shall be designated Class B violations, the administrative fine for which may range from five hundred one dollars ($501.00) to one thousand dollars ($1,000.00):
(1) Business and Professions Code Section 7623.
(2) Business and Professions Code Section 7629.
(3) Business and Professions Code Section 7635.
(4) Business and Professions Code Section 7685.
(5) Business and Professions Code Section 7685.1.
(6) Business and Professions Code Section 7685.2.
(7) Business and Professions Code Section 7685.3.
(8) Business and Professions Code Section 7693.
(9) Business and Professions Code Sections 7694, 7695, 7696 and 7697.
(10) Business and Professions Code Section 7699.
(11) Business and Professions Code Section 7702.
(12) Business and Professions Code Section 7706.
(13) Business and Professions Code Section 7735.
(14) California Code of Regulations Section 1204.
(15) California Code of Regulations Section 1213.
(16) California Code of Regulations Section 1214.
(17) California Code of Regulations Section 1216.
(18) California Code of Regulations Section 1221.
(19) California Code of Regulations Section 1223.
(20) California Code of Regulations Section 1223.1.
(21) California Code of Regulations Section 1229. 
(22) California Code of Regulations Section 1258.1.
(23) California Code of Regulations Section 1258.3.
(24) California Code of Regulations Section 1263(a).
(25) California Code of Regulations Section 1264.
(26) California Code of Regulations Section 1265.
(27) California Code of Regulations Section 1267.
(28) California Code of Regulations Section 1275.
(c) Violations of the following code sections shall be designated Class C violations, the administrative fine for which may range from one hundred dollars ($100.00) to five hundred dollars ($500.00):
(1) Business and Professions Code Section 7628.
(2) Business and Professions Code Section 7633.
(3) Business and Professions Code Section 7665.
(4) Business and Professions Code Section 7668.
(5) Business and Professions Code Section 7670.
(6) Business and Professions Code Section 7680.
(7) Business and Professions Code Section 7700.
(8) Business and Professions Code Sections 7701 and 7701.5.
(9) Business and Professions Code Section 7704.
(10) California Code of Regulations Section 1203.
(11) California Code of Regulations Section 1209.
(12) California Code of Regulations Section 1211.
(13) California Code of Regulations Section 1215. 
(14) California Code of Regulations Sections 1255 and 1256.
(15) California Code of Regulations Section 1258.
(16) California Code of Regulations Section 1269.
(17) California Code of Regulations Section 1271.
(d) In assessing an administrative fine, or in issuing an order of abatement, the following factors shall be given due consideration:
(1) The gravity of the violation.
(2) The good or bad faith of the cited person or entity.
(3) The history of previous violations.
(4) Evidence that the violation was or was not willful.
(5) The extent to which the cited person or entity has cooperated with the bureau's investigation.
(6) The extent to which the cited person or entity has mitigated or attempted to mitigate any damage or injury caused by the violation.
(7) Such other matters as may be proper.
NOTE

Authority cited: Sections 125.9, 125.95, 7606 and 7740, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 11-13-92; operative 12-14-92 (Register 92, No. 46). For prior history, see Register 86, No. 27.
2. New subsections (a)(9)-(10), (b)(6), and (b)(17)-(18), subsection renumbering and amendment of Note filed 7-10-95, operative 8-9-95 (Register 95, No. 28).
3. New subsections (b)(3), (b)(14)-(15) and (b)(19)-(20), subsection renumbering, and repealer of subsections (c)(13)-(14) and (c)(16) and subsection renumbering filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
4. Change without regulatory effect amending subsection (d)(5) filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1243. Assessment of Fine; Failure to Pay.
Note     •     History

When a citation containing an assessment of an administrative fine is not contested or if the citation and fine is contested and the licensee cited does not prevail, failure of the licensee to pay the fine within thirty (30) days of the issuance or affirmation shall constitute a violation and may result in disciplinary action being taken by the bureau. When a citation is not contested and a fine is not paid, the full amount of the fine shall be added to the fee for renewal of the license and the license shall not be renewed without payment of the renewal fee and fine.
NOTE

Authority cited: Sections 125.9, 125.95, 7606 and 7740, Business and Professions Code. Reference: Sections 125.9 and 125.95, Business and Professions Code.
HISTORY

1. New section filed 11-13-92; operative 12-14-92 (Register 92, No. 46). For prior history, see Register 86, No. 27.
2. Change without regulatory effect amending section filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1244. Appeal of Citation.
Note     •     History

(a) Any person or entity served with a citation pursuant to this article and Section 125.9 and 125.95 of the Business and Professions Code may contest the citation by filing with the bureau, within thirty (30) days of the date of issuance of the citation, a written request for a hearing. All hearings under this section shall be conducted in accordance with the provisions of Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code. The cited person or entity may contest any or all of the following aspects of the citation:
(1) The occurrence of a violation of the Funeral Directors and Embalmers Law or of a regulation adopted by the bureau.
(2) The reasonableness of the order of abatement, if an order of abatement is included in the citation.
(3) The reasonableness of the period of time allowed for correction in an order of abatement, if an order of abatement is included in the citation.
(4) The amount of the fine, if a fine is included in the citation.
(b) Failure of a cited person or entity to appear at the time and location of the requested hearing shall be deemed a withdrawal of his, her or its appeal, and the citation shall constitute a final order of the bureau and shall not be subject to appeal or review.
NOTE

Authority cited: Sections 125.9, 125.95, 7606 and 7740, Business and Professions Code. Reference: Sections 125.9 and 125.95, Business and Professions Code.
HISTORY

1. New section filed 11-13-92; operative 12-14-92 (Register 92, No. 46). For prior history, see Register 86, No. 27.
2. Change without regulatory effect amending subsections (a)-(a)(1) and (b) filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1245. Informal Office Conference.
Note     •     History

(a) Without waiving his, her or its right to contest the citation pursuant to subdivision (b)(4) of Business and Professions Code Section 125.9, and Section 1244 of this code, the cited person or entity may, within ten (10) days after service of the citation, notify the bureau chief in writing of his, her or its request for an informal office conference regarding the violations charged in the citation.
(b) An informal office conference shall be held with the cited person or entity or his, her or its legal counsel or authorized representative, within thirty (30) days of receipt of the request. After conclusion of the informal office conference, the citation may be affirmed, modified or dismissed. The cited person or entity shall be notified of the actions taken, in writing, within fifteen (15) days of the conclusion of the conference, stating the reasons for the actions, the findings, and the decision. This written notification shall be served in accordance with the provisions of Section 11505(c) of the Government Code. This decision shall be deemed to be a final order with regard to the citation issued, including the fine levied and the order of abatement.
(c) The person or entity cited does not waive his, her or its right to contest the citation pursuant to subdivision (b)(4) of Business and Professions Code Section 125.9, and Section 1245 of this code, by requesting an informal office conference after which the citation is affirmed. However, if the citation is dismissed after an informal office conference, any request for a hearing on the matter shall be deemed to be withdrawn. If the citation, including any fine levied or any order of abatement issued, is modified, the citation originally issued shall be considered withdrawn and a new citation issued. If a hearing is requested for a subsequent citation, it shall be requested in accordance with subdivision (b)(4) of Business and Professions Code Section 125.9 and Section 1245 of this code.
NOTE

Authority cited: Sections 125.9, 125.95, 7602, 7606 and 7740, Business and Professions Code. Reference: Sections 125.9 and 125.95, Business and Professions Code.
HISTORY

1. New section filed 11-13-92; operative 12-14-92 (Register 92, No. 46). For prior history, see Register 86, No. 27.
2. Change without regulatory effect amending subsections (a) and (b) and Note filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1246. Citations; Unlicensed Activity.
Note     •     History

The bureau is authorized to issue citations containing orders of abatement and assessing administrative fines against unlicensed persons, partnerships, corporations, associations or other organizations who engage in any activity including advertising for which licensure is required as a funeral establishment, funeral director, embalmer, or an apprentice embalmer under  the Funeral Directors and Embalmers Law. The citation may include a fine for such unlicensed activity which may range from one thousand one dollars ($1,001.00) to two thousand five hundred dollars ($2,500.00). The provisions of Sections 125.9 of the Business and Professions Code shall apply to  the issuance of citations for unlicensed activity under this section. The sanctions authorized under this section shall be separate from and in addition to any other civil or criminal remedies.
NOTE

Authority cited: Sections 125.9, 125.95 and 7606, Business and Professions Code. Reference: Sections 125.9 and 125.95, Business and Professions Code.
HISTORY

1. New section filed 11-13-92; operative 12-14-92 (Register 92, No. 46). 
2. Change without regulatory effect amending section filed 4-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 16).
3. Change without regulatory effect amending section filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1248. Calendar of Cases. [Repealed]
History

HISTORY

1. Originally published 12-5-46 (Title 16).
2. Amendment filed 11-4-47 as an emergency (Register 10, No. 2).
3. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
4. Change without regulatory effect amending article heading filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1249. Hearings to Be Public. [Repealed]
History

HISTORY

1. Repealer filed 11-14-57; effective thirtieth day thereafter (Register 57, No. 20).
§1250. Reinstatement of Licenses. [Repealed]
History

HISTORY

1. Originally published 12-5-46 (Title 16).
2. Amendment filed 11-4-47 (Register 10, No. 2).
3. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1251. Proof of Law Violation. [Repealed]
History

HISTORY

1. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1253. Criteria for Rehabilitation.
Note     •     History

When considering the denial of a license under Section 480 of the Business and Professions Code, the  bureau, in evaluating the rehabilitation of the applicant and his or her present eligibility for a license, will consider the following criteria:
(a) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(b) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the Business and Professions Code.
(c) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).
(d) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(e) Evidence, if any, of rehabilitation submitted by the applicant.
NOTE

Authority cited: Sections 488, 492 and 7606, Business and Professions Code.
HISTORY

1. New section filed 3-22-73 as an emergency; effective upon filing (Register 73, No. 12).
2. Certificate of Compliance filed 5-25-73 (Register 73, No. 21).
3. Repealer and new section filed 2-11-75 as an emergency; effective upon filing. Certificate of Compliance included (Register 75, No. 7).
4. Change without regulatory effect amending first paragraph filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1253.5. Rehabilitation Criteria for Suspensions or Revocations.
Note     •     History

(a) When considering the suspension or revocation of a license on the ground that a licensed funeral establishment, licensed funeral director, or licensed embalmer has been convicted of a crime, the bureau, in evaluating the rehabilitation of such person and his or her eligibility for a license, will consider the following criteria:
(1) Nature and severity of the act(s) or offense(s).
(2) Total criminal record.
(3) The time that has elapsed since commission of the act(s) or offense(s).
(4) Whether the licensee has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against the licensee.
(5) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(6) Evidence, if any, of rehabilitation submitted by the licensee.
(b) Petition for Reinstatement. When considering a petition for reinstatement of a license under the provisions of Section 11522 of the Government Code, the bureau shall evaluate evidence of rehabilitation submitted by the petitioner considering those criteria specified in Section 1253 of this article.
NOTE

Authority cited: Sections 7606 and 7740, Business and Professions Code. Reference: Sections 480, 7615, 7616, 7691, 7711, 7735, 7736, 7737 and 7738, Business and Professions Code.
HISTORY

1. New section filed 2-11-75 as an emergency; effective upon filing. Certificate of Compliance included (Register 75, No. 7).
2. Amendment of subsection (a) filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
3. Change without regulatory effect amending subsections (a) and (b) filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1253.6. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et. seq.), the bureau shall consider the disciplinary guidelines entitled “A Manual of Disciplinary Guidelines for  Funeral Establishments, Funeral Directors, Embalmers, and Apprentice Embalmers (September 1997)” which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the bureau in its sole discretion determines that the facts of the particular case warrant such a deviation--for example, the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Section 7606, Business and Professions Code; and Section 11400.20, Government Code. Reference: Sections 11400.20 and 11425.50(e), Government Code.
HISTORY

1. New section filed 7-20-98; operative 8-19-98 (Register 98, No. 30).
2. Change without regulatory effect amending section filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
Article 6. Fees
§1392. Psychologist Fees.
Note     •     History

(a) The application fee for a psychologist is $40.00.
(b) The fee for the California Psychology Supplemental Examination (CPSE) is $129.00.
(c) The fee for the California Psychology Law and Ethics Examination (CPLEE) is $129.00.
(d) An applicant taking or repeating either licensing examination shall pay the full fee for that examination.
(e) The initial license fee and the biennial renewal fee for a psychologist are $400.00, except that if an initial license will expire less than one  year after its issuance, then the initial license fee is an amount equal to 50 percent of the renewal fee in effect on the last regular renewal date before the date on which the license is issued.
(f) The biennial renewal fee for an inactive license is $40.00.
NOTE

Authority cited: Sections 2930, 2987 and 2989, Business and Professions Code. Reference: Sections 2987, 2988 and 2989, Business and Professions Code.
HISTORY

1. Amendment of subsections (a) and (b) filed 7-10-89; operative 8-9-89 (Register 89, No. 49). For prior history, see Register 83, No. 25.
2. New subsection (d) filed 12-1-89; operative 12-31-89 (Register 89, No. 49).
3. Amendment of subsection (c) filed 5-17-90; operative 6-16-90 (Register 90, No. 26).
4. Amendment of subsection (c) filed 5-24-91; operative 6-23-91 (Register 91, No. 27).
5. Amendment of subsections (b) and (c) and Note filed 6-14-93; operative 7-1-93 pursuant to Government Code section 113462(d) (Register 93, No. 25).
6. Amendment of subsection (c) filed 3-8-95; operative 4-7-95 (Register 95, No. 10).
7. Amendment of subsection (b) and Note filed 3-24-97; operative 4-23-97 (Register 97, No. 13).
8. Amendment of subsection (b) filed 10-22-98; operative 11-21-98 (Register 98, No. 43).
9. Amendment of subsections (b) and (c) filed 2-14-2000; operative 3-15-2000 (Register 2000, No. 7).  
10. Amendment of subsection (b) filed 4-5-2001; operative 5-5-2001 (Register 2001, No. 14).
11. Repealer of subsections (b)-(c), new subsections (b)-(e) and subsection relettering filed 12-19-2001 as an emergency; operative 1-1-2002 (Register 2001, No. 51). A Certificate of Compliance must be transmitted to OAL by 5-1-2002 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 12-19-2001 order transmitted to OAL 1-8-2002 and filed 2-20-2002 (Register 2002, No. 8).
13. Repealer of subsection (b) and subsection relettering filed 2-11-2003; operative 3-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 7).
14. Amendment of subsection (b) filed 5-12-2006; operative 5-12-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
15. New subsection (c), subsection relettering and amendment of newly designated subsection (e) filed 4-1-2008; operative 4-1-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 14). 
§1392.1. Psychological Assistant Fees.
Note     •     History

(a) The application fee for registration of a psychological assistant which is payable by the supervisor is $40.00.
(b) The annual renewal fee for registration of a psychological assistant is $40.00.
(c) The delinquency fee for a psychological assistant is $20.00.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Sections 2688 and 2689, Business and Professions Code.
HISTORY

1. New section filed 1-22-79 as an emergency; effective upon filing (Register 79, No. 4).
2. Certificate of Compliance filed 3-7-79 (Register 79, No. 10).
3. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1392.2. Professional Corporation Fees. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code.
HISTORY

1. New section filed 4-26-79; effective thirtieth day thereafter (Register 79, No. 17).
2. Repealer filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
Article 7. Restoration of Suspended or Revoked Licenses
§1254. Abandonment of Applications.
Note     •     History

If an applicant for licensure as an embalmer or funeral director fails to take a required examination within one (1) year after being notified of eligibility, the application for licensure and/or examination shall be considered to have been abandoned. An application subsequent to the abandonment of a previous application shall be considered a new application and must be accompanied by the required fee.
If an applicant for licensure as an embalmer or funeral director who has taken and passed an examination after January 1, 1997, fails to apply for licensure within twelve (12) months of passing the examination, the application and examination results shall be considered to have been abandoned. An application subsequent to the abandonment of a previous application and/or examination shall be considered a new application and must be accompanied by the required fees. Apprentice Embalmers are exempt from this provision pursuant to Section 7664 of the Business and Professions Code.
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Sections 7620, 7622, 7642 and 7646, Business and Professions Code.
HISTORY

1. Repealer of former Section 1254, and renumbering and amendment of former Section 1245 to Section 1254 filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27). For prior history, see Register 65, No. 24. and 7740, Business and Professions Code.
2. New second paragraph filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
3. Change without regulatory effect amending section filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1256. Failure to Comply with Section 1255.
Note     •     History

Any licensed funeral establishment or licensed funeral director failing to comply with the provisions of Section 1255 shall be subject to disciplinary action by the bureau.
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Sections 7704 and 7707, Business and Professions Code.
HISTORY

1. Amendment of section and new Note filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
2. Change without regulatory effect amending section filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1258.3. Cemetery and Funeral Bureau Notification.
Note     •     History

The statement required by Business and Professions Code section 9662 shall be printed on the first page of any contract for funeral goods and services offered by a funeral establishment which contains charges for both funeral goods and services and cemetery or crematory goods and services.
NOTE

Authority cited: Section 7606, Business and Professions Code. Reference: Section 7606, Business and Professions Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Amendment of first paragraph and repealer of second paragraph filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
3. Change without regulatory effect amending section heading filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1266. Use of Income upon Revocation. [Repealed]
History

HISTORY

1. New section filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1267. Keeping of Pre--Need Books, Accounts, Contracts, and Records.
Note     •     History

Each funeral establishment charged with the reporting of pre--need funds hereunder shall at all times maintain or cause the trustee of the pre--need trust to maintain in California and available for inspection by the bureau during reasonable working hours, complete financial records of all pre--need contracts and arrangements, which records shall be established and maintained in accordance with generally accepted accounting principles. Such records shall include the following, provided, however, that records may otherwise be established and maintained in accordance with generally accepted accounting principles:
(a) An individual trustor contract, plan or agreement.
(b) An individual trustor or beneficiary ledger account which shall set forth the amount of the contract, all payments received, all income prorated in accordance with the ratio which the trust corpus of the account bears to the entire corpus invested as set forth in Section 1265.
(c) A cash receipts journal which shall show each payment received and shall be totalled monthly.
(d) A cash disbursement journal which will show each withdrawal for an investment in compliance with 1263 and each disbursement to the funeral establishment for a serviced account or to the individual trustor on a cancelled account, and all withdrawals for documented expenses.
(e) In the case where a checking account is used to deposit payments received or disbursements to the funeral establishment and/or the funeral director, a trustor or an investment, it shall be designated as a trust fund account, and be reported as such. It shall be reconciled each month with the balance shown in the trust account by accounting for checks not yet presented and outstanding, bank deposits not shown on the bank statements, and other adjustments required.
(f) A general ledger which shall be posted monthly with respect to all accounts controlling the fiduciary relationship with the individual trusters. Such postings shall occur within ninety (90) days after the close of each business month.
(g) A portfolio of all investments related to the trust funds.
(h) Records for serviced accounts shall include but not be limited to:
(1) A copy of the death certificate or other satisfactory evidence of the death; copies of all documents required as specified under Sections 7685 and 7685.2, Division 3, Chapter 12, Article 5.5 of the Business and Professions Code; a copy of the final arrangements (itemized); and a copy of the final statement to the family.
(2) All monies received from the trust; all monies received from the family; and all monies received from the Veterans Administration or Social Security or any other source to be applied to the final bill.
(3) A record showing credit for each of the above.
(i) Records for cancelled accounts shall include but not be limited to:
(1) A record of all income earned and documented expenses taken including a revocation fee as stated in Section 7735, Division 3, Chapter 12, Article 9, of the Business and Professions Code.
(2) A copy of the final accounting to the family with the cancelled check or withdrawal slip showing the amount refunded to the trustor.
(j) All of the foregoing records shall be retained for a period of one (1) year after the account has been cancelled or serviced and audited by the bureau and compliance with all recommendations made and audit exceptions resolved or seven (7) years from the date of service or cancellation, whichever comes first.
The required books and records for more than one (1) licensed funeral establishment may be centrally maintained at a single location in California with notification to the bureau or the main office as defined in Section 1204(c)(2), provided that a monthly summary of all financial transactions pertaining to each individual trust account for each licensed funeral establishment is available, at each such establishment during reasonable working hours, to the bureau or its authorized representatives; and provides further that the monthly summary contains sufficient information from which the current balance of each individual trustor's account or each individual trustor's share of any commingled trust account may be identified.
NOTE

Authority cited: Sections 7606 and 7740, Business and Professions Code. Reference: Sections 7735, 7737 and 7740, Business and Professions Code.
HISTORY

1. Amendment filed 7-3-80; effective thirtieth day thereafter (Register 80, No. 27). For prior history, see Register 72, No. 9; and 77, No. 25.
2. Amendment file 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
3. Amendment of first paragraph, subsections (d) and (e), and last paragraph filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
4. Change without regulatory effect amending first paragraph and subsections (f) and (j) filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1268. Commingling of Funds.
Note     •     History

No pre--need trust funds shall be mingled or commingled with the funds of any other person, firm, or corporation; except that, for the purpose of investment pursuant to Division 3, Chapter 12, Article 9 of the Business and Professions Code and the provisions of this Article, all pre--need funeral trust funds received and held by a single trustee or a single set of trustees, may be commingled for investment purposes.
If the bureau finds that such funds have been invested in violation of this Article, it shall, by written order mailed to the person or persons in charge of such funds, require the reinvestment of such funds in conformity to this Article within ninety (90) days from the date of such order; provided, however, that such period may be extended by the bureau at its discretion.
In the enforcement of its order, the bureau is authorized to bring such action as may be necessary to enforce the provisions of law subject to its jurisdiction.
NOTE

Authority cited: Sections 7606 and 7740, Business and Professions Code. Reference: Sections 7735 and 7740, Business and Professions Code.
HISTORY

1. Amendment and renumbering of former Section 1265 filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
3. Change without regulatory effect amending section filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1269. Reporting of Pre--Need Funeral Trust Funds.
Note     •     History

(a) Each licensed funeral establishment and licensed funeral director who enters into any pre--need arrangements, contracts or plans described in and subject to the provisions of Article 9, Chapter 12, Division 3 of the Business and Professions Code shall file with the bureau annually on or before May 1 of each year and upon transfer of license or cessation of business, a written, verified or audited report, on form 21 P-4A (1/94) prescribed and furnished by the bureau, pertaining to funds received and held under such arrangements, contracts or plans. Firms utilizing a fiscal year accounting system may request permission, in writing to the bureau chief to file said report on a fiscal year basis and, if permission is granted, said report shall then be filed with the bureau no later than one hundred twenty (120) days from the date of the close of said fiscal year.
(b) The report required under this Article shall accompany the forms of assignment or transfer of a funeral establishment license. The report required hereunder upon cessation of business as a licensed funeral establishment shall be submitted thirty (30) days prior to such cessation of business.
(c) In cases where trust corpus is deposited in individual savings accounts, and not commingled for investment purposes, the bureau may require a verified report. Said requirement of verification shall be deemed complied with by a verification under penalty of perjury by the owner, partners, or, in the case of a corporation, by the president or vice-president and one (1) other officer thereof and, in addition thereto, all reports must contain a verification under penalty of perjury executed by at least two (2) trustees not employed by the funeral establishment and, in the case of a banking institution or trust company legally authorized to act as a trustee within the meaning of Section 7736 of Article 9, Chapter 12, Division 3, of the Business and Professions Code, a verification under penalty of perjury on behalf of such trustee by an authorized representative of said trustee.
(d) In cases where trust funds have been commingled for purposes of investment, the bureau may require, in addition to the written report required by subsection (a) of this section, an independent audit report prepared and signed by a Certified Public Accountant or Public Accountant, currently licensed in the State of California, which certifies compliance with the provisions of Article 9, Chapter 12, Division 3 of the Business and Professions Code and the provisions of this Article.
(e) All written reports required under this section shall include, but are not limited to, a statement setting forth:
(1) Amounts collected pursuant to pre--need arrangements, contracts or plans, or any agreements collateral thereto;
(2) Amounts deposited with the trustee and held in trust;
(3) Amounts of authorized expenditures of income allocable to individual accounts, itemized as to the nature of expenditures;
(4) Amount of authorized expenditures of income paid, itemized as to the nature of expenditure; and
(5) Separately, the total amount of such trust funds invested in each of the investments authorized by law and the amount of cash on hand not invested which statement actually show the financial condition of the trust funds.
(f) Two (2) or more funeral establishments who utilize a common trust fund to hold and administer payments received under pre--need contracts may cause the trustee of that common trust fund to file one (1) combined annual report regarding all such pre--need contracts, provided each funeral establishment's information is disclosed separately.
NOTE

Authority cited: Sections 7602, 7606 and 7740, Business and Professions Code. Reference: Sections 7735, 7738, 7740 and 7740.5, Business and Professions Code.
HISTORY

1. Amendment and renumbering of former Section 1261 filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Amendment filed 2-11-75 as an emergency; effective upon filing. Certificate of Compliance included (Register 75, No. 7).
3. Amendment filed 6-17-77; effective thirtieth day thereafter (Register 77, No. 25).
4. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
5. Amendment of subsections (a), (b), (c) and (f) filed 10-31-97; operative 11-30-97 (Register 97, No. 44).
6. Change without regulatory effect amending subsections (a), (c), (d) and (f) and amending Note filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1270. Requirements of Pre--Need Fund Report to Board. [Repealed]
History

HISTORY

1. Amendment and renumbering from former Section 1262 filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1271. Reporting of Trustees.
History

The reports provided for in Section 1269 of this Article shall state the name and address of each of the trustees. Any change of trustees shall be reported to the bureau within thirty (30) days after the effective date thereof and shall be accompanied by the appropriate fee.
Specific reference: Sections 7736 and 7740.5, Business and Professions Code.
HISTORY

1. Amendment and renumbering from former Section 1263 filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Amendment filed 6-17-77; effective thirtieth day thereafter (Register 77, No. 25).
3. Change without regulatory effect amending section filed 9-22-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§1272. Failure to File Required Pre--Need with Board. [Repealed]
History

HISTORY

1. Renumbering from former Section 1264 filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1273. Application to Licensed Funeral Directors Also Licensed As a Cemetery Authority. [Repealed]
History

HISTORY

1. New section filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§1393. Requirements for Psychologists on Probation.
Note     •     History

Each psychologist who has been placed on probation by the board shall be subject to the board's probation program and shall be required to fully cooperate with the assigned probation monitor.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Sections 2960 and 2961, Business and Professions Code.
HISTORY

1. Repealer of former section 1393, and renumbering and amendment of former section 1395 to section 1393 filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25). For prior history, see Register 79, No. 17.
2. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
3. Amendment filed 3-6-2003; operative 4-5-2003 (Register 2003, No. 10).
§1394. Substantial Relationship Criteria.
Note     •     History

For the purposes of denial, suspension, or revocation of a license or registration pursuant to Division 1.5 (commencing with Section 475) of the code, a crime or act shall be considered to be substantially related to the qualifications, functions or duties of a person holding a license or registration under the Psychology Licensing Law (Chapter 6.6 of Division 2 of the Code), if to a substantial degree it evidences present or potential unfitness of a person holding a license or registration to perform the functions authorized by his or her license or registration or in a manner consistent with the public health, safety, or welfare. Such crimes or acts shall include but not be limited to those involving the following:
(a) Violating or attempting to violate, directly or indirectly, or assisting in or abetting the violation of or conspiring to violate any provision or term of that law.
(b) Conviction of a crime involving fiscal dishonesty.
NOTE

Authority cited: Sections 481 and 2930, Business and Professions Code. Reference: Sections 481, 490, 2960 and 2963, Business and Professions Code.
HISTORY

1. Repealer of former Section 1394, and renumbering and amendment of former Section 1396 to Section 1394 filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25). For prior history, see Registers 79, No. 17; 76, No. 52; 75, Nos. 24 and 8; and 74, No. 8.
§1395. Rehabilitation Criteria for Denials and Reinstatements.
Note     •     History

When considering the denial of a license or registration under section 480 of the code, or a petition for reinstatement under section 11522 of the Government Code, the board in evaluating the rehabilitation of the applicant and his or her present eligibility for a license or registration, will consider the following criteria:
(1) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under section 480 of the Code.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(5) Evidence, if any, of rehabilitation submitted by the applicant.
NOTE

Authority cited: Sections 482 and 2930, Business and Professions Code. Reference: Sections 480, 482, 2960, 2962 and 2963, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1395 to section 1393, and renumbering and amendment of former section 1396.1 to section 1395 filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25). For prior history, see Registers 79, No. 17; 76, No. 52; and 75, Nos. 24 and 18.
2. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
§1395.1. Rehabilitation Criteria for Suspensions or Revocations.
Note     •     History

When considering the suspension or revocation of a license or registration on the ground that a person holding a license or registration under the Psychology Licensing Law (chapter 6.6 of division 2 of the code) has been convicted of a crime the board in evaluating the rehabilitation of such person and his or her eligibility for a license or registration will consider the following criteria:
(1) Nature and severity of the act(s) or offense(s).
(2) Total criminal record.
(3) The time that has elapsed since commission of the act(s) or offense(s).
(4) Whether the licensee or registration holder has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against such person.
(5) If applicable, evidence of expungement proceedings pursuant to section 1203.4 of the Penal Code.
(6) Evidence, if any, of rehabilitation submitted by the licensee or registration holder.
NOTE

Authority cited: Sections 482 and 2930, Business and Professions Code. Reference: Sections 482, 2960 and 2963, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1396.2 to section 1395.1 filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25). For prior history, see Registers 79, No. 17; 76, No. 52; and 75, Nos. 24 and 18.
2. Change without regulatory effect pursuant to section 100, Title 1, California Code of Regulations filed 3-5-90 (Register 90, No. 20).
Article 8. Rules of Professional Conduct
§1396. Competence.
Note     •     History

A psychologist shall not function outside his or her particular field or fields of competence as established by his or her education, training and experience.
NOTE

Authority cited: Sections 2930 and 2936, Business and Professions Code. Reference: Section 2936, Business and Professions Code.
HISTORY

1. Repealer of Article 8 heading, renumbering of Article 9 to Article 8 (Sections 1396-1397.40, not consecutive), renumbering and amendment of former Section 1396 to Section 1394, and renumbering and amendment of former Section 1397.3 to Section 1396 filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25). For prior history, see Register 76, No. 52.
§1396.1. Interpersonal Relations.
Note     •     History

It is recognized that a psychologist's effectiveness depends upon his or her ability to maintain sound interpersonal relations, and that temporary or more enduring problems in a psychologist's own personality may interfere with this ability and distort his or her appraisals of others. A psychologist shall not knowingly undertake any activity in which temporary or more enduring personal problems in the psychologist's personality integration may result in inferior professional services or harm to a patient or client. If a psychologist is already engaged in such activity when becoming aware of such personal problems, he or she shall seek competent professional assistance to determine whether services to the patient or client should be continued or terminated.
NOTE

Authority cited: Sections 2930 and 2936, Business and Professions Code. Reference: Section 2936, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 1396.1 to Section 1395, and renumbering of former Section 1397.4 to Section 1396.1 filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25). For prior history, see Register 76, No. 52.
§1396.2. Misrepresentation.
Note     •     History

A psychologist shall not misrepresent nor permit the misrepresentation of his or her professional qualifications, affiliations, or purposes, or those of the institutions, organizations, products and/or services with which he or she is associated.
NOTE

Authority cited: Sections 2930 and 2936, Business and Professions Code. Reference: Section 2936, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 1396.2 to Section 1395.1, and renumbering of former Section 1397.5 to Section 1396.2 filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25). For prior history, see Registers 76, No. 52; and 68, No. 9.
§1396.3. Test Security.
Note     •     History

A psychologist shall not reproduce or describe in public or in publications subject to general public distribution any psychological tests or other assessment devices, the value of which depends in whole or in part on the naivete of the subject, in ways that might invalidate the techniques; and shall limit access to such tests or devices to persons with professional interests who will safeguard their use.
NOTE

Authority cited: Sections 2930 and 2936, Business and Professions Code. Reference: Section 2936, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 1397.7 to Section 1396.3 filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25). For prior history, see Register 68, No. 42.
§1396.4. Professional Identification.
Note     •     History

(a) When engaged in any professional psychological activity, whether for a fee or otherwise, a psychologist shall at all times and under all circumstances identify himself or herself as a psychologist.
(b) A psychological assistant shall at all times and under all circumstances identify himself or herself to patients or clients as a psychological assistant to his or her employer or responsible supervisor when engaged in any psychological activity in connection with that employment.
NOTE

Authority cited: Sections 2930 and 2936, Business and Professions Code. Reference: Sections 2913 and 2936, Business and Professions Code.
HISTORY

1. Renumbering of former Section 1397.8 to Section 1396.3 filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25). For prior history, see Registers 76, No. 52; and 73, No. 4.
§1396.5. Consumer Information.
Note     •     History

Licensed psychologists who provide services to a client in a language other than English shall:
(a) provide to the client as appropriate the translations of required or approved notices or publications made available by the board in that language;
(b) discuss with the client as appropriate the content of any required or approved notice or publication for those notices or publications not available in the language in which services are provided;
(3) post the Notice to Consumers pursuant to section 2936 of the Code, if made available by the board in that language.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Sections 728, 2930 and 2936, Business and Professions Code.
HISTORY

1. New section filed 2-28-2007; operative 3-30-2007 (Register 2007, No. 9).
§1397. Advertising.
Note     •     History

A licensed psychologist may advertise the provision of any services authorized to be provided by such license within the psychologist's field of competence in a manner authorized under Section 651 of the code, so long as such advertising does not promote the excessive or unnecessary use of such services.
NOTE

Authority cited: Sections 651, 2930 and 2936, Business and Professions Code. Reference: Sections 651, 2936 and 2960, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 1397.11 to Section 1397 filed 7-31-84; effective thirtieth day thereafter (Register 84, No. 31). For history of former Section 1397, see Register 83, No. 25.
§1397.1. Child Abuse Reporting Requirements.
Note     •     History

Failure to comply with the reporting requirements contained in Penal Code Section 11166 shall constitute unprofessional conduct.
NOTE

Authority cited: Sections 2930 and 2936, Business and Professions Code. Reference: Sections 2936 and 2960 (i), Business and Professions Code.
HISTORY

1. New section filed 4-6-88; operative 5-6-88 (Register 88, No. 17).
§1397.2. Effect of Violation. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2936, Business and Professions Code. Reference: Sections 2913, 2936, and 2960, Business and Professions Code.
HISTORY

1. New Article 8 (Sec. 1397.2 through 1397.7) filed 12-6-67 as an emergency; effective upon filing (Register 67, No. 49).
2. Certificate of Compliance--Section 11422.1, Government Code, filed 2-26-68 (Register 68, No. 9).
3. Amendment filed 12-22-76; effective thirtieth day thereafter (Register 76, No. 52).
4. Renumbering of Article 8 to Article 9, and amendment of Article title filed 4-26-79; effective thirtieth day thereafter (Register 79, No. 17).
5. Repealer of Article 9 heading and section filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1397.3. Competence. [Renumbered]
History

HISTORY

1. Amendment filed 12-22-76; effective thirtieth day thereafter (Register 76, No. 52).
2. Renumbering and amendment of Section 1397.3 to Section 1396 filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1397.4. Interpersonal Relations. [Renumbered]
History

HISTORY

1. Amendment filed 12-22-76; effective thirtieth day thereafter (Register 76, No. 52).
2. Renumbering and amendment of Section 1397.4 to Section 1396.1 filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1397.5. Misrepresentation. [Renumbered]
History

HISTORY

1. Amendment filed 2-26-68; effective thirtieth day thereafter (Register 68, No. 9).
2. Amendment filed 12-22-76; effective thirtieth day thereafter (Register 76, No. 52).
3. Renumbering of Section 1397.5 to Section 1396.2 filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1397.6. Confidentiality. [Repealed]
History

HISTORY

1. Amendment filed 12-22-76; effective thirtieth day thereafter (Register 76, No. 52).
2. Repealer filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1397.7. Test Security. [Renumbered]
History

HISTORY

1. Amendment filed 11-4-68; effective thirtieth day thereafter (Register 68, No. 42).
2. Renumbering and amendment of Section 1397.7 to Section 1393.3 filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1397.8. Professional Identification. [Renumbered]
History

HISTORY

1. New section filed 1-23-73; effective thirtieth day thereafter (Register 73, No. 4).
2. Amendment filed 12-22-76; effective thirtieth day thereafter (Register 76, No. 52).
3. Renumbering of Section 1397.8 to Section 1396.4 filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1397.9. Employment of Psychological Assistant. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code.
HISTORY

1. New section filed 1-23-73; effective thirtieth day thereafter (Register 73, No. 4).
2. Repealer filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1397.10. Unprofessional Conduct. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code.
HISTORY

1. New section filed 3-31-78; effective thirtieth day thereafter (Register 78, No. 13).
2. Repealer filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1397.11. Advertising. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 651, 2930 and 2936, Business and Professions Code. Reference: Sections 651, 651.3, 2936 and 2960, Business and Professions Code.
HISTORY

1. New section filed 2-28-80; effective thirtieth day thereafter (Register 80, No. 9).
2. Renumbering and amendment of Section 1397.11 to Section 1397 filed 7-31-84; effective thirtieth day thereafter (Register 84, No. 31).
§1397.12. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the administrative adjudication provisions of the Administrative Procedure Act (Government Code Section 11400 et seq.), the Board of Psychology shall consider the disciplinary guidelines entitled “Disciplinary Guidelines,” as amended 2/07” which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation is appropriate where the Board of Psychology in its sole discretion determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Section 2930, Business and Professions Code. Reference: Sections 2960, 2960.05, 2960.1, 2960.5, 2960.6, 2961, 2962, 2963, 2964, 2964.3, 2964.5, 2964.6, 2965, 2966 and 2969, Business and Professions Code; and Section 11425.50(e), Government Code.
HISTORY

1. New section filed 3-7-97; operative 4-6-97 (Register 97, No. 10).
2. Amendment filed 3-1-2000; operative 3-31-2000 (Register 2000, No. 9).  
3. Amendment of “Disciplinary Guidelines” (incorporated by reference) and amendment of section and Note filed 3-3-2003; operative 4-2-2003 (Register 2003, No. 10).
4. Amendment filed 12-5-2006 as an emergency; operative 1-4-2006 (Register 2006, No. 49).
5. Change without regulatory effect amending Disciplinary Guidelines (incorporated by reference) and amending section filed 2-8-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 6).
§1397.30. Citation.
Note     •     History

These regulations may be cited and referred to as the “Psychology Corporation Regulations.”
NOTE

Authority and reference cited: Sections 2930 and 2999, Business and Professions Code.
HISTORY

1. New Article 10 (Sections 1397.30-1397.41) filed 4-26-79; effective thirtieth day thereafter (Register 79, No. 17).
2. Repealer of Article 10 heading and amendment of section filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1397.31. Professional Relationships and Responsibilities Not Affected. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code.
HISTORY

1. Amendment filed 2-28-80; effective thirtieth day thereafter (Register 80, No. 9).
2. Repealer filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1397.32. Office for Filing. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code.
HISTORY

1. Repealer filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1397.33. Application. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code.
HISTORY

1. Repealer filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1397.34. Approval and Issuance of Certificates. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2930, Business and Professions Code.
HISTORY

1. Repealer filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1397.35. Requirements for Professional Corporations.
Note     •     History

A professional corporation shall comply with the following provisions:
(a) The corporation is organized and exists pursuant to the general corporation law and is a professional corporation within the meaning of the Moscone-Knox Professional Corporation Act (Part 4, Division 3, Title 1 of the Corporations Code).
(b) Each shareholder, director and officer (except as provided in Section 13403 of the Corporations Code and Section 2997 of the code) holds a valid psychology license; provided that, a licensed physician, podiatrist, marriage, family, and child counselor, licensed clinical social worker, chiropractor, optometrist or registered nurse may be a shareholder, director or officer of a psychology corporation so long as such licensees own no more than 49% of the total shares issued by the psychology corporation and the number of licensed physicians, podiatrists, marriage, family, and child counselors, licensed clinical social workers, chiropractors, optometrists or registered nurses owning shares in the psychology corporation does not exceed the number of psychologists owning shares in such a corporation. A psychologist may be a shareholder in more than one psychology corporation.
(c) Each professional employee of the applicant who will practice psychology, podiatry, medicine, marriage, family and child counseling, clinical social work, chiropractic, optometry or professional nursing, whether or not a shareholder, director or officer, holds a valid license.
NOTE

Authority cited: Sections 2930 and 2999, Business and Professions Code. Reference: Section 2995, Business and Professions Code; and Sections 13401, 13401.5, 13403, 13406 and 13407, Corporations Code.
HISTORY

1. Amendment of subsections (b) and (d) filed 2-28-80; effective thirtieth day thereafter (Register 80, No. 9).
2. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
3. Amendment of subsections (b) and (c) filed 3-13-97; operative 4-12-97 (Register 97, No. 11).
§1397.36. Namestyle. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 2930 and 2996.6, Business and Professions Code. Reference: Section 2995.8, Business and Professions Code. Section 13409, Corporations Code.
HISTORY

1. Repealer filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1397.37. Shares: Ownership and Transfer.
Note     •     History

(a) Where there are two or more shareholders in a psychology corporation and one of the shareholders:
(1) Dies; or
(2) Becomes a disqualified person as defined in Section 13401(d) of the Corporations Code, his or her shares shall be sold and transferred to the corporation, its shareholders or other eligible licensed persons on such terms as are agreed upon. Such sale or transfer shall not be later than six (6) months after any such death and ninety (90) days after the shareholder becomes a disqualified person. The requirements of this subsection shall be set forth in the psychology corporation's articles of incorporation or bylaws.
(b) A corporation and its shareholders may, but need not, agree that shares sold to it by a person who becomes a disqualified person may be resold to such person if and when he or she again becomes an eligible shareholder.
(c) The share certificates of a psychology corporation shall contain an appropriate legend setting forth the restrictions of subsection (a).
(d) Nothing in these regulations shall be construed to prohibit a psychology corporation from owning shares in a nonprofessional corporation.
NOTE

Authority cited: Sections 2930 and 2999, Business and Professions Code. Reference: Section 2999, Business and Professions Code; and Sections 13401, 13403, 13406 and 13407, Corporations Code.
HISTORY

1. Amendment of subsections (e) and (f) filed 2-28-80; effective thirtieth day thereafter (Register 80, No. 9).
2. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1397.38. Certificates of Registration: Continuing Validity and Reports. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 2930 and 2996.6, Business and Professions Code. Reference: Sections 2995.4 and 2995.6, Business and Professions Code.
HISTORY

1. Repealer filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1397.39. Corporate Activities.
Note     •     History

(a) A psychology corporation may perform any act authorized in its articles of incorporation or bylaws so long as that act is not in conflict with or prohibited by these rules, the Psychology Licensing Law, the Medical Practice Act, the Optometry Law or the Nursing Practice Act or the regulations adopted pursuant thereto.
(b) A psychology corporation may enter into partnership agreements with other psychologists practicing individually or in a group or with other psychology corporations.
NOTE

Authority cited: Sections 2930 and 2999, Business and Professions Code. Reference: Section 2996.6, Business and Professions Code; and Sections 13403, 13408 and 13410, Corporations Code.
HISTORY

1. Amendment of subsection (a) filed 2-28-80; effective thirtieth day thereafter (Register 80, No. 9).
2. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1397.40. Trusts.
Note     •     History

The restrictions on the ownership of the shares of psychology corporations shall apply to both the legal and equitable title to such shares.
NOTE

Authority cited: Sections 2930 and 2999, Business and Professions Code. Reference: Sections 13406 and 13407, Corporations Code.
HISTORY

1. Repealer of subsection (b) filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1397.41. Effect of Surrendered or Revoked Certificates; Probate. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2999, Business and Professions Code.
HISTORY

1. Repealer filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
Article 9. Citations and Fees
§1397.50. Citations and Fines.
Note     •     History

(a) For purposes of this article, “board official” shall mean the executive officer of the board or his or her representative.
(b) A board official is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and fines for violations by a licensed psychologist of the statutes referred to in section 1397.51.
(c) A citation shall be issued whenever any fine is levied or any order of abatement is issued. Each citation shall be in writing and shall describe with particularity the nature and facts of the violation, including a reference to the statute or regulations alleged to have been violated. The citation shall be served upon the individual personally or by certified mail, return receipt requested.
NOTE

Authority cited: Sections 125.9, 148 and 2930, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New article 9 (sections 1397.50-1397.55) and section filed 4-26-96; operative 5-26-96 (Register 96, No. 17).
§1397.51. Amount of Fines.
Note     •     History

The amount of any fine to be levied by a board official shall take into consideration the factors listed in subdivision (b)(3) of section 125.9 of the code and shall be within the range set forth below.
(a) A board official may issue a citation under section 1397.50 for a violation of the provisions listed in this section. The fine for a violation of the following code sections shall be from $100 to $2500:
(1) Business and Professions Code section 125
(2) Business and Professions Code section 125.6
(3) Business and Professions Code section 475(a)(1)
(4) Business and Professions Code section 490
(5) Business and Professions Code section 496
(6) Business and Professions Code section 580
(7) Business and Professions Code section 581
(8) Business and Professions Code section 582
(9) Business and Professions Code section 583
(10) Business and Professions Code section 584
(11) Business and Professions Code section 650
(12) Business and Professions Code section 651
(13) Business and Professions Code section 654.2
(14) Business and Professions Code section 702
(15) Business and Professions Code section 810
(16) Business and Professions Code section 2903
(17) Business and Professions Code section 2960(a)
(18) Business and Professions Code section 2960(c)
(19) Business and Professions Code section 2960(d)
(20) Business and Professions Code section 2960(f)
(21) Business and Professions Code section 2960(g)
(22) Business and Professions Code section 2960(h)
(23) Business and Professions Code section 2960(i)
(24) Business and Professions Code section 2960(k)
(25) Business and Professions Code section 2960(l)
(26) Business and Professions Code section 2960(m)
(27) Business and Professions Code section 2960(n)
(28) Business and Professions Code section 2960(p)
(29) Business and Professions Code section 2960(q)
(30) Business and Professions Code section 2960(r)
(31) Business and Professions Code section 2960.6
(32) Business and Professions Code section 17500
(33) Penal Code section 11166.5
(34) Business and Professions Code section 2913(c)
(35) Business and Professions Code section 2914(c)
(36) Business and Professions Code section 2915
(b) At his or her discretion, a board official may issue a citation with an order of abatement without levying a fine for the first violation of any provision set forth above.
(c) Notwithstanding the administrative fine amounts specified in this section, a citation may include a fine between $2,501 and $5,000 if one or more of the following circumstances apply:
(1) The citation involves a violation that has an immediate relationship to the health and safety of another person;
(2) The cited person has a history of two or more prior citations of the same or similar violations;
(3) The citation involves multiple violations that demonstrate a willful disregard of the law;
(4) The citation involves a violation or violations perpetrated against a child, elderly person or person with a disability.
NOTE

Authority cited: Sections 125.9, 148 and 2930, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 4-26-96; operative 5-26-96 (Register 96, No. 17).
2. New subsections (a)(34)-(36) filed 7-2-99; operative 8-1-99 (Register 99, No. 27).
3. New subsections (c)-(c)(4) filed 7-11-2005; operative 8-10-2005 (Register 2005, No. 28).
§1397.52. Compliance with Orders of Abatement.
Note     •     History

(a) If a cited person who has been issued an order of abatement is unable to complete the correction with the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, the person cited may request an extension of time in which to complete the correction from the board official who issued the citation. Such a request shall be in writing and shall be made within the time set forth for abatement.
(b) When an order of abatement is not contested or if the order is appealed and the person cited does not prevail, failure to abate the violation charged within the time allowed shall constitute a violation and failure to comply with the order of abatement. An order of abatement shall either be personally served or mailed by certified mail, return receipt requested. The time allowed for the abatement of a violation shall begin when the order of abatement is final and has been served or received. Such failure may result in disciplinary action being taken by the Board of Psychology or other appropriate judicial relief being taken against the person cited.
NOTE

Authority cited: Sections 125.9, 148 and 2930, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 4-26-96; operative 5-26-96 (Register 96, No. 17).
§1397.53. Citations for Unlicensed Practice.
Note     •     History

A board official is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and fines against persons, partnerships, corporations or associations who are performing or who have performed services for which licensure as a psychologist is required under the laws and regulations relating to the practice of psychology. Each citation issued shall contain an order of abatement. Where appropriate, a board official shall levy a fine for such unlicensed activity in accordance with subdivision (b)(3) of section 125.9 of the code. The provisions of section 1397.50 and 1397.52 shall apply to the issuance of citations for unlicensed activity under this subsection. The sanction authorized under this section shall be separate from and in addition to any other civil or criminal remedies. 
NOTE

Authority cited: Sections 125.9, 148 and 2930, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 4-26-96; operative 5-26-96 (Register 96, No. 17).
§1397.54. Contest of Citations.
Note     •     History

(a) In addition to requesting a hearing as provided for in subdivision (b)(4) of section 125.9 of the code, the person cited may, within ten (10) days after service or receipt of the citation, notify the board official who issued the citation in writing of his or her request for an informal conference with the board official regarding the acts charged in the citation. The time allowed for the request shall begin the first day after the citation has been served or received.
(b) The board official who issued the citation shall, within 30 days from the receipt of the request, hold an informal conference with the person cited and/or his or her legal counsel or authorized representative. At the conclusion of the informal conference the board official may affirm, modify or dismiss the citation, including any fine levied or order of abatement issued. The board official shall state in writing the reasons for his or her action and serve or mail a copy of his or her findings and decision to the person cited within ten (10) days from the date of the informal conference, as provided in subsection (b) of section 1397.52. This decision shall be deemed to be a final order with regard to the citation issued, including the fine levied and the order of abatement.
(c) The person cited does not waive his or her request for a hearing to contest a citation by requesting an informal conference after which the citation is affirmed by a board official. If the citation is dismissed after the informal conference, the request for a hearing on the matter of the citation shall be deemed to be withdrawn. If the citation, including any fine levied or order of abatement, is modified, the citation originally issued shall be considered withdrawn and new citation issued. If a hearing is requested for the subsequent citation it shall be requested within 30 days in accordance with subdivision (b)(4) of section 125.9 of the code.
NOTE

Authority cited: Sections 125.9, 148 and 2930, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 4-26-96; operative 5-26-96 (Register 96, No. 17).
§1397.55. Disconnection of Telephone Service.
Note     •     History

(a) If, upon investigation, the board official has probable cause to believe that an unlicensed person, who is not otherwise exempt from licensure, has advertised to provide psychological services in an alphabetical or classified directory in violation of section 2903 of the code, the board official may issue a citation containing an order of abatement pursuant to section 1397.50 of these regulations. The order of abatement shall require the unlicensed person to cease the unlawful advertising and to notify the telephone company furnishing services to the cited person to (1) disconnect the telephone services furnished to any telephone number contained in the unlawful advertising, and (2) that subsequent calls to that number shall not be referred by the telephone company to any new number obtained by that person. The cited person shall provide written evidence of compliance to the board official.
(b) If the person to whom a citation is issued under subdivision (a) submits a written request to the board official to appeal the citation, the board official shall afford an opportunity for a hearing, as provided in section 1397.54 of these regulations.
(c) If the person to whom the citation and order of abatement is issued fails to comply with the order of abatement after the order is final as provided in section 1398.54(b) of these regulations, the board official shall inform the Public Utilities Commission of the violation in accordance with Business and Professions Code section 149.
NOTE

Authority cited: Sections 125.9, 148 and 2930, Business and Professions Code. Reference: Sections 125.9, 148 and 149, Business and Professions Code.
HISTORY

1. New section filed 4-26-96; operative 5-26-96 (Register 96, No. 17).
Article 10. Continuing Education
§1397.60. Definitions. [Effective until January 1, 2013.]
Note     •     History

This section applies to a license that expires on or before December 31, 2012, and becomes inoperative on January 1, 2013.
As used in this article:
(a) An “accreditation agency” means an organization recognized by the board which evaluates and approves each provider of continuing education, evaluates and approves each course offering, and monitors the quality of the approved continuing education courses.
(b) A “provider” means an organization, institution, association, university, or other person or entity assuming full responsibility for the course offered, whose qualifications as a continuing education provider have been approved by a board recognized accreditation agency.
(c) A “course” or “presentation” means an approved systematic learning experience of at least one hour in length. One hour shall consist of 60 minutes of actual instruction. Courses or presentations less than one hour in duration shall not be approved.
(d) “Continuing education” means the variety of forms of learning experiences, including, but not limited to, lectures, conferences, seminars, workshops, grand rounds, in-service training programs, video conferencing, and independent learning technologies.
(e) A “conference” means a course consisting of multiple concurrent or sequential free-standing presentations. Approved presentations must meet all standards of an approved continuing education course.
(f) “Grand rounds” or “in-service training program” means a course consisting of sequential, free-standing presentations designed to meet the internal educational needs of the staff or members of an organization and is not marketed, advertised or promoted to professionals outside of the organization. Approved presentations must meet all standards of an approved continuing education course.
(g) “Independent learning” means the variety of forms of organized and directed learning experiences that occur when the instructor and the student are not in direct visual or auditory contact. These include, but are not limited to, courses delivered via the Internet, CD-ROM, satellite downlink, correspondence and home study. Self-initiated, independent study programs without an approved CE sponsor are not acceptable for continuing education. Except for qualified individuals with a disability who apply to and are approved by the board pursuant to section 1397.62(c), independent learning can be used to meet no more than 75% (27 hours) of the continuing education required in each renewal cycle. Independent learning courses must meet all standards of an approved continuing education course.
NOTE

Authority cited: Sections 2915(g) and 2930, Business and Professions Code. Reference: Sections 29 and 2915, Business and Professions Code.
HISTORY

1. New Article 10 (sections 1397.60-1397.69) and section filed 12-29-94; operative 12-29-94 pursuant to Government Code Section 11346.2(d) (Register 94, No. 52).
2. Amendment of subsections (c) and (d) filed 4-9-96; operative 5-9-96 (Register 96, No. 15).
3. Amendment of subsection (d), new subsections (e)-(g) and amendment of Note filed 11-24-99; operative 12-24-99 (Register 99, No. 48).
4. Amendment of subsection (g) filed 12-17-2004; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2004, No. 51).
5. Amendment of subsections (d) and (g) filed 11-16-2006; operative 12-16-2006 (Register 2006, No. 46).
6. Amendment of section heading and new first paragraph adding sunset provisions filed 2-16-2012; operative 3-17-2013 (Register 2012, No. 7).
§1397.60. Definitions. [Effective January 1, 2013.]
Note     •     History

This section shall be applicable to a license that expires on or after, or is reinstated or issued on or after, January 1, 2013.
As used in this article:
(a) “Conference” means a course consisting of multiple concurrent or sequential free-standing presentations. Acceptable presentations must meet the requirements of section 1397.61(c).
(b) “Continuing education” means the variety of forms of learning experiences, including, but not limited to, lectures, conferences, seminars, workshops, grand rounds, in-service training programs, video conferencing, and independent learning technologies.
(c) “Course” or “presentation” means an approved systematic learning experience of at least one hour in length. One hour shall consist of 60 minutes of actual instruction. Courses or presentations less than one hour in duration shall not be acceptable.
(d) “Grand rounds” or “in-service training program” means a course consisting of sequential, free-standing presentations designed to meet the internal educational needs of the staff or members of an organization and is not marketed, advertised or promoted to professionals outside of the organization. Acceptable presentations must meet the requirements of section 1397.61(c).
(e) “Independent learning” means the variety of forms of organized and directed learning experiences that occur when the instructor and the student are not in direct visual or auditory contact. These include, but are not limited to, courses delivered via the Internet, CD-ROM, satellite downlink, correspondence and home study. Self-initiated, independent study programs that do not meet the requirements of section 1397.61(c) are not acceptable for continuing education. Except for qualified individuals with a disability who apply to and are approved by the Board pursuant to section 1397.62(c), independent learning can be used to meet no more than 75% (27 hours) of the continuing education required in each renewal cycle. Independent learning courses must meet the requirements of section 1397.61(c).
(f) “Provider” means an organization, institution, association, university, or other person or entity assuming full responsibility for the course offered, whose courses are accepted for credit pursuant to section 1397.61(c)(1).
NOTE

Authority cited: Sections 2915(g) and 2930, Business and Professions Code. Reference: Sections 29 and 2915, Business and Professions Code. 
HISTORY

1. New section filed 2-16-2012; operative 1-1-2013, at which time the previous version of section 1397.60 is inoperative (Register 2012, No. 7).
§1397.61. Continuing Education Requirements. [Effective until January 1, 2013.]
Note     •     History

This section applies to a license that expires on or before December 31, 2012, and becomes inoperative on January 1, 2013.
(a) Except as provided in section 2915(e) of the Business and Professions Code and section 1397.62 of these regulations, each licensed psychologist shall submit with the application for license renewal proof satisfactory to the board that he or she has completed the continuing education requirements set forth in section 2915 of the code. A licensee who renews his or her license for the first time after the initial issuance of the license is only required to accrue continuing education for the number of months that the license was in effect, including the month the license was issued, at the rate of 1.5 hours of approved continuing education per month. Continuing education earned via independent learning pursuant to section 1397.60(g) shall be accrued at no more than 75% of the continuing education required for the first time renewal. The required hours of continuing education may not be accrued prior to the effective date of the initial issuance of the license. A licensee who falsifies or makes a material misrepresentation of fact on a renewal application or who cannot verify completion of continuing education by producing verification of attendance certificates, whenever requested to do so by the board, is subject to disciplinary action under section 2960 of the code.
(b) Any person renewing or reactivating his or her license shall certify under penalty of perjury to the Board of Psychology as requested on the application for license renewal, that he or she has obtained training in the subject of laws and ethics as they apply to the practice of psychology in California. The training shall include recent changes/updates on the laws and regulations related to the practice of psychology; recent changes/updates in the Ethical Principles of Psychologists and Code of Conduct published by the American Psychological Association; accepted standards of practice; and other applications of laws and ethics as they affect the licensee's ability to practice psychology with safety to the public. Training pursuant to this section may be obtained in one or more of the following ways:
(1) Formal coursework in laws and ethics taken from an accredited educational institution;
(2) Approved continuing education course in laws and ethics;
(3) Workshops in laws and ethics;
(4) Other experience which provide direction and education in laws and ethics including, but not limited to, grand rounds or professional association presentation.
If the licensee chooses to apply a specific continuing education course on the topic of laws and ethics to meet the foregoing requirement, such a course must meet the content requirements named above, must comply with section 1397.60(c) of this Article, and may be applied to the 36 hours of approved continuing education required in Business and Professions Code section 2915(a).
(c) Those licensees who began graduate training prior to January 1, 2004, shall, prior to his or her first license renewal after January 1, 2004, take continuing education instruction in spousal or partner abuse assessment, detection, and intervention strategies, including community resources, cultural factors, and same gender abuse dynamics. Such course shall be taken within the two years prior to the licensee's renewal date and shall be no less than one (1) hour in length. This is a one-time only continuing education requirement.
(d) Those licensees who began graduate training prior to January 1, 2004, shall, prior to his or her first license renewal after January 1, 2005, take continuing education instruction in the biological, social, and psychological aspects of aging and long-term care. Such course shall be taken within the two years prior to the licensee's renewal date and shall be no less than three (3) hours in length. This is a one-time only continuing education requirement.
(e) Licensees are encouraged to participate in periodic training in subject matter for which the Legislature or the board finds cause, including but not limited to: geriatric pharmacology; the characteristics and methods of assessment and treatment of HIV disease; and issues of human diversity.
(f) This subsection shall become effective on January 1, 2006.
(1) The Board of Psychology recognizes and accepts for continuing education credit courses that are:
(A) provided by American Psychological Association (APA) approved sponsors;
(B) Continuing Medical Education (CME) courses specifically applicable and pertinent to the practice of psychology and that are accredited by the California Medical Association (CMA) or the Accreditation Council for Continuing Medical Education (ACCME);
(C) sponsored by the Academies of the specialty boards of the American Board of Professional Psychology (ABPP).
(2) The board may recognize other entities to perform an accrediting function if the entity:
(A) Has had at least 10 years experience managing continuing education programs for psychologists on a statewide basis, including, but not limited to:
(i) Maintaining and managing records and data related to continuing education programs.
(ii) Monitoring and approving courses.
(B) Has a means to avoid a conflict of interest between any provider and accreditation functions.
(C) Submits a detailed plan of procedures for monitoring and approving the provider functions. The plan must demonstrate that it has the capacity to evaluate each course, including provisions requiring the following:
(i) Topics and subject matter shall be pertinent to the practice of psychology. Courses predominantly focused on business issues, marketing, or exploring opportunities for personal growth are not eligible for credit. Course material must have a relevance or direct application to a consumer of psychological services.
(ii) Each continuing education course shall have written educational goals and specific learning objectives which are measurable and which serve as a basis for an evaluation of the effectiveness of the course.
(iii) Instructors shall be competent in the subject matter of the course and shall be qualified by education, training, experience, scope of practice and licensure.
(iv) Each continuing education course shall have a syllabus which provides a general outline of the course.
(v) When an approved provider works with others on the development, distribution and/or presentation of a continuing education course (joint sponsorship), there shall be procedures to identify and document the functions of each participating party.
(vi) An evaluation mechanism shall be completed by each participant to evaluate the continuing education course.
(vii) Respond to complaints from the board concerning its activities.
(viii) The entity agency shall provide services to all licensees without discrimination.
(D) An entity must submit, in writing, evidence that it meets the qualifications in this subdivision.
(E) Upon written confirmation from the board that the entity has been recognized, the entity may advertise that it has been recognized by the board.
(3) Any licensee who receives approved continuing education course credit hours pursuant to this section shall submit verification of course completion and the participant report recording fee specified in section 1397.69 to a board recognized accrediting agency.
(g) Failure of the entity to substantially comply with the provisions as set forth in subsection (f) shall constitute cause for revocation of recognition by the board. Recognition can be revoked only by a formal board action, after notice and hearing, and for good cause.
NOTE

Authority cited: Sections 2915(g) and 2930, Business and Professions Code. Reference: Sections 29, 2915 and 2915.7, Business and Professions Code.
HISTORY

1. New section filed 12-29-94; operative 12-29-94 pursuant to Government Code Section 11346.2(d) (Register 94, No. 52).
2. Amendment of subsections (b) and (d), new subsections (e)-(f) and amendment of Note filed 4-9-96; operative 5-9-96 (Register 96, No. 15).
3. Amendment of subsection (b), new subsection (c), subsection relettering, and amendment of newly designated subsections (e) and (g) filed 4-30-98; operative 5-30-98 (Register 98, No. 18).
4. Repealer of subsection (g) filed 11-24-99; operative 12-24-99 (Register 99, No. 48).
5. Amendment of subsection (a), repealer of subsections (b) and (e), subsection relettering and new subsections (d)-(e) filed 12-18-2001; operative 1-1-2002 pursuant to Government Code section 11343.4 (Register 2001, No. 51).
6. Amendment of subsections (d)-(f) and new subsections (g)-(h) filed 9-2-2003; operative 10-2-2003 (Register 2003, No. 36).
7. Amendment of section and Note filed 9-24-2004; operative 10-24-2004 (Register 2004, No. 39).
8. Amendment of subsection (a) filed 11-21-2005; operative 12-21-2005 (Register 2005, No. 47).
9. Amendment of subsections (f)-(f)(3) filed 11-29-2005; operative 1-1-2006 (Register 2005, No. 48).
10. Amendment of subsection (a) filed 11-16-2006; operative 12-16-2006 (Register 2006, No. 46).
11. Amendment of subsection (b) and new subsections (b)(1)-(4) filed 12-20-2006; operative 1-19-2007 (Register 2006, No. 51).
12. Amendment of section heading and new first paragraph adding sunset provisions filed 2-16-2012; operative 3-17-2013 (Register 2012, No. 7).
§1397.61. Continuing Education Requirements. [Effective January 1, 2013.]
Note     •     History

This section shall be applicable to a license that expires on or after, or is reinstated or issued on or after, January 1, 2013.
(a) Except as provided in section 2915(e) of the Business and Professions Code and section 1397.62 of these regulations, each licensed psychologist shall certify on the application for license renewal that he or she has completed the continuing education requirements set forth in section 2915 of the Code. A licensee who renews his or her license for the first time after the initial issuance of the license is only required to accrue continuing education for the number of months that the license was in effect, including the month the license was issued, at the rate of 1.5 hours of approved continuing education per month. Continuing education earned via independent learning pursuant to section 1397.60(e) shall be accrued at no more than 75% of the continuing education required for the first time renewal. The required hours of continuing education may not be accrued prior to the effective date of the initial issuance of the license. A licensee who falsifies or makes a material misrepresentation of fact on a renewal application or who cannot verify completion of continuing education by producing verification of attendance certificates, whenever requested to do so by the Board, is subject to disciplinary action under section 2960 of the Code.
(b) Any person renewing or reactivating his or her license shall certify under penalty of perjury to the Board of Psychology as requested on the application for license renewal, that he or she has obtained training in the subject of laws and ethics as they apply to the practice of psychology in California. The training shall include recent changes/updates on the laws and regulations related to the practice of psychology; recent changes/updates in the Ethical Principles of Psychologists and Code of Conduct published by the American Psychological Association; accepted standards of practice; and other applications of laws and ethics as they affect the licensee's ability to practice psychology with safety to the public. Training pursuant to this section may be obtained in one or more of the following ways:
(1) Formal coursework in laws and ethics taken from an accredited educational institution;
(2) Approved continuing education course in laws and ethics;
(3) Workshops in laws and ethics;
(4) Other experience which provide direction and education in laws and ethics including, but not limited to, grand rounds or professional association presentation.
If the licensee chooses to apply a specific continuing education course on the topic of laws and ethics to meet the foregoing requirement, such a course must meet the content requirements named above, must comply with section 1397.60(c), and may be applied to the 36 hours of approved continuing education required in Business and Professions Code section 2915(a).
(c) The Board recognizes and accepts for continuing education credit courses pursuant to this section. A licensee will earn one hour continuing education credit for each hour of approved instruction.
(1) Continuing education courses shall be:
(A) provided by American Psychological Association (APA), or its approved sponsors;
(B) Continuing Medical Education (CME) courses specifically applicable and pertinent to the practice of psychology and that are accredited by the California Medical Association (CMA) or the Accreditation Council for Continuing Medical Education (ACCME); or
(C) provided by the California Psychological Association, or its approved sponsors.
(D) approved by an accrediting agency for continuing education courses taken prior to January 1, 2013, pursuant to this section as it existed prior to January 1, 2013. 
(2) Topics and subject matter for all continuing education shall be pertinent to the practice of psychology. Course or learning material must have a relevance or direct application to a consumer of psychological services.
(3) No course may be taken and claimed more than once during a renewal period, nor during any twelve (12) month period, for continuing education credit.
(4) An instructor may claim the course for his/her own credit only one time that he/she teaches the acceptable course during a renewal cycle, or during any twelve (12) month period, receiving the same credit hours as the participant.
(d) Examination Functions. A licensee who serves the Board as a selected participant in any examination development related function will receive one hour of continuing education credit for each hour served. Selected Board experts will receive one hour of continuing education credit for each hour attending Board sponsored Expert Training Seminars. A licensee who receives approved continuing education credit as set forth in this paragraph shall maintain a record of hours served for submission to the Board pursuant to section 1397.61(e).
(e) A licensee shall maintain documentation of completion of continuing education requirements for four (4) years following the renewal period, and shall submit verification of completion to the Board upon request. Documentation shall contain the minimum information for review by the Board: name of provider and evidence that provider meets the requirements of section 1397.61(c)(1); topic and subject matter; number of hours or units; and a syllabus or course description. The Board shall make the final determination as to whether the continuing education submitted for credit meets the requirements of this article.
(f) Failure to provide all of the information required by this section renders any application for renewal incomplete and not eligible for renewal.
NOTE

Authority cited: Sections 2915(g) and 2930, Business and Professions Code. Reference: Sections 29, 32, 2915 and 2915.7, Business and Professions Code.
HISTORY

1. New section filed 2-16-2012; operative 1-1-2013, at which time the previous version of section 1397.61 is inoperative (Register 2012, No. 7).
§1397.62. Continuing Education Exemptions and Exceptions. [Effective until January 1, 2013.]
Note     •     History

This section applies to a license that expires on or before December 31, 2012, and becomes inoperative on January 1, 2013.
At the time of making application for renewal of a license, a psychologist may as provided in this section request an exemption or an exception from all or part of the continuing education requirements. 
(a) The board shall grant an exemption only if the psychologist verifies in writing that, during the two year period immediately prior to the expiration date of the license, he or she:
(1) Has been residing in another country or state for at least one year reasonably preventing completion of the continuing education requirements; or
(2) Has been engaged in active military service; or
(3) Has been prevented from completing the continuing education requirements for reasons of health or other good cause which includes:
(A) Total physical and/or mental disability of the psychologist for at least one year; or
(B) Total physical and/or mental disability of an immediate family member for at least one year where the psychologist has total responsibility for the care of that family member.
Verification of a physical disability under subsection (a)(3) shall be by a licensed physician and surgeon or, in the case of a mental disability, by a licensed psychologist or a board certified or board eligible psychiatrist.
(b) An exception to the requirements of Business and Professions Code section 2915(d) may be granted to licensed psychologists who are not engaged in the direct delivery of mental health services for whom there is an absence of available continuing education courses relevant to their specific area of practice.
(1) An exception granted pursuant to this subsection means that the board will accept continuing education courses that are not approved pursuant to sections 1397.61(d), (e), (f) provided that they are directly related to the licensee's specific area of practice and offered by recognized professional organizations. The board will review the licensee's area of practice, the subject matter of the course, and the provider on a case-by-case basis. This exception does not mean the licensee is exempt from completing the continuing education required by Business and Professions Code section 2915 and this article.
(2) Licensees seeking this exception shall provide all necessary information to enable the board to determine the lack of available approved continuing education and the relevance of each course to the continuing competence of the licensee. Such a request shall be submitted in writing and must include a clear statement as to the relevance of the course to the practice of psychology and the following information:
(A) Information describing, in detail, the depth and breadth of the content covered (e.g., a course syllabus and the goals and objectives of the course), particularly as it relates to the practice of psychology.
(B) Information that shows the course instructor's qualifications to teach the content being taught (e.g., his or her education, training, experience, scope of practice, licenses held and length of experience and expertise in the relevant subject matter), particularly as it relates to the practice of psychology.
(C) Information that shows the course provider's qualifications to offer the type of course being offered (e.g., the provider's background, history, experience and similar courses previously offered by the provider), particularly as it relates to the practice of psychology.
(3) This subsection does not apply to licensees engaged in the direct delivery of mental health services.
(c) Psychologists requiring reasonable accommodation according to the Americans with Disabilities Act may be granted an exemption from the on-site participation requirement and may substitute all or part of their continuing education requirement with an American Psychological Association or accreditation agency approved independent learning continuing education program. A qualified individual with a disability must apply to the board to receive this exemption.
(d) Any licensee who submits a request for an exemption or exception which is denied by the board shall complete any continuing education requirements within 120 days of the notification that the request was denied.
NOTE

Authority cited: Sections 2915(g) and 2930, Business and Professions Code. Reference: Section 2915, Business and Professions Code.
HISTORY

1. New section filed 12-29-94; operative 12-29-94 pursuant to Government Code Section 11346.2(d) (Register 94, No. 52).
2. Amendment of subsection (a) filed 4-30-98; operative 5-30-98 (Register 98, No. 18).
3. Amendment of subsection (e) filed 11-24-99; operative 12-24-99 (Register 99, No. 48).
4. Amendment of section heading and section filed 7-21-2003; operative 8-20-2003 (Register 2003, No. 30).
5. Amendment of subsection (a)(2) filed 12-10-2004; operative 1-9-2005 (Register 2004, No. 50).
6. Amendment of subsection (c) filed 11-16-2006; operative 12-16-2006 (Register 2006, No. 46).
7. Amendment of section heading and new first paragraph adding sunset provisions filed 2-16-2012; operative 3-17-2013 (Register 2012, No. 7).
§1397.62. Continuing Education Exemptions and Exceptions.  [Effective January 1, 2013.]
Note     •     History

This section shall be applicable to a license that expires on or after, or is reinstated or issued on or after, January 1, 2013.
At the time of making application for renewal of a license, a psychologist may as provided in this section request an exemption or an exception from all or part of the continuing education requirements.
(a) The Board shall grant an exemption only if the psychologist verifies in writing that, during the two year period immediately prior to the expiration date of the license, he or she:
(1) Has been engaged in active military service reasonably preventing completion of the continuing education requirements, except that a licensee granted an exemption pursuant to this section shall still be required to fulfill the laws and ethics requirement set forth in section 1397.61(b); or
(2) Has been prevented from completing the continuing education requirements for reasons of health or other good cause which includes:
(A) Total physical and/or mental disability of the psychologist for at least one year; or
(B) Total physical and/or mental disability of an immediate family member for at least one year where the psychologist has total responsibility for the care of that family member.
Verification of a physical disability under subsection (a)(2) shall be by a licensed physician and surgeon or, in the case of a mental disability, by a licensed psychologist or a board certified or board eligible psychiatrist.
(b) An exception to the requirements of Business and Professions Code section 2915(d) may be granted to licensed psychologists who are not engaged in the direct delivery of mental health services for whom there is an absence of available continuing education courses relevant to their specific area of practice.
(1) An exception granted pursuant to this subsection means that the Board will accept continuing education courses that are not acceptable pursuant to section 1397.61(c) provided that they are directly related to the licensee's specific area of practice and offered by recognized professional organizations. The Board will review the licensee's area of practice, the subject matter of the course, and the provider on a case-by-case basis. This exception does not mean the licensee is exempt from completing the continuing education required by Business and Professions Code section 2915 and this article.
(2) Licensees seeking this exception shall provide all necessary information to enable the Board to determine the lack of available approved continuing education and the relevance of each course to the continuing competence of the licensee. Such a request shall be submitted in writing and must include a clear statement as to the relevance of the course to the practice of psychology and the following information:
(A) Information describing, in detail, the depth and breadth of the content covered (e.g., a course syllabus and the goals and objectives of the course), particularly as it relates to the practice of psychology.
(B) Information that shows the course instructor's qualifications to teach the content being taught (e.g., his or her education, training, experience, scope of practice, licenses held and length of experience and expertise in the relevant subject matter), particularly as it relates to the practice of psychology.
(C) Information that shows the course provider's qualifications to offer the type of course being offered (e.g., the provider's background, history, experience and similar courses previously offered by the provider), particularly as it relates to the practice of psychology.
(3) This subsection does not apply to licensees engaged in the direct delivery of mental health services.
(c) Psychologists requiring reasonable accommodation according to the Americans with Disabilities Act may be granted an exemption from the on-site participation requirement and may substitute all or part of their continuing education requirement with an American Psychological Association or accreditation agency approved independent learning continuing education program. A qualified individual with a disability must apply to the Board to receive this exemption.
(d) Any licensee who submits a request for an exemption or exception that is denied by the Board shall complete any continuing education requirements within 120 days of the notification that the request was denied.
NOTE

Authority cited: Sections 2915(g) and 2930, Business and Professions Code. Reference: Section 2915, Business and Professions Code.
HISTORY

1. New section filed 2-16-2012; operative 1-1-2013, at which time the previous version of section 1397.62 is inoperative (Register 2012, No. 7).
§1397.63. Hour Value System.
Note     •     History

This section applies to a license that expires on or before December 31, 2012, and becomes inoperative on January 1, 2013.
(a) Licensees will earn one hour continuing education credit for each hour of approved instruction. One 3-unit academic quarter is equal to 10 hours of continuing education credit and one 3-unit academic semester is equal to 15 hours of continuing education credit.
(b)(1) Licensees who serve the Board of Psychology as selected participants in any examination development related function will receive one hour of continuing education credit for each hour served. Selected board experts will receive one hour of continuing education credit for each hour attending Board of Psychology sponsored Expert Training Seminars. Any licensee who receives approved continuing education credit as set forth in subsection (b)(1) shall have his/her credit reported by the board to the board recognized accrediting agency.
(2) Licensees who serve as examiners for the Academies of the specialty boards of the American Board of Professional Psychology (ABPP) will receive one hour of continuing education credit for each hour served, not to exceed fours hours each two year renewal period. Any licensee who receives continuing education credit as set forth in subsection (b)(2) shall submit verification and the course attendee fee specified in section 1397.68 to the board recognized accreditation agency.
(c) An approved instructor may claim the course for his/her own credit only one time that he/she teaches the approved course during a renewal cycle, receiving the same credit hours as the participant.
(d) No course may be taken and claimed more than once during a renewal period for continuing education credit.
NOTE

Authority cited: Sections 2915(g) and 2930, Business and Professions Code. Reference: Section 2915, Business and Professions Code.
HISTORY

1. New section filed 12-29-94; operative 12-29-94 pursuant to Government Code Section 11346.2(d) (Register 94, No. 52).
2. Amendment of subsection (b) filed 4-9-96; operative 5-9-96 (Register 96, No. 15).
3. Redesignation and amendment of former subsection (b) as new subsection (b)(1) and new subsection (b)(2) filed 4-30-98; operative 5-30-98 (Register 98, No. 18).
4. Amendment of subsection (c) filed 11-24-99; operative 12-24-99 (Register 99, No. 48).
5. Amendment of subsection (b)(1) filed 4-5-2001; operative 5-5-2001 (Register 2001, No. 14).
6. Amendment of subsection (b)(1) filed 12-19-2001 as an emergency; operative 1-1-2002 (Register 2001, No. 51). A Certificate of Compliance must be transmitted to OAL by 5-1-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 12-19-2001 order transmitted to OAL 1-8-2002 and filed 2-20-2002 (Register 2002, No. 8).
8. New first paragraph adding sunset provisions filed 2-16-2012; operative 3-17-2012 (Register 2012, No. 7).
§1397.64. Accreditation Agencies.
Note     •     History

This section applies to a license that expires on or before December 31, 2012, and becomes inoperative on January 1, 2013.
(a) Upon written application to the board, continuing education accreditation agencies will be recognized if the board determines that the organization meets the criteria set forth in section 2915(f) of the code and:
(1) the organization submits a plan demonstrating that it has the capacity to evaluate each continuing education provider's course in accordance with the following criteria:
(A) Topics and subject matter shall be pertinent to the practice of psychology. Courses predominantly focused on business issues, or marketing, or that are predominantly designed to explore opportunities for personal growth are not eligible for credit. Course material must have a relevance or direct application to a consumer of psychological services.
(B) Each continuing education course shall have written educational goals and specific learning objectives which are measurable and which serve as a basis for an evaluation of the effectiveness of the course.
(C) Instructors shall be competent in the subject matter of the course and shall be qualified by education, training, experience, scope of practice and licensure.
(D) Each continuing education course shall have a syllabus which provides a general outline of the course.
(E) When an approved provider works with others on the development, distribution and/or presentation of a continuing education course (joint sponsorship), there shall be procedures to identify and document the functions of each participating party.
(F) An evaluation mechanism shall be completed by each participant to evaluate the continuing education course.
(2) The accreditation agency agrees to perform the following:
(A) Maintain a list of the names and addresses of the persons designated as responsible for the provider's continuing education courses and records. The accreditation agency shall require that any change in the designated responsible person's identity shall be reported to the agency within 30 days of the effective date of such change.
(B) Notify the board of names, addresses and responsible party of each provider and each course on a quarterly basis. Provide without charge to any licensee who makes a request, a current list of providers and approved courses.
(C) Verify attendance of licentiates at specific courses by maintaining a record of approved continuing education courses completed by licensees. The record must include the licensees' name and license number, and all agency approved continuing education courses successfully completed by each licensee. In addition, and for an activity reporting fee paid by the licensee and on forms acceptable to the agency (see form No. 07M-BOP-15(New 10/94)), incorporate into licensee's record all non-agency approved continuing education courses as defined in sections 1397.61 and 1397.63 of these regulations. The accreditation agency shall provide a copy of this combined record to the board upon request. The records must be retrievable by license number.
(D) Respond to complaints from the board concerning activities of any of its approved providers or their course(s). Respond to complaints and inquiries regarding providers, courses, and general continuing education questions presented by any licensee. The accreditation agency shall provide services to all licensees without discrimination.
(E) Audit at least 10% of the continuing education courses approved by the agency, for compliance with the agency's requirements and requirements of the board, and on request, report the findings of such audits to the board.
(F) Take such action as is necessary to assure that the continuing education course material offered by its providers meets the continuing education requirements of the board as defined in sections 1397.64(a)(1) and 1397.65 of these regulations.
(G) Establish a procedure for reconsideration of its decision that a provider or a provider's course does not meet statutory or regulatory criteria.
(b) Failure of a recognized accreditation agency to substantially comply with the provisions as set forth in this article shall constitute cause for revocation of recognition by the board. Recognition can be revoked only by a formal board action, after notice and hearing, and for good cause.
NOTE

Authority cited: Sections 2915(g) and 2930, Business and Professions Code. Reference: Section 2915, Business and Professions Code.
HISTORY

1. New section filed 12-29-94; operative 12-29-94 pursuant to Government Code Section 11346.2(d) (Register 94, No. 52).
2. Amendment of subsections (a)(2)(B) and (a)(2)(D) filed 4-9-96; operative 5-9-96 (Register 96, No. 15).
3. Amendment of subsection (a)(1)(A) filed 11-24-99; operative 12-24-99 (Register 99, No. 48).
4. Amendment of subsection (a)(1)(A) filed 12-18-2001; operative 1-1-2002 pursuant to Government Code section 11343.4 (Register 2001, No. 51).
5. Change without regulatory effect amending subsection (a)(2)(F) filed 4-7-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 15).
6. New first paragraph adding sunset provisions filed 2-16-2012; operative 3-17-2012 (Register 2012, No. 7).
§1397.65. Requirements for Approved Providers.
Note     •     History

This section applies to a license that expires on or before December 31, 2012, and becomes inoperative on January 1, 2013.
(a) Providers of continuing education courses in psychology shall apply to a board recognized accreditation agency for approval as a provider, and for approval of each course, prior to offering any such courses.
(b)(1) Upon satisfactory completion of the provider requirements of the accreditation agency, including payment of the appropriate fees and receipt of written approval therefrom, a continuing education provider may represent itself as a California approved provider of continuing education courses for psychologists for one year.
(2) Upon presentation of satisfactory evidence, organizations approved by the American Psychological Association (APA) as Sponsors of Continuing Education for Psychologists will be recognized as California approved providers of continuing education courses for psychologists during the duration of their APA approval, and shall be exempt from the annual continuing education provider fee described in section 1397.68. Such APA providers shall be held to all other requirements of California approved providers of continuing education for psychologists except for the individual course review requirement.
(c) The provider is responsible for assuring the educational quality of its course material. All continuing education course material shall meet the standards set forth in section 1397.64(a)(1) of these regulations and shall be:
(1) approved in advance by an accreditation agency (except for those courses offered by providers defined in section 1397.61(d), (e) and (f));
(2) specifically applicable and pertinent to the practice of psychology;
(3) accurate and timely;
(4) presented in an organized manner conducive to the learning process;
(5) complete and objective, and not reflecting predominantly any commercial views of the provider or presenter or of anyone giving financial assistance to the provider or presenter;
(6) based on stated educational goals and objectives; and
(7) accompanied by a syllabus which contains, at a minimum, the instructional objectives for each course and a summary containing the main points of each topic.
(d) All providers shall furnish a list of course participants, with the accompanying course attendee fee as required in section 1397.68, to the accreditation agency, and verification of attendance certificates to all participants within 45 days of course completion. The list and the certificate shall contain the name of the licensee and license number, name and number of the provider, title of the course, number of completed hours, date of completion, course number, if applicable, and the name of the accreditation agency.
(e) Every approved provider shall apply to the accreditation agency, on forms approved by the board (see form No. 07M-BOP-14(New 10/94)), at least 30 days in advance, for each continuing education course offered or presented, whether for the first time or repeated. 
(f) The approved provider shall be required to maintain attendance records for three (3) years for each continuing education course. Acceptable documentation of participation shall include attendance rosters, sign-in and sign-out sheets, and completed course evaluation forms.
(g) The approved provider's course shall be valid for up to one year following the initial approval provided a notification and activity registration fee is submitted to the accreditation agency at least 30 days in advance for each time the course is offered or presented.
(h) The approved provider's advertisements for approved courses shall clearly indicate the provider's name, course title, course approval number, the number of credit hours, and the name of the accrediting agency.
(i) The approved provider shall have a written policy, available upon request, which provides information on:
1. refunds in case of non-attendance
2. time period for return of fees
3. notification if course is canceled.
(j) Providers may not grant partial credit for continuing education courses. However, conferences, in-service training programs and grand rounds consisting of a series of presentations may obtain approval for the entire conference, in-service training program or grand round as one course wherein credit may be granted to participants separately for each individual presentation in such courses.
(k) Provider approval is non-transferable. Approved providers shall inform the accrediting agency in writing within 30 days of any changes in organizational structure and/or person(s) responsible for continuing education program, including name and address changes.
(l) Providers are responsible for meeting all applicable local, state and federal standards which include, but are not limited to, the Americans with Disabilities Act.
(m) Providers may obtain approval for grand rounds activities for an entire year with one application provided the staff person responsible for grand rounds submits to the accreditation agency a general descriptive outline of grand rounds activities for the year. This outline shall be of sufficient detail regarding content to be covered in the weekly grand rounds activities to allow the accreditation agency to determine whether the activities are appropriate for continuing education credit for licensed psychologists.
NOTE

Authority cited: Sections 2915(g) and 2930, Business and Professions Code. Reference: Section 2915, Business and Professions Code.
HISTORY

1. New section filed 12-29-94; operative 12-29-94 pursuant to Government Code Section 11346.2(d) (Register 94, No. 52).
2. Amendment of subsections (d) and (j) and new subsection (m) filed 4-9-96; operative 5-9-96 (Register 96, No. 15).
3. Redesignation and amendment of former subsection (b) as new subsection (b)(1), new subsection (b)(2) and amendment of subsection (h) filed 4-30-98; operative 5-30-98 (Register 98, No. 18).
4. Amendment of subsection (c)(8) filed 11-24-99; operative 12-24-99 (Register 99, No. 48).
5. Amendment of subsections (b)(2), (c)(1) and (c)(6)-(7) and repealer of subsection (c)(8) filed 12-18-2001; operative 1-1-2002 pursuant to Government Code section 11343.4 (Register 2001, No. 51).
6. New first paragraph adding sunset provisions filed 2-16-2012; operative 3-17-2012 (Register 2012, No. 7).
§1397.66. Provider Audit Requirements.
Note     •     History

This section applies to a license that expires on or before December 31, 2012, and becomes inoperative on January 1, 2013.
Upon written request from the accreditation agency or the board, relating to an audit of course material, each approved provider shall submit such materials as are required by the accreditation agency or the board.
NOTE

Authority cited: Sections 2915(g) and 2930, Business and Professions Code. Reference: Section 2915, Business and Professions Code.
HISTORY

1. New section filed 12-29-94; operative 12-29-94 pursuant to Government Code Section 11346.2(d) (Register 94, No. 52).
2. Amendment filed 4-9-96; operative 5-9-96 (Register 96, No. 15).
3. New first paragraph adding sunset provisions filed 2-16-2012; operative 3-17-2012 (Register 2012, No. 7).
§1397.67. Renewal After Inactive or Delinquent Status. [Effective until January 1, 2013.]
Note     •     History

This section applies to a license that expires on or before December 31, 2012, and becomes inoperative on January 1, 2013.
(a) To activate licenses which have been placed on inactive status pursuant to section 2988 of the code, the licensee must submit evidence of completion of the requisite 36 hours of qualifying continuing education courses for the two-year period prior to establishing the license as active.
(b) For the renewal of a delinquent psychologist license within three years of the date of expiration, the applicant for renewal shall provide documentation of completion of the required hours of continuing education.
After a license has been delinquent for three years, the license is automatically cancelled and the applicant must submit a complete licensing application, meet all current licensing requirements, and successfully pass the licensing examination just as for the initial licensing application unless the board grants a waiver of the examination pursuant to section 2946 of the code.
NOTE

Authority cited: Sections 2915(g) and 2930, Business and Professions Code. Reference: Section 2915, 2984, 2986, and 2988, Business and Professions Code.
HISTORY

1. New section filed 12-29-94; operative 12-29-94 pursuant to Government Code Section 11346.2(d) (Register 94, No. 52).
2. Amendment of section and Note filed 4-9-96; operative 5-9-96 (Register 96, No. 15).
3. Amendment of section heading and new first paragraph adding sunset provisions filed 2-16-2012; operative 3-17-2013 (Register 2012, No. 7).
§1397.67. Renewal After Inactive or Delinquent Status. [Effective January 1, 2013.]
Note     •     History

This section shall be applicable to a license that expires on or after, or is reinstated or issued on or after, January 1, 2013.
(a) To activate a license which has been placed on inactive status pursuant to section 2988 of the Code, the licensee must submit evidence of completion of the requisite 36 hours of qualifying continuing education courses for the two-year period prior to establishing the license as active.
(b) For the renewal of a delinquent psychologist license within three years of the date of expiration, the applicant for renewal shall provide evidence of completion of 36 hours of qualifying continuing education courses for the two-year period prior to renewing the license.
After a license has been delinquent for three years, the license is automatically cancelled and the applicant must submit a complete licensing application, meet all current licensing requirements, and successfully pass the licensing examination just as for the initial licensing application unless the board grants a waiver of the examination pursuant to section 2946 of the Code.
NOTE

Authority cited: Sections 2915(g) and 2930, Business and Professions Code. Reference: Section 2915, 2984 and 2988, Business and Professions Code.
HISTORY

1. New section filed 2-16-2012; operative 1-1-2013, at which time the previous version of section 1397.67 is inoperative (Register 2012, No. 7).
§1397.68. Provider Fees.
Note     •     History

This section applies to a license that expires on or before December 31, 2012, and becomes inoperative on January 1, 2013.
(a) The following fees are established to be paid to an accreditation agency by the course provider:

	(1) Continuing education annual provider approval 
	fee	$200

	(2) Continuing education course registration
	fee	$35

	(3) Continuing education conference fee	$100 

	(4) Continuing education course attendee fee 	$7 per licensee
These fees are to be paid by the provider to an accreditation agency as defined in section 1397.65(b), (d), and (g).
NOTE

Authority cited: Sections 2915(g) and 2930, Business and Professions Code. Reference: Section 2915, Business and Professions Code.
HISTORY

1. New section filed 12-29-94; operative 12-29-94 pursuant to Government Code Section 11346.2(d) (Register 94, No. 52).
2. Amendment of subsection (a)(3) and new subsection (a)(4) filed 11-24-99; operative 12-24-99 (Register 99, No. 48).
3. New first paragraph adding sunset provisions filed 2-16-2012; operative 3-17-2012 (Register 2012, No. 7).
§1397.69. Participant Fees. [Effective until January 1, 2013.]
Note     •     History

This section shall be applicable to a license that expires on or after, or is reinstated or issued on or after, January 1, 2013.
The following fees are established to be paid by the course participant:

	(a) Participant report recording fee	$35
This fee is to be paid to an accreditation agency to report non-accrediting agency approved courses taken by the participant as defined in section 1397.61(d), 1397.63(b) and 1397.64(a)(2)(C).
NOTE

Authority cited: Sections 2915(g) and 2930, Business and Professions Code. Reference: Section 2915, Business and Professions Code.
HISTORY

1. New section filed 12-29-94; operative 12-29-94 pursuant to Government Code Section 11346.2(d) (Register 94, No. 52).
2. Amendment of Form No. 07M-BOP-14 filed 4-30-98; operative 5-30-98 (Register 98, No. 18).
3. Amendment of section heading and new first paragraph adding sunset provisions filed 2-16-2012; operative 3-17-2013 (Register 2012, No. 7).

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§1397.69. Licensee Fees. [Effective January 1, 2013.]
Note     •     History

This section shall be applicable to a license that expires on or after, or is reinstated or issued on or after, January 1, 2013.
For the administration of this article, in addition to any other fees due the Board and as a condition of renewal or reinstatement, a $10 fee is to be paid to the Board by a licensee renewing in an active status or after inactive or delinquent status.
NOTE

Authority cited: Sections 2915(g) and 2930, Business and Professions Code. Reference: Section 2915(j), Business and Professions Code.
HISTORY

1. New section filed 2-16-2012; operative 1-1-2013, at which time the previous version of section 1397.69 is inoperative (Register 2012, No. 7).
§1397.70. Sanctions for Noncompliance. [Effective until January 1, 2013.]
Note     •     History

This section applies to a license that expires on or before December 31, 2012, and becomes inoperative on January 1, 2013.
(a) If documentation of the CE requirement is improper or inadequate, the license becomes invalid for renewal. The continued practice of psychology is prohibited while the license is invalid for renewal, and the renewal is forfeited. Notwithstanding section 2984, the licensee shall correct the deficiency within six months. If the deficiency is not corrected within six months, the license remains invalid for renewal. Continued practice without a valid license shall constitute grounds for appropriate disciplinary action pursuant to sections 148 and/or 2960 of the code.
(b) Misrepresentation of compliance shall constitute grounds for disciplinary action.
NOTE

Authority cited: Sections 2915 and 2930, Business and Professions Code. Reference: Section 2915, Business and Professions Code.
HISTORY

1. New section filed 4-9-96; operative 5-9-96 (Register 96, No. 15).
2. Amendment of subsection (a) filed 3-13-97; operative 4-12-97 (Register 97, No. 11).
3. Amendment of section heading and new first paragraph adding sunset provisions filed 2-16-2012; operative 3-17-2013 (Register 2012, No. 7).
§1397.70. Sanctions for Noncompliance. [Effective January 1, 2013.]
Note     •     History

This section shall be applicable to a license that expires on or after, or is reinstated or issued on or after, January 1, 2013.
(a) If documentation of the continuing education requirement is improper or inadequate, the license is ineligible for renewal until any deficiency is corrected, and is subject to citation or discipline. Continued practice without a valid license shall constitute grounds for appropriate disciplinary action pursuant to sections 148 and/or 2960 of the Code.
(b) Misrepresentation of compliance shall constitute grounds for disciplinary action or denial.
NOTE

Authority cited: Sections 2915 and 2930, Business and Professions Code. Reference: Section 2915, Business and Professions Code.
HISTORY

1. New section filed 2-16-2012; operative 1-1-2013, at which time the previous version of section 1397.70 is inoperative (Register 2012, No. 7).
§1397.71. Denial, Suspension and Revocation of CE Provider Status.
Note     •     History

This section applies to a license that expires on or before December 31, 2012, and becomes inoperative on January 1, 2013.
(a) A board recognized accreditation agency may deny, suspend, place on probation with terms and conditions, or revoke its approval of an applicant or provider of continuing education for good cause. Good cause includes, but is not limited to, one or more of the following:
(1) Conviction of a felony or misdemeanor substantially related to the activities of an accreditation agency approved provider.
(2) Failure of an applicant or provider who is a psychologist, psychological assistant, psychological intern or registered psychologist to comply with any provisions of the Psychology License Law (Business and Professions Code Section 2900 et seq.) or the regulations adopted pursuant thereto in Division 13.1 of Title 16 (commencing with section 1380) of the California Code of Regulations.
(3) Failure of an applicant or provider, who is a licensee of another healing arts board, to comply with the statutes and regulations governing that license.
(4) Making a material misrepresentation of fact in information submitted to the board recognized accreditation agency or to the board.
(5) Failure to comply with provisions of the Psychology License Law (Business and Professions Code Section 2900 et seq.), or the regulations adopted pursuant thereto in Division 13.1 of Title 16 (commencing with section 1380) of the California Code of Regulations, applicable to continuing education providers.
(b) After a thorough case review, if the board recognized accreditation agency denies, suspends, places on probation with terms or conditions, or revokes its approval of a provider, it shall give the applicant or provider written notice setting forth its reasons for the denial, suspension, placing on probation with terms and conditions, or revocation. The applicant or provider may appeal the action in writing within fifteen (15) days after receipt of the notice, and request a hearing before a panel appointed by the recognized accreditation agency. A suspension or revocation of approval shall be stayed upon the filing of an appeal. A denial of approval shall not be stayed.
The panel shall consist of three persons who have not been involved in the determination to deny, suspend or revoke the approval of the applicant or provider. The panel shall hear the appeal within 60 days of the receipt of the appeal, and maintain a record of the proceedings. A decision in writing shall be issued within 30 days of the date of the hearing.
If the appointed panel sustains the denial, placing on probation with terms and conditions, suspension or revocation, the applicant or provider may appeal the decision of the panel to a Continuing Education Appeals Committee (CE Appeals Committee) of the board. The CE Appeals Committee shall be appointed by the board's president and consist of two board members, one public member and one licensed psychologist member. The appeal must be filed with the board within seven (7) days after receipt of the panel's decision. Upon filing of the appeal, the CE Appeals Committee chairperson shall have discretion to extend the stay of the suspension or revocation. The hearing of the CE Appeals Committee shall take place at a date and location established by the Committee chairperson, the date not to exceed 60 days from the date of the filing of the appeal. The record of the panel's hearing shall be made available to the CE Appeals Committee. The Committee shall issue a written decision within 30 days of the date of the hearing.
The decision of the CE Appeals Committee is final. An applicant or provider who has had his or her application or provider status denied or revoked may not reapply for provider status for a period of one year from the date of the CE Appeals Committee's decision.
NOTE

Authority cited: Sections 2915 and 2930, Business and Professions Code. Reference: Section 2915, Business and Professions Code.
HISTORY

1. New section filed 7-6-2001; operative 8-5-2001 (Register 2001, No. 27).
2. New first paragraph adding sunset provisions filed 2-16-2012; operative 3-17-2012 (Register 2012, No. 7).
Division 13.2. Physical Therapy Board of California
Article 1. General Provisions
§1398. Citation.
Note     •     History

This regulation may be cited and referred to as “Physical Therapy Regulations.”
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Section 2615, Business and Professions Code.
HISTORY

1. Repealer of Subchapter 13.2 (Sections 1398-1399.73, not consecutive) and new Subchapter 13.2 (Sections 1398-1399.52, not consecutive) filed 5-20-77; effective thirtieth day thereafter (Register 77, No. 21).
2. Amendment of NOTE filed 4-16-79; effective thirtieth day thereafter (Register 79 No. 16).
3. Amendment filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
4. Change without regulatory effect amending division heading filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
§1398.1. Location of Office.
Note     •     History

The principal office of the Physical Therapy Board of California is located at 1418 Howe Avenue, Suite 16, Sacramento, California 95825-3204.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Section 2602, Business and Professions Code.
HISTORY

1. Change without regulatory effect amending section filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
2. Amendment of section and Note filed 3-8-2000; operative 4-7-2000 (Register 2000, No. 10).
§1398.2. Tenses, Gender and Number. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Section 2615, Business and Professions Code.
HISTORY

1. Repealer filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
§1398.3. Definitions.
Note     •     History

Unless the context otherwise requires, for the purpose of the regulations contained in this chapter,
(a) “Board” means the Physical Therapy Board of California;
(b) “Code” means the Business and Professions Code;
(c) “The Physical Therapy Practice Act” consists of Chapter 5.7, of Division 2, of the Business and Professions Code.
(d) “License” as used in these regulations includes a license, or approval issued by the Board.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Section 2615, Business and Professions Code.
HISTORY

1. Amendment filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
2. Change without regulatory effect amending subsection (a), repealing subsection (b) and (c), and renumbering subsections filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
3. Amendment filed 12-19-2002; operative 1-18-2003 (Register 2002, No. 51).
§1398.4. Delegation of Functions.
Note     •     History

Except for those powers reserved exclusively to the “agency itself” under the Administrative Procedure Act (Section 11500 et seq. of the Government Code), the board delegates and confers upon the executive officer of the board, or in his or her absence, the president of the board, or in his or her absence, the vice-president of the board, all functions necessary to the dispatch of business of the board in connection with investigative and administrative proceedings under the jurisdiction of the board.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Sections 2608 and 2614, Business and Professions Code; and Section 11500, Government Code.
HISTORY

1. Amendment filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
2. Amendment filed 11-16-92; operative 12-16-92 (Register 92, No. 47).
3. Change without regulatory effect amending section filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
4. Amendment filed 3-8-2000; operative 4-7-2000 (Register 2000, No. 10).
§1398.5. Continuation of Existing Regulations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2615, Business and Professions Code.
HISTORY

1. Repealer filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
§1398.6. Filing of Addresses.
Note     •     History

(a) Each licensee shall report to the board each and every change of residence address within 30 days after each change, giving both the old and new address. In addition to the address of residence, a licensee may provide the board with an alternate address of record. If an alternate address is the licensee's address of record, he or she may request that the residence address not be disclosed to the public.
(b) Each licensee shall report to the board each and every change of name within 30 days after each change, giving both the old and new names.
(c) For purposes of this section, “licensee” includes any holder of an active, delinquent, suspended or expired license, approval, certification or other authorization issued by the Board to practice physical therapy or electromyography which is not canceled or revoked.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Sections 2683 and 2685, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 4-16-79; effective thirtieth day thereafter (Register 79, No. 16).
2. Amendments filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
3. Change without regulatory effect amending section filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
4. Repealer and new section and amendment of Note filed 12-4-97; operative 1-3-98 (Register 97, No. 49).
§1398.10. Advertising.
Note     •     History

A physical therapist may advertise the provision of any services authorized to be provided by a physical therapy license. Such advertising shall be in a manner authorized by Section 651 of the Code so long as such advertising does not promote the excessive or unnecessary use of such services.
NOTE

Authority cited: Sections 651 and 2615, Business and Professions Code. Reference: Sections 651 and 2660, Business and Professions Code.
HISTORY

1. New section filed 2-28-80; effective thirtieth day thereafter (Register 80, No. 9).
2. Amendment filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
§1398.11. Physical Therapy Aide, Applicant, Student and Intern Identification.
Note     •     History

Pursuant to Section 680 of the code, each supervising licensed physical therapist shall require all physical therapy aides, applicants, students and interns performing patient related tasks under his or her supervision to display while working his or her name and working title on a name tag in at least 18-point type.
NOTE

Authority cited: Sections 680 and 2615, Business and Professions Code. Reference: Section 680, Business and Professions Code.
HISTORY

1. New section filed 1-25-2001; operative 2-24-2001 (Register 2001, No. 4).  
§1398.12. Related Health Sciences.
Note     •     History

A physical therapy related health science for purposes of Code section 2633, subdivision (b), includes the following: any neuroscience and any anatomical, behavioral, biomedical, physiological, and movement sciences. These sciences specifically include, but are not limited to, biology, biomechanics, exercise physiology, gerontology, human development, kinesiology, pathology, pathomechanics, pharmacology and psychology.
NOTE

Authority cited: Sections 2615 and 2633, Business and Professions Code. Reference: Sections 2633 and 2650, Business and Professions Code.
HISTORY

1. New section filed 3-24-2009; operative 4-23-2009 (Register 2009, No. 13).
§1398.13. Patient Records.
Note     •     History

(a) A physical therapist shall document and sign in the patient record the following in accordance with subsection (c):
(1) Examination and re-examination
(2) Evaluation and reevaluation
(3) Diagnosis
(4) Prognosis and intervention
(5) Treatment plan and modification of the plan of care
(6) Each treatment provided by the physical therapist or a physical therapy aide
(7) Discharge Summary
(b) The physical therapist assistant shall document and sign in the patient record any treatment provided by that individual, in accordance with subsection (c).
(c) With respect to any care provided to the patient, the patient record shall indicate:
(1) The date and nature of the service provided and
(2) The name and title of any individual who provided such service, including the individual's role in that service. As used in this section, the term “service” does not include “non-patient related tasks” as defined in section 1399.
(d) The physical therapist shall ensure compliance with subsection (c).
(e) The requirements of this section are in addition to the requirements of the following sections:
(1) 1398.37(d) [relating to physical therapist students and interns],
(2) 1398.44(e)(1) [relating to physical therapist assistants]
(3) 1398.52(d) [relating to physical therapist assistant students]
(4) 1399.10 [relating to physical therapist license applicants]; and
(5) 1399.12 [relating to physical therapist assistant license applicants].
(f) Electronic signatures are sufficient for purposes of this section.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Section 2620.7, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1399.85 to new section 1398.13 filed 6-14-2011; operative 7-14-2011 (Register 2011, No. 24).
Article 2. Applications and Examinations
§1398.20. Place of Filing.
Note     •     History

Completed applications for all licenses and certifications shall be filed in the office of the board in Sacramento.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Sections 2632, 2634, 2635 and 2653, Business and Professions Code.
HISTORY

1. Amendment filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27.)
2. Amendment filed 5-15-91; operative 6-14-91 (Register 91, No. 26).
3. Change without regulatory effect amending section filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
4. Amendment of section heading and section filed 3-8-2000; operative 4-7-2000 (Register 2000, No. 10).
5. Amendment filed 12-19-2002; operative 1-18-2003 (Register 2002, No. 51).
§1398.21. Abandonment of Applications.
History

An application shall be denied without prejudice when, in the discretion of the board, an applicant does not exercise due diligence in the completion of his or her application, in furnishing additional information or documents requested in or in the payment of any required fees.
Note: Specific reference: Sections 2602, 2632, 2634, 2635, 2636, 2639 and 2655.75, Business and Professions Code.
HISTORY

1. New section filed 3-20-78; effective thirtieth day thereafter (Register 78, No. 12).
2. Change without regulatory effect amending section filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
§1398.21.1. Failure to Pass the Examination.
Note     •     History

An application for licensure shall be deemed denied without prejudice when an applicant fails to pass the examination within one year from the date of the original notice to appear for the examination. To reapply, the applicant is then required to file a new application for licensure, to pay the application fee specified in Section 1399.50(a), 1399.50(b) or 1399.52(a) as applicable, and to comply with all laws and regulations in effect at the time of filing. In addition the applicant is required to apply for reexamination and to pay the applicable reexamination fee specified in Section 1399.50(c) or 1399.52(b).
NOTE

Authority cited: Sections 2615 and 2655.92, Business and Professions Code. Reference: Sections 2632, 2634, 2635, 2636, 2638, 2639, 2655.3, 2655.4, 2655.6, 2655.91 and 2655.92, Business and Professions Code.
HISTORY

1. New section filed 11-20-95; operative 12-20-95 (Register 95, No. 47).
2. Amendment filed 12-19-2002; operative 1-18-2003 (Register 2002, No. 51).
§1398.22. Failure to Appear for Examination--Withdrawal of Application. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Sections 2588, 2602, 2636, 2639 and 2655.4, Business and Professions Code.
HISTORY

1. New section filed 3-20-78; effective thirtieth day thereafter (Register 78, No. 12).
2. Amendment filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
3. Repealer filed 3-8-2000; operative 4-7-2000 (Register 2000, No. 10).
§1398.23. Failure to Pay Initial License Fee.
Note     •     History

An application shall be deemed to have been abandoned and any examination taken not passed if an applicant fails to pay the initial license fee within five years after notification by the board. An applicant whose application has been deemed abandoned may again be eligible for licensure upon re-examination and the filing of an updated application with the current application fee.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Sections 2655.4 and 2688, Business and Professions Code.
HISTORY

1. New section filed 3-20-78; effective thirtieth day thereafter (Register 78, No. 12).
2. Amendment filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
3. Change without regulatory effect amending section filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
§1398.24. Review of Physical Therapist Applications; Processing Time.
Note     •     History

(a) The board shall inform an applicant for licensure as a physical therapist who has graduated from an approved physical therapist education program within 30 days whether the application is complete and accepted for filing or is deficient and what specific information is required.
(b) The board shall inform an applicant for licensure as a physical therapist who has graduated from an approved physical therapist education program within 60 days after completion of the application, of its decision whether the applicant meets the requirements for examination. “Completion of the application” means that a completed application form together with all required information, documentation and fees have been filed by the applicant.
(c) The minimum, median and maximum processing time for an application for licensure as a physical therapist who has graduated from an approved physical therapist education program from the time of receipt of the initial application until the board makes a final decision on the application are:
(1) Minimum--46 days
(2) Median--88 days
(3) Maximum--365 days
These processing times apply to those applicants who take and pass the examination within 60 days of the date of the authorization to test.
NOTE

Authority cited: Section 2615, Business and Professions Code; and Section 15376, Government Code. Reference: Section 2632, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. Renumbering of former Section 1398.24 to Section 1398.26 and new Section 1398.24 filed 9-8-83; effective thirtieth day thereafter (Register 83, No. 37).
2. Change without regulatory effect amending section filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
3. Amendment filed 3-8-2000; operative 4-7-2000 (Register 2000, No. 10).
§1398.25. Credentials Evaluation Services.
Note     •     History

In accordance with Section 2653 of the code, the board will accept reports from credentials evaluation services which meet all of the following criteria:
(a) The service retains the services of a physical therapist consultant(s) who is licensed as a physical therapist in a state or territory of the United States and is used in an advisory capacity to review individual cases for comparability to the educational and training requirements of Section 2650 of the code for hours and content.
(b) The service is able to document the experience of its employees by producing positive letters of reference from other state licensing agencies, educational institutions or professional organizations.
(c) The service is able to submit a report to the board that shall be based on a review of original documentation of an applicant's credentials and shall document the following:
(1) The equivalent professional degree the foreign applicant would have received from an accredited physical therapist education program located in the United States.
(2) Whether completion of the foreign applicant's physical therapist education and training entitles the foreign applicant to practice as a physical therapist in the country where the education and training was completed.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Sections 2650 and 2653, Business and Professions Code.
HISTORY

1. New section filed 8-22-77; effective thirtieth day thereafter (Register 77, No. 35).
2. Repealer filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
3. New section filed 8-31-84; effective thirtieth day thereafter (Register 84, No. 35).
4. New subsections (c)-(c)(2) filed 9-9-94; operative 10-10-94 (Register 94, No. 36).
5. Change without regulatory effect amending first paragraph and subsection (c)  filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
§1398.26. Applications of Foreign Educated Graduates.
Note     •     History

(a) Persons applying under Section 2653 of the code shall cause to be submitted to an evaluation service, which meets the Board's requirements in section 1398.25, a complete transcript of the resident course of professional instruction completed which has been authenticated by the proper official of the physical therapist education program, and submitted directly by the physical therapist education program to the evaluation service. Credentials submitted in a language other than English shall be accompanied by an original translation certified by a qualified translator other than the applicant.
(b) Where because of circumstances beyond his or her control an applicant is unable to furnish any of the credentials required under subsection (a) above, the board may in its discretion accept other documents which it deems sufficient to establish the applicant's eligibility.
NOTE

Authority cited: Sections 2615 and 2653, Business and Professions Code. Reference: Section 2653, Business and Professions Code.
HISTORY

1. Amendment of subsection (g) filed 5-10-78; effective thirtieth day thereafter (Register 78, No. 19).
2. Amendment filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
3. Renumbering of former Section 1398.24 to Section 1398.26 filed 9-8-83; effective thirtieth day thereafter (Register 83, No. 37).
4. Change without regulatory effect amending section filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
5. Amendment of section heading and section filed 3-8-2000; operative 4-7-2000 (Register 2000, No. 10).
6. Repealer of subsections (c)-(d) filed 12-9-2004; operative 1-8-2005 (Register 2004, No. 50).
§1398.26.1. Satisfactory Documentary Evidence of Equivalent Degree for Licensure as a Physical Therapist or Physical Therapist Assistant.
Note     •     History

This section is only applicable to those applicants who are graduates of non-accredited physical therapy educational programs and applying for licensure on or after the effective date of this regulation. For the purposes of determining educational equivalency, the credential evaluation services will evaluate foreign educational credentials based on the corresponding Federation of State Boards of Physical Therapy's Coursework Evaluation Tool For Foreign Educated Physical Therapists (CWT) or, if applying for physical therapist assistant license, the Coursework Tool For Foreign Educated Physical Therapist Assistants (PTA Tool 2007). For the purpose of this regulation, the six following publications are incorporated by reference: (1) FSBPT Coursework Tool For Foreign Educated Physical Therapists Who Graduated before 1978 -- CWT 1 (2004), (2) FSBPT Coursework Tool For Foreign Educated Physical Therapists Who Graduated From 1978 to 1991 -- CWT 2 (2004), (3) FSBPT Coursework Tool For Foreign Educated Physical Therapists Who Graduated From 1992 to 1997 -- CWT 3 (2004), (4) FSBPT Coursework Tool For Foreign Educated Physical Therapists Who Graduated From 1998 to June 30, 2009 -- CWT 4 (2004), (5) FSBPT Coursework Tool For Foreign Educated Physical Therapists Who Graduated after June 30, 2009 --CWT 5 (2004) (Rev. 2009-07), (6)  Coursework Tool For Foreign Educated Physical Therapist Assistants -- PTA Tool 2007 (2004).
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Sections 2650 and 2653, Business and Professions Code.
HISTORY

1. New section filed 7-5-2005; operative 8-4-2005 (Register 2005, No. 27).
2. Amendment of section heading and section filed 9-29-2011; operative 10-29-2011 (Register 2011, No. 39).
§1398.26.5. Clinical Service Requirements for Foreign Educated Applicants.
Note     •     History

(a) The period of clinical service required by Section 2653 of the Code shall be certified by at least one supervising physical therapist (the supervising physical therapist is the Center Coordinator of Clinical Education and/or the Clinical Instructor) licensed by the board, or by a physical therapy licensing authority in another jurisdiction which is accepted by the board.
(b) For the purposes of this regulation, supervision means the supervising physical therapist must be onsite in the same facility and available to the physical therapist licensure applicant to provide assistance with any patient care.
(c) Effective January 1, 2008, the center coordinator of clinical education (CCCE) must be an American Physical Therapy Association (APTA) certified clinical instructor. Effective January 1, 2010, all clinical instructors must be APTA certified.
(d) The certification shall be submitted in a report to the board and shall document the supervising physical therapist's determination that the physical therapist licensure applicant possesses the skills necessary to perform any physical therapy evaluation or any physical therapy procedure of patient care within the California healthcare system. The supervising physical therapist's evaluation of the physical therapist licensure applicant shall be prepared utilizing the Physical Therapist Clinical Performance Instrument issued by the American Physical Therapy Association in December of 1997. The certification shall include two elevations of the physical therapist licensure applicant's skills. One evaluation shall determine the skill level mid-way through the period of clinical service and the other evaluation shall determine the skill level at the end of the clinical service. Both evaluations shall be reported at the end of the period of clinical service.
(e) Three (3) months of the required nine (9) months of clinical service shall be waived by the board if the physical therapist licensure applicant successfully completes a course in Law and Professional Ethics as offered by a post-secondary educational institution or by successfully completing four (4) continuing education units in Ethics offered by a continuing education provider recognized by a California healthcare board.
(f) One (1) month of clinical service shall be waived for each month of licensed clinical practice in another state up to the required total of nine (9) months.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Sections 2650 and 2653, Business and Professions Code.
HISTORY

1. New section filed 12-9-2004; operative 1-8-2005 (Register 2004, No. 50).
§1398.27. Review of Foreign Educated Physical Therapist Applications; Processing Time.
Note     •     History

(a) The board shall inform an applicant for licensure as a physical therapist who has graduated from a foreign physical therapist education program within 30 days whether the application is complete and accepted for filing or is deficient and what specific information is required.
(b) The board shall inform an applicant for licensure a a physical therapist who has graduated from a foreign physical therapist education program within 150 days after completion of the application, of its decision whether the applicant meets the requirements for examination. “Completion of the application” means that a completed application form together with all required information, documentation, including a report from an evaluation service which meets the criteria specified in Section 1398.25,  and fees have been filed by the applicant.
(c) The minimum, median and maximum processing time for an application for licensure as a physical therapist who has graduated from a foreign physical therapist education program from the time of receipt of the initial application until the board makes a final decision on the application are:
(1) Minimum--95 days
(2) Median--400 days
(3) Maximum--550 days
These processing times apply to those applicants who take and pass the examination within 60 days of the date of the authorization to test.
NOTE

Authority cited: Section 2615, Business and Professions Code; and Section 15376, Government Code. Reference: Section 2632, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New section filed 9-8-83; effective thirtieth day thereafter (Register 83, No. 37).
2. Change without regulatory effect amending section filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
3. Amendment of section heading and section filed 3-8-2000; operative 4-7-2000 (Register 2000, No. 10).
§1398.28. Written Examination.
Note     •     History

(a) The uniform examination utilized by the board for the licensure of physical therapists is the Federation of State Boards of Physical Therapy's examination for physical therapists.
(b) The uniform examination utilized by the board for the licensure of physical therapist assistants is the Federation of State Boards of Physical Therapy's examination for physical therapist assistants.
NOTE

Authority cited: Sections 851 and 2615, Business and Professions Code. Reference: Sections 851, 2605, 2636, 2636.1 and 2655.4, Business and Professions Code.
HISTORY

1. Amendment filed 4-16-79; effective thirtieth day thereafter (Register 79, No. 16).
2. Repealer of subsection (c) filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
3. Amendment of subsections (a) and (b) filed 4-20-90; operative 5-20-90 (Register 90, No. 21).
4. Change without regulatory effect amending section filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
5. Amendment filed 3-8-2000; operative 4-7-2000 (Register 2000, No. 10).
6. Amendment of subsection (b) filed 12-19-2002; operative 1-18-2003 (Register 2002, No. 51).
Article 3. Physical Therapy Schools
§1398.30. Approved Physical Therapist Educational Programs.
Note     •     History

(a) Only those educational programs which meet the requirements set forth in Section 1398.31 shall be approved by the board for professional education in physical therapy. The executive officer shall maintain on file at the board's Sacramento office a list of approved education programs.
(b) If, at the time of graduation, the physical therapy educational program from which the applicant for licensure graduated was an approved program as set forth in Section 1398.31, the applicant's educational program shall be considered to satisfy the requirements of Section 1398.30(a).
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Sections 2635, 2650 and 2651, Business and Professions Code.
HISTORY

1. Amendment filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
2. Change without regulatory effect amending section filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
3. Amendment of section heading and section filed 3-8-2000; operative 4-7-2000 (Register 2000, No. 10).
4. Amendment of section heading and section filed 4-14-2005; operative 5-14-2005 (Register 2005, No. 15).
§1398.31. Criteria for Approval of Physical Therapy Schools.
Note     •     History

(a) Physical therapy educational programs shall be established in post-secondary educational institutions accredited by a national association or agency recognized by the Council on Post Secondary Accreditation and/or the U.S. Department of Education.
(b) The physical therapy educational program shall be accredited by the agency or organization recognized by the Council on Post Secondary Accreditation or the U.S. Department of Education.
(c) Teaching programs of not less than 1400 hours duration also may be established in hospitals for students whose preliminary education meets the requirements of Section 2650 of the code, providing the physical therapy education program is accredited as set forth in subsection (b).
(d) Nothing in this section shall be construed to prevent the board from approving a school or training program which is not approved or from not approving a school or training program which is approved by one of the above-mentioned entities.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Sections 2635, 2650 and 2651, Business and Professions Code.
HISTORY

1. Amendment filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
2. Change without regulatory effect amending subsection (d) filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
§1398.32. Services and Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2615, Business and Professions Code.
HISTORY

1. Repealer filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
§1398.33. Faculty. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2615, Business and Professions Code.
HISTORY

1. Repealer filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
§1398.34. Curriculum. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2615, Business and Professions Code.
HISTORY

1. Repealer filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
§1398.37. Identification and Supervision of Physical Therapist Students and Interns Defined.
Note     •     History

(a) When rendering physical therapy services as part of academic training, a physical therapy student shall only be identified as a “physical therapist student.” A person who has completed the required academic coursework may be identified as a “physical therapist intern” when rendering physical therapy services. When rendering physical therapy services, the required identification shall be clearly visible and include his or her name and working title in at least 18-point type.
(b) The “clinical instructor” or the “supervisor” shall be the physical therapist supervising the physical therapist student or intern while practicing physical therapy.
(c) The supervising physical therapist shall provide on site supervision of the assigned patient care rendered by the physical therapist student or intern.
(d) The physical therapist student or intern shall document each treatment in the patient record, along with his or her signature. The clinical instructor or supervising physical therapist shall countersign with his or her first initial and last name all entries in the patient's record on the same day as patient related tasks were provided by the physical therapist student or intern.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Sections 2650.1 and 2650.2, Business and Professions Code.
HISTORY

1. New section filed 4-16-79; effective thirtieth day thereafter (Register 79, No. 16).
2. Amendment filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
3. Amendment of section heading, section and Note filed 12-23-2002; operative 1-22-2003 (Register 2002, No. 52).
§1398.38. Criteria for Approval of Physical Therapy Facilities to Supervise the Clinical Service of Foreign Educated Applicants.
Note     •     History

Pursuant to Section 2653 of the code in order to be approved as a facility in which a foreign educated applicant may complete a period of clinical service, each physical therapy facility shall complete a form entitled Clinical Site Information Form (CSIF), as developed by the American Physical Therapy Association and revised on 11-01-99, hereby incorporated by reference, certifying that the facility has the staffing, clinical experiences, and clinical instruction to provide physical therapy clinical experience for the foreign educated physical therapist applicant for licensure. The CSIF shall be submitted to the Board accompanied by the Board's Notice of Intent to Supervise a Foreign Educated Physical Therapist”, form F1B, revised January 2005, hereby incorporated by reference. For each foreign educated applicant, both forms shall be complete and signed in order for the physical therapy facility to be approved by the Board.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Sections 2650 and 2653, Business and Professions Code.
HISTORY

1. Amendment filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
2. Amendment of section heading and first paragraph filed 3-8-2000; operative 4-7-2000 (Register 2000, No. 10).
3. Amendment of section heading, first paragraph and subsection (d) filed 9-18-2000; operative 10-18-2000 (Register 2000, No. 38).
4. Amendment filed 4-21-2005; operative 5-21-2005 (Register 2005, No. 16).
Article 4. Physical Therapist Assistant
§1398.40. Definitions. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 2615 and 2655.11, Business and Professions Code. Reference: Section 2655, Business and Professions Code.
HISTORY

1. Amendment filed 10-19-83; effective thirtieth day thereafter (Register 83, No. 43).
2. Change without regulatory effect amending subsection (b) filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
3. Repealer filed 3-8-2000; operative 4-7-2000 (Register 2000, No. 10).
§1398.41. Applications for Approval as an Assistant. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 2615 and 2655.11, Business and Professions Code.
HISTORY

1. Repealer filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
§1398.42. Review of Physical Therapist Assistant Applications; Processing Time.
Note     •     History

(a) The board shall inform an applicant for licensure as a physical therapist assistant within 30 days whether the application is complete and accepted for filing or is deficient and what specific information is required.
(b) The board shall inform an applicant for licensure as a physical therapist assistant within 60 days after completion of the application, of its decision whether the applicant meets the requirements for examination. “Completion of the application” means that a completed application form together with all required information, documentation and fees have been filed by the applicant.
(c) The minimum, median and maximum processing time for an application for licensure as a physical therapist assistant from the time of receipt of the initial application until the board makes a final decision on the application are:
(1) Minimum--67 days
(2) Median--127 days
(3) Maximum--166 days
These processing times apply to those applicants who take and pass the examination within 60 days of the date of the authorization to test.
NOTE

Authority cited: Section 2615, Business and Professions Code; and Section 15376, Government Code. Reference: Section 2655.3, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. Repealer and new section filed 9-8-83; effective thirtieth day thereafter (Register 83, No. 37).
2. Change without regulatory effect amending section filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
3. Amendment filed 3-8-2000; operative 4-7-2000 (Register 2000, No. 10).
4. Amendment filed 12-19-2002; operative 1-18-2003 (Register 2002, No. 51).
§1398.43. Qualifications of Supervisor. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Sections 2655.1 and 2655.2, Business and Professions Code.
HISTORY

1. Repealer filed 9-8-83; effective thirtieth day thereafter (Register 83, No. 37).
§1398.44. Adequate Supervision Defined.
Note     •     History

(a) “Adequate supervision” of a physical therapist assistant shall mean supervision that complies with this section. A physical therapist shall at all times be responsible for all physical therapy services provided by the physical therapist assistant and shall ensure that the physical therapist assistant does not function autonomously. The physical therapist has a continuing responsibility to follow the progress of each patient, and is responsible for determining which elements of a treatment plan may be assigned to a physical therapist assistant.
(b) A physical therapist who performs the initial evaluation of a patient shall be the physical therapist of record for that patient. The physical therapist of record shall remain as such until a reassignment of that patient to another physical therapist of record has occurred. The physical therapist of record shall ensure that a written system of transfer to the succeeding physical therapist exists.
(c) The physical therapist of record shall provide supervision and direction to the physical therapist assistant in the treatment of patients to whom the physical therapist assistant is providing care. The physical therapist assistant shall be able to identify, and communicate with, the physical therapist of record at all times during the treatment of a patient.
(d) A physical therapist assistant shall not:
(1) Perform measurement, data collection or care prior to the evaluation of the patient by the physical therapist
(2) Document patient evaluation and reevaluation
(3) Write a discharge summary
(4) Establish or change a plan of care
(5) Write progress reports to another health care professional, as distinguished from daily chart notes
(6) Be the sole physical therapy representative in any meeting with other health care professionals where the patient's plan of care is assessed or may be modified.
(7) Supervise a physical therapy aide performing patient-related tasks
(8) Provide treatment if the physical therapist assistant holds a management position in the physical therapy business where the care is being provided. For purposes of this section, “management position” shall mean a position that has control or influence over scheduling, hiring, or firing.
The prohibitions in subsection (d) above shall not prohibit a physical therapist assistant from collecting and documenting data, administering standard tests, or taking measurements related to patient status.
(e) The physical therapist assistant shall
(1) Notify the physical therapist of record, document in the patient record any change in the patient's condition not within the planned progress or treatment goals, and any change in the patient's general condition.
NOTE

Authority cited: Sections 2615, 2655.1 and 2655.92, Business and Professions Code. Reference: Section 2655.92, Business and Professions Code.
HISTORY

1. Repealer of subsection (f) filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
2. Amendment of section and Note filed 9-18-96; operative 9-18-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 38).
3. Repealer and new section filed 6-14-2011; operative 7-14-2011 (Register 2011, No. 24).
§1398.45. Withdrawal of Approval as a Physical Therapist Assistant. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 2615 and 2655.11, Business and Professions Code.
HISTORY

1. Repealer filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
§1398.46. Withdrawal of Approval as a Supervisor. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 2615 and 2655.11, Business and Professions Code.
HISTORY

1. Repealer filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
§1398.47. Equivalent Training or Experience.
Note     •     History

(a) Training and experience considered equivalent to that obtained in an approved physical therapist assistant school shall be acquired in one of the following ways:
(1) Military training, consisting of satisfactory completion of a basic hospital corps member course and of a formal physical therapist assistant course that includes a minimum of 550 hours of technical courses relating to physical therapy, and 350 hours of supervised clinical experience. In addition, the applicant shall complete the general education requirements described in subsection (c).
(2) A combination of training and 36 months of full-time work experience in physical therapy described in subsection (b). Training shall consist of satisfactory completion of 30 semester units or 40 quarter units of instruction in a variety of the following technical areas: Human anatomy and physiology, including laboratory experience; kinesiology and topographical anatomy; first-aid; basic principles of electromagnetism, mechanics and thermodynamics, biomechanics, and massage; application of therapeutic exercise and modalities for the physically disabled; survey of pathophysiological conditions resulting from injury or disease; ethics; and laws relating to physical therapy. In addition, the applicant shall complete the general education requirements described in subsection (c). The applicant shall have obtained a grade of “c” or better in all technical coursework to be accepted for licensure as a physical therapist assistant. Eighteen (18) months of the work experience shall be in providing patient related tasks under the orders, direction and immediate supervision of a physical therapist in an acute care inpatient facility.
(3) Sixty (60) months of full-time work experience in physical therapy described in subsection (b). Thirty (30) months of the work experience shall be in providing patient related tasks under the orders, direction and immediate supervision of a physical therapist in an acute care inpatient facility. In addition, the applicant shall complete the general education requirements described in subsection (c). This paragraph (a)(3) shall become inoperative on July 1, 2001, and, as of July 1, 2001, is repealed.
(4) Successful completion of professional education described in section 2650 of the code.
(b) Work experience used to satisfy subsections (a)(2) and (a)(3) shall be obtained under the orders, direction and immediate supervision of (1) a physical therapist licensed by the board, (2) a physical therapist employed by the United States Government, or (3) an out-of-state licensed physical therapist who has qualifications equivalent to a physical therapist licensed by the board, and shall consist of assisting the supervising physical therapist in the treatment of patients of both sexes, varying ages and disabilities. Full-time work experience shall be credited on the basis of a compensated 40-hour work week, allowing for the usual and customary periods of absence. Work credit shall be given for part-time employment. The work experience shall have been obtained within ten years of the date the application for licensure is filed with the board, provided that, one-half of the experience has been obtained within five years of the application.
(c) General education requirements shall consist of satisfactory completion of 15 semester units or 20 quarter units, including at least one course in each of the following areas:
(1) Natural Sciences.
(2) Social or Behavioral Sciences.
(3) Humanities.
(4) English, Speech, or Mathematics.
(5) English Composition which meets the Associate or Baccalaureate degree requirement of the college at which the course is taken. The applicant shall have obtained a grade of “c” or better in English Composition to be accepted for licensure as a physical therapist assistant.
(d) Proof of completion of the general education courses in subsection (c) and of the technical courses in subsection (a)(2) shall be submitted on an official transcript. The courses may be taken at any post-secondary institution that is accredited by an agency recognized by the Council for Higher Education Accreditation or the U.S. Department of Education. Credit will be given for academic units granted by the educational institution for equivalent experience or education as well as for the results of equivalency or proficiency examination.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Sections 2655.3 and 2655.11, Business and Professions Code.
HISTORY

1. Amendment filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
2. Amendment of subsection (a) filed 5-15-91; operative 6-14-91 (Register 91, No. 26).
3. Editorial correction of printing error in subsection (c)(4) (Register 91, No. 26).
4. Amendment of subsections (a)(1)-(a)(3) and (b) filed 10-21-94; operative 11-21-94 (Register 94, No. 42).
5. Change without regulatory effect amending subsection (b) filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
6. Amendment filed 1-24-2001; operative 2-23-2001 (Register 2001, No. 4).
7. Amendment of subsections (a)(2), (b) and (c)(5) and amendment of Note filed 12-19-2002; operative 1-18-2003 (Register 2002, No. 51).
Article 5. Physical Therapist Assistant Schools
§1398.50. Approved Physical Therapist Assistant Education Programs.
Note     •     History

Those education programs which meet the requirements of Section 1398.51 shall be approved by the board for the training of physical therapist assistants. The executive officer shall maintain on file at the board's office a list of approved education programs.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Section 2655.9, Business and Professions Code.
HISTORY

1. Repealer of Article 5 (Sections 1398.50-1398.54) and new Article 5 (Sections 1398.50 and 1398.51) filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
2. Change without regulatory effect amending section filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
3. Amendment of section heading, section and Note filed 3-8-2000; operative 4-7-2000 (Register 2000, No. 10).
§1398.51. Criteria for Approval of Physical Therapist Assistant Schools.
Note

(a) Physical therapist assistant training programs shall be established in post-secondary educational institutions accredited by a regional association recognized by the U.S. Department of Education or the Council on Post-Secondary Accreditation.
(b) The physical therapist assistant training program shall be accredited by the appropriate agency or organization recognized by the U.S. Department of Education or the Council on Post-Secondary Accreditation.
NOTE

Authority cited: Sections 2615 and 2655.11, Business and Professions Code. Reference: Section 2655.9, Business and Professions Code.
§1398.52. Identification and Supervision of Physical Therapist Assistant Students and Interns Defined.
Note     •     History

(a) A physical therapist assistant student is an unlicensed person rendering physical therapy services as part of academic training pursuant to section 2655.75 of the Code and shall only be identified as a “physical therapist assistant student.” A person who has completed the required academic coursework may be identified as a “physical therapist assistant intern” when rendering physical therapy services. When rendering physical therapy services, the required identification shall be clearly visible and include his or her name and working title in at least 18-point type.
(b) The physical therapist assistant student or intern shall be supervised by a physical therapist supervisor. A physical therapist assistant under the supervision of a physical therapist supervisor may perform as a clinical instructor of the physical therapist assistant student or intern when rendering physical therapy services.
(c) A physical therapist supervisor shall provide on site supervision of the assigned patient care rendered by the physical therapist assistant student or intern.
(d) The physical therapist assistant student or intern shall document each treatment in the patient record, along with  his or her signature. The clinical instructor shall countersign with his or her first initial and last name in the patient's record on the same day as patient related tasks were provided by the physical therapist assistant student or intern. The supervising physical therapist shall conduct a weekly case conference and document it in the patient record.
NOTE

Authority cited: Sections 2615, Business and Professions Code. Reference: Sections 2655.9 and 2655.75, Business and Professions Code.
HISTORY

1. New section filed 12-23-2002; operative 1-22-2003 (Register 2002, No. 52).
Article 6. Physical Therapy Aides
§1399. Requirements for Use of Aides.
Note     •     History

(a) A physical therapy aide is an unlicensed person who may be utilized by a physical therapist in his or her practice by performing non-patient related tasks, or by performing patient related tasks.
(b) Prior to the aide providing patient related care, a physical therapist shall evaluate and document, the aide's competency level for performing the patient related task that the aide will provide in that setting. The record of competencies shall be made available to the board or any physical therapist utilizing that aide upon request.
(c) As used in these regulations:
(1) A “patient related task” means a physical therapy service rendered directly to the patient by an aide, excluding non-patient related tasks as defined below.
(2) A “non-patient related task” means a task related to observation of the patient, transport of patients, physical support only during gait or transfer, housekeeping duties, clerical duties and similar functions.
(3) “Under the orders, direction and immediate supervision” means:
(A) Prior to the initiation of care, the physical therapist shall evaluate every patient prior to the performance of any patient related tasks by the aide. 
(B) The physical therapist shall formulate and record in the patient's record a treatment program based upon the evaluation and any other information available to the physical therapist, and shall determine those patient related tasks which may be assigned to an aide. 
(C) The physical therapist shall assign only those patient related tasks that can be safely and effectively performed by the aide. The physical therapist shall be responsible at all times for the conduct of the aide while the aide is performing “patient related tasks” and “non-patient related tasks” as defined in this section.
(D) The physical therapist shall provide continuous and immediate supervision of the aide. The physical therapist shall be in the same facility as the aide and in immediate proximity to the location where the aide is performing patient related tasks. The physical therapist shall be readily available at all times to provide immediate advice, instruction or intervention in the care of the patient. When patient related tasks are provided to a patient by an aide the physical therapist shall at some point during the treatment day provide direct service to the patient as treatment for the patient's condition or to further evaluate and monitor the patient's progress.
(E) The physical therapist shall perform periodic re-evaluation of the patient as necessary and make adjustments in the patient's treatment program. The re-evaluation shall be documented in the patient's record.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Section 2630, Business and Professions Code.
HISTORY

1. Amendment of subsection (b) filed 3-20-78; effective thirtieth day thereafter (Register 78, No. 12).
2. Amendment filed 8-13-81; effective thirtieth day thereafter (Register 81, No. 33).
3. Amendment of subsections (b)(1), (b)(2), (b)(4) and (b)(5) and new subsection (b)(6) filed 10-21-94; operative 11-21-94 (Register 94, No. 42).
4. Amendment filed 6-14-2011; operative 7-14-2011 (Register 2011, No. 24).
§1399.1. Limitation on Aides Utilized. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Section 2630, Business and Professions Code.
HISTORY

1. New section filed 10-21-94; operative 11-21-94 (Register 94, No. 42).
2. Repealer filed 3-8-2000; operative 4-7-2000 (Register 2000, No. 10).
Article 7. Practice by Applicants
§1399.10. Supervision of Physical Therapist License Applicants.
Note     •     History

Pursuant to Section 2639 of the code, a physical therapist license applicant whose application for licensure has been filed and reviewed by the board may perform as a physical therapist if he or she is under the direct and immediate supervision of a physical therapist licensed by the board. “Direct and immediate supervision” means a supervisor shall at all times be responsible for and provide adequate supervision of the work performed by the physical therapist license applicant and shall be in close proximity to the location where the physical therapist license applicant is rendering physical therapy treatment. The physical therapist license applicant shall document each treatment in the patient record, along with his or her signature. A supervising physical therapist shall countersign with his or her first initial and last name in the patient's record on the same day as patient related tasks were provided by the physical therapist license applicant.
A supervising physical therapist shall document receipt of the letter authorizing physical therapist license applicant status and record the expiration date of such status in the employee record. A supervising physical therapist shall require the applicant to provide documentation of the license issued at the conclusion of the physical therapist license applicant status. If the applicant fails to pass the licensing examination all privileges to work as a physical therapist license applicant shall terminate.
Authorizing the physical therapist license applicant to work after the conclusion of physical therapist applicant status constitutes unprofessional conduct.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Section 2639, Business and Professions Code.
HISTORY

1. Amendment filed 3-20-78; effective thirtieth day thereafter (Register 78, No. 12).
2. Amendment filed 10-19-83; effective thirtieth day thereafter (Register 83, No. 43).
3. Change without regulatory effect amending section filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
4. Amendment of section heading and section filed 3-8-2000; operative 4-7-2000 (Register 2000, No. 10).
5. Amendment filed 12-23-2002; operative 1-22-2003 (Register 2002, No. 52).
§1399.11. Notification of Examination Results. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 2655 and 2655.11, Business and Professions Code.
HISTORY

1. Amendment filed 3-20-78; effective thirtieth day thereafter (Register 78, No. 12).
2. Repealer filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
§1399.12. Supervision of Physical Therapist Assistant License Applicants.
Note     •     History

Pursuant to Section 2655.91 of the code, a physical therapist assistant license applicant whose application for license has been filed and reviewed by the board may assist in the provision of physical therapy services if he or she is under the direct and immediate supervision of a physical therapist licensed by the board. “Direct and immediate” means a supervisor shall at all times be responsible for and provide adequate supervision of the work performed by the applicant and shall be in close proximity to the location where the applicant is assisting in the provision of physical therapy treatment. The physical therapist assistant license applicant shall document each treatment in the patient record, along with his or her signature. A supervising physical therapist shall countersign with his or her first initial and last name in the patient's record on the same day as patient related tasks were provided by the physical therapist assistant license applicant. A supervising physical therapist will conduct a weekly case conference and document it in the patient record.
A supervising physical therapist shall document receipt of the letter authorizing physical therapist assistant license applicant status and record the expiration date of such status in the employee record. A supervising physical therapist shall require the applicant to provide documentation of the license issued at the conclusion of the physical therapist assistant license applicant status. If the applicant fails to pass the licensing examination all privileges to work as a physical therapist assistant license applicant shall terminate.
Authorizing the physical therapist assistant license applicant to work after the conclusion of physical therapist assistant license applicant status constitutes unprofessional conduct.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Section 2655.91, Business and Professions Code.
HISTORY

1. New section filed 3-20-78; effective thirtieth day thereafter (Register 78, No. 12).
2. Amendment filed 10-19-83; effective thirtieth day thereafter (Register 83, No. 43).
3. Change without regulatory effect amending section filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
4. Amendment of section heading and Note filed 3-8-2000; operative 4-7-2000 (Register 2000, No. 10).
5. Amendment of section and Note filed 12-19-2002; operative 1-18-2003 (Register 2002, No. 51).
6. Amendment of section heading, section and Note filed 12-23-2002; operative 1-22-2003 (Register 2002, No. 52).
§1399.15. Model Guidelines for Issuing Citations and Imposing Discipline.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), the Board shall consider the guidelines entitled “Model Guidelines for Issuing Citations and Imposing Discipline”, Revised on June 16, 2009 which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the Board, in its sole discretion, determines that the facts of the particular case warrants such a deviation--for example: The presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Sections 2660, 2660.1, 2661 and 2661.5, Business and Professions Code; and Section 11425.50(e), Government Code.
HISTORY

1. New section filed 6-25-97; operative 7-1-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 26).
2. Amendment of section heading, section and Note filed 8-25-2005; operative 9-24-2005 (Register 2005, No. 34).
3. Amendment of section and document “Model Guidelines for Issuing Citations and Imposing Discipline” (incorporated by reference) filed 8-5-2009; operative 9-4-2009 (Register 2009, No. 32).
§1399.16. Issuance of Initial Probationary License.
Note     •     History

(a) The authority to issue an initial probationary license is delegated to the executive officer of the Board. In the absence of the executive officer the authority is delegated to the board president or in his or her absence the vice-president.
(b) When the executive officer finds that the issuance of an initial probationary license is necessary in accordance with section 2660.2 of the Act, the Board's Disciplinary Guidelines specified in section 1399.15 of these regulations shall serve as guidelines for the terms and conditions of an initial probationary license.
NOTE

Authority cited: Section 2615, Business and Professions Code.  Reference: Sections 2607.5 and 2660.2, Business and Professions Code.
HISTORY

1. New section filed 10-8-2004; operative 11-7-2004 (Register 2004, No. 41).
Article 8. Discipline and Reinstatement of License
§1399.20. Substantial Relationship Criteria.
Note     •     History

For the purposes of denial, suspension or revocation of a license, pursuant to Division 1.5 (commencing with Section 475) of the code, a crime or act shall be considered to be substantially related to the qualifications, functions or duties of a person holding a license under the Physical Therapy Practice Act if to a substantial degree it evidences present or potential unfitness of a person to perform the functions authorized by the license in a manner consistent with the public health, safety or welfare. Such crimes or acts shall include but not be limited to the following:
(a) Violating or attempting to violate, directly or indirectly, or assisting in or abetting the violation of, or conspiring to violate any provision or term of the Physical Therapy Practice Act.
(b) Conviction of a crime involving fiscal dishonesty arising out of or in connection with the practice of physical therapy.
(c) Violating or attempting to violate any provision or term of the Medical Practice Act.
NOTE

Authority cited: Sections 481 and 2615, Business and Professions Code. Reference: Sections 481, 2660 and 2661, Business and Professions Code.
HISTORY

1. Repealer of NOTE and new NOTE filed 4-16-79; effective thirtieth day thereafter (Register 79, No. 16).
2. Amendment of Article 8 heading and section filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
3. Amendment of first paragraph filed 12-19-2002; operative 1-18-2003 (Register 2002, No. 51).
§1399.21. Rehabilitation Criteria for Denial and Reinstatement of Licensure.
Note     •     History

When considering the denial of a license, under Section 480 of the code or a petition for reinstatement under Section 11522 of the Government Code, the board, in evaluating the rehabilitation of the applicant and his or her present eligibility for a license shall consider the following criteria:
(a) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(b) Evidence of any act(s) or crime(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480.
(c) The time that has elapsed since commission of the act(s) or crime(s) referred to in subsections (a) or (b).
(d) The extent to which the applicant has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against the applicant.
(e) Evidence, if any, of rehabilitation submitted by the applicant.
NOTE

Authority cited: Sections 482 and 2615, Business and Professions Code. Reference: Sections 482, 2660 and 2661, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 4-16-79; effective thirtieth day thereafter (Register 79, No. 16).
2. Amendment filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
3. Change without regulatory effect amending first paragraph filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
4. Amendment of first paragraph filed 12-19-2002; operative 1-18-2003 (Register 2002, No. 51).
§1399.22. Rehabilitation Criteria for Suspensions or Revocations.
Note     •     History

When considering the suspension or revocation of a license on the ground that a person holding a license under the Physical Therapy Practice Act has been convicted of a crime, the board in evaluating the rehabilitation of such person and his or her eligibility for a license shall consider the following criteria:
(a) The nature and severity of the act(s) or offense(s).
(b) The total criminal record.
(c) The time that has elapsed since commission of the act(s) or offense(s).
(d) Whether the licensee has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against such person.
(e) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(f) Evidence, if any, of rehabilitation submitted by the licensee.
NOTE

Authority cited: Sections 482 and 2615, Business and Professions Code. Reference: Sections 482, 2660 and 2661, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 4-16-79; effective thirtieth day thereafter (Register 79, No. 16).
2. Amendment filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
3. Change without regulatory effect amending first paragraph filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
4. Amendment of first paragraph and subsections (d) and (f) filed 12-19-2002; operative 1-18-2003 (Register 2002, No. 51).
Article 8.5. Administrative Citations
§1399.25. Administrative Citations.
Note     •     History

(a) The executive officer of the board is authorized to determine when and against whom a citation will be issued. A citation may contain an administrative fine, an order of abatement, or both. A citation may be issued for violations by a licensed physical therapist or physical therapist assistant of any of the following:
(1) The Physical Therapy Practice Act (Business and Professions Code section 2600 et seq.).
(2) A regulation adopted by the board.
(3) Other statutes or regulations for which the board has authority to issue a citation.
(b) Each citation shall be in writing and shall describe with particularity the nature and facts of the violation, including a reference to the statute alleged to have been violated. The citation shall be served upon the individual in the manner authorized pursuant to Business and Professions Code section 124.
(c) Except as provided in subdivision (d), if an administrative fine is included in the citation, the fine for a violation shall not be less than $100 and shall not exceed $2,500. The following factors shall be considered when determining the amount of an administrative fine:
(1) The good or bad faith of the cited person.
(2) The nature and severity of the violation.
(3) Evidence that the violation was willful.
(4) History of the violations of the same or similar nature.
(5) The extent to which the cited person has cooperated with the board.
(6) The extent to which the cited person has mitigated or attempted to mitigate any danger or injury caused by his or her violation.
(d) A citation may include an administrative fine of up to $5,000 if the board determines that at least one of the following circumstances apply:
(1) The citation involves a violation that presents an immediate threat to the health and safety of another person.
(2) The citation involves multiple violations of the Physical Therapy Practice Act or these regulations that demonstrate a willful disregard of the law.
(3) The citation involves a violation or violations perpetrated against a senior citizen or disabled person.
(4) The cited person has a history of two or more prior citations of the same or similar violations.
(e) Every citation issued pursuant to this article shall be disclosed to an inquiring member of the public. However, a citation shall be destroyed from all licensee records five (5) years from the date of issuance or, if one or more subsequent citations is issued within that five (5) year period, five (5) years from the date the last citation was issued. A citation that has been withdrawn or dismissed shall be destroyed from all licensee records immediately upon being withdrawn or dismissed.
NOTE

Authority cited: Sections 125.9 and 2615, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 4-25-90; operative 5-25-90 (Register 90, No. 21).
2. Amendment of section heading filed 6-25-97; operative 7-25-97 (Register 97, No. 26).
3. Change without regulatory effect amending subsection (a) filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
4. New subsection (c) and amendment of Note filed 12-24-2002; operative 1-23-2003 (Register 2002, No. 52).
5. Amendment of subsection (c) filed 3-13-2006; operative 4-12-2006 (Register 2006, No. 11).
6. New article 8.5 heading and amendment of section filed 12-9-2008; operative 1-8-2009 (Register 2008, No. 50).
§1399.26. Amount of Fines. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 125.9 and 2615, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 4-25-90; operative 5-25-90 (Register 90, No. 21).
2. Amendment filed 6-25-97; operative 7-25-97 (Register 97, No. 26).
3. New subsections (a)(7)-(8), (a)(11)-(13), (a)(15)-(18), (a)(22)-(27) and (a)(29)-(33), subsection renumbering, amendment of subsection (b) and amendment of Note filed 12-24-2002; operative 1-23-2003 (Register 2002, No. 52).
4. Amendment filed 9-8-2004; operative 10-8-2004 (Register 2004, No. 37).
5. Repealer filed 12-9-2008; operative 1-8-2009 (Register 2008, No. 50).
§1399.27. Compliance with Orders of Abatement.
Note     •     History

(a) If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, the person cited may request an extension of time from the executive officer in which to complete the correction. Such a request shall be in writing and shall be made within the time set forth for abatement.
(b) When an order of abatement is not contested or if the order is appealed and the person cited does not prevail, failure to abate the violation charged within the time allowed shall constitute a violation and failure to comply with the order of abatement. An order of abatement shall either be personally served or mailed by certified mail, return receipt requested. The time allowed for the abatement of a violation shall begin when the order of abatement is final and has been served or received. Such failure may result in disciplinary action being taken by the board or other appropriate judicial relief being taken against the person cited.
NOTE

Authority cited: Sections 125.9 and 2615, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 4-25-90; operative 5-25-90 (Register 90, No. 21).
2. Amendment of Note filed 12-24-2002; operative 1-23-2003 (Register 2002, No. 52).
§1399.28. Citations for Unlicensed Practice.
Note     •     History

The executive officer of the board is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and fines against persons, partnerships, corporations or associations who are performing or who have performed services for which licensure as a physical therapist or physical therapist assistant is required under the Physical Therapy Practice Act. Each citation issued shall contain an order of abatement. Where appropriate, the executive officer shall levy a fine for such unlicensed activity in accordance with subdivision (b)(3) of section 125.9 of the code. The provisions of sections 1399.25 and 1399.27 shall apply to the issuance of citations for unlicensed activity under this subsection. The sanction authorized under this section shall be separate from and in addition to any other civil or criminal remedies.
NOTE

Authority cited: Sections 125.9, 148 and 2615, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 4-25-90; operative 5-25-90 (Register 90, No. 21).
2. Change without regulatory effect amending section filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
3. Amendment of section and Note filed 12-24-2002; operative 1-23-2003 (Register 2002, No. 52).
§1399.29. Contest of Citations.
Note     •     History

(a) In addition to requesting a hearing as provided for in subdivision (b)(4) of section 125.9 of the code, the person cited may, within ten (10) days after service or receipt of the citation, notify the executive officer in writing of his or her request for an informal conference with the executive officer regarding the acts charged in the citation. The time allowed for the request shall begin the first day after the citation has been served or received.
(b) The executive officer shall hold, within 30 days from the receipt of the request, an informal conference with the person cited or his or her legal counsel or authorized representative. At the conclusion of the informal conference the executive officer may affirm, modify or dismiss the citation, including any fine levied or order of abatement issued. The executive officer shall state in writing the reasons for his or her action and serve or mail, as provided in subsection (b) of section 1399.27, a copy of his or her findings and decision to the person cited within ten days from the date of the informal conference. This decision shall be deemed to be a final order with regard to the citation issued, including the fine levied and the order of abatement.
(c) The person cited does not waive his or her request for a hearing to contest a citation by requesting an informal conference after which the citation is affirmed by the executive officer. If the citation is dismissed after the informal conference, the request for a hearing on the matter of the citation shall be deemed to be withdrawn. If the citation, including any fine levied or order of abatement, is modified, the citation originally issued shall be considered withdrawn and new citation issued. If a hearing is requested for the subsequent citation, it shall be requested within 30 days in accordance with subdivision (b)(4) of section 125.9 of the code.
NOTE

Authority cited: Sections 125.9 and 2615, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 4-25-90; operative 5-25-90 (Register 90, No. 21).
2. Amendment of Note filed 12-24-2002; operative 1-23-2003 (Register 2002, No. 52).
Article 9. Physical Therapy Professional Corporations
§1399.30. Citation.
Note     •     History

These regulations may be cited and referred to as “Physical Therapy Professional Corporation Regulations.”
NOTE

Authority and reference cited: Sections 2615 and 2696, Business and Professions Code; and Section 13410, Corporations Code.
HISTORY

1. New Article 9. (Sections 1399.30-1399.41) filed 8-31-77; effective thirtieth day thereafter (Register 77, No. 36).
2. Amendment filed 8-13-81; effective thirtieth day thereafter (Register 81, No. 33).
3. Amendment filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
§1399.31. Professional Relationships and Responsibilities Not Affected. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2696, Business and Professions Code.
HISTORY

1. Amendment filed 8-13-81; effective thirtieth day thereafter (Register 81, No. 33).
2. Repealer filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
§1399.32. Office for Filing. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2696, Business and Professions Code.
HISTORY

1. Repealer filed 8-13-81; effective thirtieth day thereafter (Register 81, No. 33).
§1399.33. Application. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2696, Business and Professions Code.
HISTORY

1. Repealer filed 8-13-81; effective thirtieth day thereafter (Register 81, No. 33).
§1399.34. Approval and Issuance of Certificates. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2696, Business and Professions Code.
HISTORY

1. Repealer filed 8-13-81; effective thirtieth day thereafter (Register 81, No. 33).
§1399.35. Requirements for Professional Corporations.
Note     •     History

A professional corporation shall comply with the following provisions:
(a) The corporation is organized and exists pursuant to the general corporation law and is a professional corporation within the meaning of Moscone-Knox Professional Corporations Act (Section 13400 et seq. of the Corporations Code).
(b) Each shareholder, director and officer (except as provided in Section 13403 of the Corporations Code and Section 2694 of the code) holds a valid physical therapist license. A physical therapist may be a shareholder in more than one professional corporation.
(c) Each professional employee of the corporation who will practice physical therapy, whether or not a director, officer or shareholder, holds a valid physical therapist license.
NOTE

Authority cited: Sections 2615 and 2696, Business and Professions Code. Reference: Sections 2690 and 2694, Business and Professions Code; and Sections 13401, 13403, 13404, 13405, 13406 and 13407, Corporations Code.
HISTORY

1. Amendment filed 8-13-81; effective thirtieth day thereafter (Register 81, No. 33).
2. Amendment filed 10-19-83; effective thirtieth day thereafter (Register 83, No. 43).
§1399.36. Namestyle. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2696, Business and Professions Code.
HISTORY

1. Repealer and new section filed 8-2-79; effective thirtieth day thereafter (Register 79, No. 31).
2. Repealer filed 8-13-81; effective thirtieth day thereafter (Register 81, No. 33).
§1399.37. Shares: Ownership and Transfer.
Note     •     History

(a) Where there are two or more shareholders in a professional corporation and one of the shareholders:
(1) Dies; or
(2) Becomes a disqualified person as defined in Section 13401(d) of the Corporations Code for a period exceeding ninety (90) days, his or her shares shall be sold and transferred to the corporation, its shareholders or other eligible licensed persons on such terms as are agreed upon. Such sale or transfer shall not be later than six (6) months after any such death and not later than ninety (90) days after the date the shareholder becomes a disqualified person. The requirements of this subsection shall be set forth in the professional corporation's articles of incorporation or bylaws.
(b) A corporation and its shareholders may, but need not, agree that shares sold to it by a person who becomes a disqualified person may be resold to such person if and when he or she again becomes an eligible shareholder.
(c) The share certificates of a professional corporation shall contain an appropriate legend setting forth the restrictions of subsection (b), where applicable.
(d) Nothing in these regulations shall be construed to prohibit a professional corporation from owning shares in a nonprofessional corporation.
NOTE

Authority cited: Section 2696, Business and Professions Code. Reference: Section 2696, Business and Professions Code; and Sections 13401, 13403, 13406 and 13407, Corporations Code.
HISTORY

1. Amendment of subsection (f) filed 8-13-81; effective thirtieth day thereafter (Register 81, No. 33).
2. Amendment filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
§1399.38. Certificates of Registration: Continuing Validity and Reports. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2696, Business and Professions Code.
HISTORY

1. Amendment of subsections (b), (c), and (d) filed 4-16-79; effective thirtieth day thereafter (Register 79, No. 16).
2. Repealer filed 8-13-81; effective thirtieth day thereafter (Register 81, No. 33).
§1399.39. Corporate Activities.
Note     •     History

(a) A professional corporation may perform any act authorized in its articles of incorporation or bylaws so long as that act is not in conflict with or prohibited by these regulations, the Physical Therapy Practice Act or the regulations adopted pursuant thereto.
(b) A professional corporation may enter into partnership agreements with other physical therapists practicing individually or in a group or with other physical therapy professional corporations.
NOTE

Authority cited: Section 2696, Business and Professions Code. Reference: Section 2696, Business and Professions Code; and Sections 13403, 13408 and 13410, Corporations Code.
HISTORY

1. Amendment of subsection (a) filed 8-13-81; effective thirtieth day thereafter (Register 81, No. 33).
§1399.40. Trusts.
Note     •     History

The restrictions on the ownership of the shares of professional corporations shall apply to both the legal and equitable title to such shares.
NOTE

Authority cited: Section 2696, Business and Professions Code. Reference: Sections 13406 and 13407, Business and Professions Code.
HISTORY

1. Amendment filed 8-13-81; effective thirtieth day thereafter (Register 81, No. 33).
§1399.41. Effect of Surrendered or Revoked Certificates; Probate. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2696, Business and Professions Code.
HISTORY

1. Repealer filed 8-13-81; effective thirtieth day thereafter (Register 81, No. 33).
Article 10. Fees
§1399.50. Physical Therapist Fees. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Sections 2638 and 2688, Business and Professions Code.
HISTORY

1. Amendment filed 3-20-78; effective thirtieth day thereafter (Register 78, No. 12).
2. Amendment filed 10-27-78 as an emergency; effective upon filing (Register 78, No. 43).
3. Certificate of Compliance filed 12-20-78 (Register 78, No. 51).
4. New subsection (c) and renumbering of subsection (c) to (d) filed 4-16-79; effective thirtieth day thereafter (Register 79, No. 16).
5. Amendment of subsections (c) and (d) filed 8-2-79; effective thirtieth day thereafter (Register 79, No. 31).
6. Amendment filed 2-8-80; effective thirtieth day thereafter (Register 80, No. 6).
7. Amendment filed 1-25-82; effective thirtieth day thereafter (Register 82, No. 5).
8. Amendment of subsections (a), (b) and (c) filed 5-15-91; operative 6-14-91 (Register 91, No. 26).
9. Amendment of subsections (d)-(f) filed 12-30-91; operative 1-29-92 (Register 92, No. 11).
10. Amendment of subsections (c)-(f) filed 11-19-92; operative 12-21-92 (Register 92, No. 47).
11. Amendment of subsection (c) filed 12-6-94; operative 12-6-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 49).
12. Amendment of subsections (a) and (b) filed 5-15-96; operative 6-14-96 (Register 96, No. 20).
13. Amendment of subsection (c), new subsection (d), subsection relettering, and amendment of newly designated subsections (e)-(g) filed 6-2-97; operative 6-2-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 23).
14. Amendment of subsection (c) filed 2-10-2000; operative 3-11-2000 (Register 2000, No. 6).  
15. Amendment filed 10-24-2005; operative 10-24-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 43).
16. Repealer filed 10-7-2009; operative 11-6-2009 (Register 2009, No. 41).
§1399.51. Initial License Fee Waiver. [Repealed]
History

HISTORY

1. Repealer filed 2-10-2000; operative 3-11-2000 (Register 2000, No. 6).  
§1399.52. Physical Therapist Assistant Fees. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Sections 2655.6 and 2688, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 1-30-79; effective thirtieth day thereafter (Register 79, No. 5).
2. New subsection (b), and renumbering of subsections (b), (c), and (d) to (c), (d), and (e) filed 4-16-79; effective thirtieth day thereafter (Register 79, No. 16).
3. Amendment filed 8-2-79; effective thirtieth day thereafter (Register 79, No. 31).
4. Amendment filed 2-8-80; effective thirtieth day thereafter (Register 80, No. 6).
5. Amendment of subsections (e)-(g) filed 8-13-81; effective thirtieth day thereafter (Register 81, No. 33).
6. Amendment filed 1-25-82; effective thirtieth day thereafter (Register 82, No. 5).
7. Repealer of subsections (e)-(g) filed 8-13-86; effective thirtieth day thereafter (Register 86, No. 33).
8. Amendment of subsection (b) filed 5-15-91; operative 6-14-91 (Register 91, No. 26).
9. Amendment of subsections (c) and (d) filed 1-6-92; operative 2-5-92 (Register 92, No. 11).
10. Amendment of subsections (a)-(d) and new subsection (e) filed 11-19-92; operative 12-21-92 (Register 92, No. 47).
11. Amendment of subsection (b) filed 12-6-94; operative 12-6-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 49).
12. Amendment of subsection (a) filed 5-15-96; operative 6-14-96 (Register 96, No. 20).
13. Amendment of subsection (b), new subsection (c), subsection relettering, and amendment of newly designated subsections (d)-(f) filed 6-2-97; operative 6-2-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 23).
14. Amendment of subsection (b) filed 2-10-2000; operative 3-11-2000 (Register 2000, No. 6).  
15. Amendment of subsections (a) and (f) filed 12-19-2002; operative 1-18-2003 (Register 2002, No. 51).
16. Amendment filed 10-24-2005; operative 10-24-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 43).
17. Repealer filed 10-7-2009; operative 11-6-2009 (Register 2009, No. 41).
§1399.53. Professional Corporation Fees. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 2615 and 2696, Business and Professions Code.
HISTORY

1. New section filed 8-31-77; effective thirtieth day thereafter (Register 77, No. 36).
2. Amendment of subsection (b) filed 3-20-78; effective thirtieth day thereafter (Register 78, No. 12).
3. Amendment of subsections (b) and (c), and new subsections (d) and (e) filed 4-16-79; effective thirtieth day thereafter (Register 79, No. 16).
4. Editorial correction of subsection (c) (Register 79, No. 29).
5. Repealer filed 8-13-81; effective thirtieth day thereafter (Register 81, No. 33).
§1399.54. Electromyography Certification Fees.
Note     •     History

Pursuant to section 2689 of the code, fees for physical therapists certified to perform electromyography are fixed as follows:
(a) The application fee shall be $100.00.
(b) The biennial renewal fee shall be $50.00.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Section 2689, Business and Professions Code.
HISTORY

1. New section filed 11-17-78; effective thirtieth day thereafter (Register 78, No. 46).
2. Amendment filed 8-2-79; effective thirtieth day thereafter (Register 79, No. 31).
3. Amendment filed 12-17-80; effective thirtieth day thereafter (Register 80, No. 51).
4. Amendment filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
5. Amendment of subsection (a) filed 5-15-91; operative 6-14-91 (Register 91, No. 26).
§1399.55. Conversion Renewal Schedule. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Sections 2684 and 2688, Business and Professions Code.
HISTORY

1. New Section filed 1-26-84; effective thirtieth day thereafter (Register 84, No. 4).
2. Repealer filed 9-16-88; operative 10-16-88 (Register 88, No. 40).
Article 11. Electromyography Certification
§1399.60. Definitions.
Note     •     History

As used in these regulations:
(a) “Electroneuromyography” means the performance of tissue penetration for the purpose of evaluating neuromuscular performance, and includes the evaluation of specific abnormal potentials and evoked responses.
(b) “Kinesiological electromyography” means the study, including tissue penetration, of the phasic activity of individual or multiple muscles in relation to another physical or physiological event or exercise and does not include the evaluation of specific abnormal potentials or evoked responses.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Section 2620.5, Business and Professions Code.
HISTORY

1. New Article 11 (Sections 1399.60-1399.69, not consecutive) filed 11-17-78; effective thirtieth day thereafter (Register 78, No. 46).
2. Amendment of NOTE filed 4-16-79; effective thirtieth day thereafter (Register 79, No. 16).
3. Amendment filed 12-17-80; effective thirtieth day thereafter (Register 80, No. 51).
4. Amendment filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
§1399.61. Certification Required.
Note     •     History

(a) No physical therapist shall perform tissue penetration for the purpose of making an electromyographical evaluation unless he or she is certified by the board to perform such tests or such practice is appropriately supervised pursuant to Sections 1399.63 or 1399.64 in order to meet the experience requirements for examination by the board for certification.
(b) No physical therapist who is certified to perform kinesiological electromyography shall perform electroneuromyographical evaluations without additional authorization from the board as indicated on his or her certification.
(c) No physical therapist who is certified to perform electroneuromyographical evaluations shall perform kinesiological electromyography without additional authorization from the board as indicated on his or her certification.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Section 2620.5, Business and Professions Code.
HISTORY

1. Amendment filed 12-17-80; effective thirtieth day thereafter (Register 80, No. 51).
2. New subsection (c) filed 8-29-94; operative 9-28-94 (Register 94, No. 35).
3. Change without regulatory effect amending section filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
§1399.62. Application Required.
Note     •     History

All applications for certification by the board in electromyography shall be on a form provided by the board which is accompanied by whatever documentation is required therein and the certification fee required in Section 1399.54 of these regulations.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Section 2620.5, Business and Professions Code.
HISTORY

1. Amendment filed 12-17-80; effective thirtieth day thereafter (Register 80, No. 51).
2. Amendment filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
3. Change without regulatory effect amending section filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
§1399.63. Requirements for Kinesiological Electromyography Certification.
Note     •     History

In order to be examined by the board for certification in kinesiological electromyography an applicant shall meet the following requirements:
(a) Licensure. Be licensed as a physical therapist by the board.
(b) Training in Tissue Penetration. Provide evidence of training under a licensed physician or a physical therapist certified to perform electromyography, in tissue penetration for the purpose of evaluation of muscular or neuromuscular performance which shall include instruction and demonstrations in:
(1) Pertinent anatomy and physiology,
(2) Choice of equipment,
(3) Proper technique,
(4) Hazards and complications,
(5) Post test care, and
(6) Satisfactory performance by the trainee in the technical skills of tissue penetration.
Such training may be completed as part of the coursework obtained under subsection (c)(1) below.
(c) Education. Provide evidence of one of the following educational requirements:
(1) Completion of regular or extension coursework pertinent to electromyography obtained in a public university or state college or in a private postsecondary educational institution which is accredited or approved under Section 94310 of the Education Code for which academic credit is awarded or continuing education coursework, which is acceptable to the board. The curriculum vitae of the instructor, course outline, course objectives and evaluation mechanism of any extension or continuing education coursework which is presented by the applicant as meeting the requirements of this section shall be forwarded to the board upon request. Such coursework in order to qualify the applicant for certification shall include instruction in the following subject areas:
(A) Gross anatomy--the muscular system of the body with emphasis on the structural and cross sectional relationships.
(B) Neuroanatomy--organization and functional features of the central and peripheral nervous system.
(C) Nerve and muscle physiology--bioelectric currents and their characteristic wave forms and conduction over peripheral nerves.
(2) Completion of a period of self-study which prepares the applicant to pass an examination for certification in kinesiological electromyography. Evidence and documentation shall include a summarization of what matters were contained in the self-study including the applicant's clinical exposure to electromyography and any materials studied on that subject and the names and statements, of any proctors who may have supervised the applicant in electromyography;
(3) Authorization to perform electromyography issued by another state with similar requirements.
(d) Experience. Provide evidence of the following experience requirements:
(1) Completion of not less than 200 clock hours in kinesiological electromyography satisfactory to the board which provides a progressive level of training under a physical therapist certified in  kinesiological electromyography in this state or another state which has similar requirements for certification, or under a licensed physician who is similarly qualified to perform and who performs kinesiological electromyography as part of his or her practice of medicine who is approved by the board.
(2) Documentation of completion of 50 kinesiological electromyographic examinations.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Section 2620.5, Business and Professions Code.
HISTORY

1. New section filed 12-17-80; effective thirtieth day thereafter (Register 80, No. 51).
2. Amendment of subsections (c)(2) and (d)(2) filed 12-31-81; effective thirtieth day thereafter (Register 82, No. 1).
3. Amendment of subsections (c)(2) and (d)(2) filed 5-20-85; effective thirtieth day thereafter (Register 85, No. 21).
4. Amendment of subsections (b) and (d)-(d)(1), repealer of designation of subsections (d)(1)(A)-(C), repealer of subsection (d)(1)(B), repealer of designation of subsection (d)(2)(A) and repealer of subsections (d)(2)(B)-(C) filed 8-29-94; operative 9-28-94 (Register 94, No. 35).
5. Change without regulatory effect amending first paragraph and subsections (c)(1) and (d)(1) filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
§1399.64. Requirements for Electroneuromyography Authorization.
Note     •     History

In order to be examined by the board for additional authorization to perform electroneuromyographical examinations an applicant shall meet the following requirements:
(a) Comply with Section 1399.63, subsections (a) and (b).
(b) Education. Provide evidence of one of the following education requirements:
(1) In addition to that coursework required in Section 1399.63, subsection (c)(1), completion of the following additional coursework which meets the requirements of that section in the following subject areas:
(A) Neuroanatomy which also emphasizes the course of peripheral nerves and patterns of innervation.
(B) Clinical neurology, myology and pathology--identification of clinical characteristics of neurogenic and myogenic disorders.
(C) Physical science of electroneuromyography--basic electrophysiology and the identification and recording of bioelectric signals.
(D) Clinical science of electroneuromyography--knowledge and procedures of patient evaluation and examination, including electromyographic and nerve conduction velocity studies, and training in tissue penetration.
(2) Completion of a period of self-study which prepares the applicant to pass a supplemental examination for additional certification to perform electroneuromyographical examination. Evidence and documentation shall include a summarization of what matters were contained in the self-study including the applicant's clinical exposure to electroneuromyography and any materials studied on that subject and the name and statements, of any proctors who may have supervised the applicant in electroneuromyography.
(3) Authorization to perform electroneuromyographical examinations issued by another state with similar requirements.
(c) Experience. Provide evidence of the following experience requirements:
(1) Completion of not less than 400 clock hours in electroneuromyography, satisfactory to the board which provides a progressive level of training under (A) a physical therapist authorized to perform electroneuromyography, in this state or, (B) under a licensed physical therapist in another state which has similar requirements for certification, who is authorized to perform electroneuromyography or who is certified by the American Board of Physical Therapy Specialists as an electrophysiological clinical specialist, or (C) under a licensed physician who is similarly qualified to perform and who performs electroneuromyography, as part of his or her practice of medicine.
(2) Documentation of completion of 200 electroneuromyographic examinations.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Section 2620.5, Business and Professions Code.
HISTORY

1. Repealer and new section filed 12-17-80; effective thirtieth day thereafter (Register 80, No. 51).
2. Amendment of subsections (b)(2) and (c)(2) filed 12-31-81; effective thirtieth day thereafter (Register 82, No. 1).
3. Amendment of subsection (c)(1) filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
4. Amendment of subsections (b)(2) and (c)(2) filed 5-20-85; effective thirtieth day thereafter (Register 85, No. 21).
5. Amendment of subsections (c)-(c)(1), repealer of designation of subsections (c)(1)(A)-(B) with textual amendments, repealer of designation of subsection (d)(2)(A) with textual amendment and repealer of subsection (d)(2)(B) filed 8-29-94; operative 9-28-94 (Register 94, No. 35).
6. Change without regulatory effect amending first paragraph and subsection (c)(1) filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
§1399.65. Examination Required.
Note     •     History

(a)   All physical therapists applying for certification to perform kinesiological electromyography shall take and pass the examination referred to in Section 1399.66, which will be administered by the board.
(b) All physical therapists applying for certification to perform electroneuromyography shall take and pass the examination referred to in Section 1399.67, which will be administered by the board.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Section 2620.5, Business and Professions Code.
HISTORY

1. Amendment filed 12-17-80; effective thirtieth day thereafter (Register 80, No. 51).
2. Amendment of subsection (a) filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
3. Repealer and new subsections (a) and (b) filed 8-29-94; operative 9-28-94 (Register 94, No. 35).
4. Change without regulatory effect amending section filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
5. Amendment filed 3-8-2000; operative 4-7-2000 (Register 2000, No. 10).
§1399.66. Examination Subject Areas--Kinesiological Electromyography.
Note     •     History

The examination for certification in kinesiological electromyography shall test applicants in the following subject areas:
(a) Basic science as related to kinesiological electromyography:
(1) Anatomy
(2) Electrophysiology
(b) Clinical science as related to kinesiological electromyography:
(1) Pre-examination patient evaluation 
(2) Instrumentation
(3) Kinesiological examination procedure and process.
(c) Practical application of kinesiological electromyography:
(1) Needle/wire examination of muscles
(2) Handling of equipment
(3) Patient preparation and management
(4) Data collection, presentation and summarization.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Section 2620.5, Business and Professions Code.
HISTORY

1. Repealer and new section filed 12-17-80; effective thirtieth day thereafter (Register 80, No. 51).
2. Repealer of subsection (a)(2) and subsection redesignation, amendment of subsections (b)(1) and (c)-(c)(1) filed 8-29-94; operative 9-28-94 (Register 94, No. 35).
§1399.67. Examination Subject Areas--  Electroneuromyography.
Note     •     History

The examination for certification in electroneuromyography shall  test applicants in the following subject areas:
(a) Basic science as related to electroneuromyography:
(1) Anatomy
(2) Electrophysiology
(3) Neuromuscular pathology.
(b) Clinical science as related to electroneuromyography:
(1) Instrumentation
(2) Pre-examination patient evaluation
(3) Examination procedure and process
(4) Interpretation and recording of examination records and data.
(c) Practical application of electroneuromyography:
(1) Needle examination of muscles
(2) Motor and sensory nerve conduction velocity examinations.
(3) Handling of equipment
(4) Patient preparation and management
(5) Data collection, presentation and summarization.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Section 2620.5, Business and Professions Code.
HISTORY

1. New section filed 12-17-80; effective thirtieth day thereafter (Register 80, No. 51).
2. Amendment filed 8-29-94; operative 9-28-94 (Register 94, No. 35).
§1399.68. Certification Renewal.
Note     •     History

All certificates to perform electromyography shall be renewed concurrently with each holder's physical therapist license.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Section 2620.5, Business and Professions Code.
HISTORY

1. Amendment filed 12-17-80; effective thirtieth day thereafter (Register 80, No. 51).
2. Amendment filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
3. Change without regulatory effect amending section filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
4. Amendment filed 3-8-2000; operative 4-7-2000 (Register 2000, No. 10).
§1399.69. Suspension or Revocation of Certificates.
Note     •     History

(a) Any certificate to perform electromyography may be suspended or revoked or have probationary conditions imposed thereon by the board as directed by the board after proceedings held in accordance to the Administrative Procedure Act (Section 11500 et seq. of the Government Code) for any violation of this article, the Physical Therapy Regulations or Section 2660 of the code.
(b) It shall constitute unprofessional conduct and a violation of these rules for a physical therapist certified to perform kinesiological electromyography only to perform electroneuromyography without additional authorization obtained from the board, unless such practice is appropriately supervised pursuant to Section 1399.64 in order to meet the experience requirements for examination by the board for such additional authorization.
NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Section 2620.5, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 4-16-79; effective thirtieth day thereafter (Register 79, No. 16).
2. Amendment filed 12-17-80; effective thirtieth day thereafter (Register 80, No. 51).
3. Amendment filed 6-29-83; effective thirtieth day thereafter (Register 83, No. 27).
4. Change without regulatory effect amending section filed 9-11-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 37).
§1399.70. Electromyography Reports.
Note     •     History

The findings reported to the patient's physician shall include the following statement:
“This study has been performed in accordance with the Physical Therapy Practice Act (Chapter 5.7 of Division 2 of the Business and Professions Code) and with the Physical Therapy Regulations (Title 16, California Code of Regulations, Division 13.2). The findings in this report do not represent diagnostic interpretations or medical diagnoses. The results of the electromyographic examination by the certified electromyographer are intended for integration by the physician and surgeon with the patient's history, clinical examination, and the results of any other tests performed in establishing a medical diagnosis.”
NOTE

Authority cited: Sections 2615 and 2620.5, Business and Professions Code. Reference: Section 2620.5, Business and Professions Code.
HISTORY

1. New section filed 6-15-2004; operative 7-15-2004 (Register 2004, No. 25).
Article 12. Topical Medications
§1399.75. Compliance with Regulations.
Note     •     History

A physical therapist may apply or administer topical medications to a patient as set forth in this article.
NOTE

Authority cited: Sections 2615 and 2620.3, Business and Professions Code. Reference: Section 2620.3, Business and Professions Code.
HISTORY

1. New Article 12 (Sections 1399.75-1399.79) filed 2-11-81; effective thirtieth day thereafter (Register 81, No. 7).
§1399.76. Topical Medications Defined.
Note

As used in this article “topical medications” means medications applied locally to the skin or underlying tissue where there is a break in or absence of the skin where such medications require a prescription or order under federal or state law.
NOTE

Authority cited: Sections 2615 and 2620.3, Business and Professions Code. Reference: Section 2620.3, Business and Professions Code.
§1399.77. Administration of Medications.
Note

Topical medications may be administered by a physical therapist by:
(a) Direct application;
(b) Iontophoresis; or
(c) Phonophoresis.
NOTE

Authority cited: Sections 2615 and 2620.3, Business and Professions Code. Reference: Section 2620.3, Business and Professions Code.
§1399.78. Authorization and Protocols Required.
Note     •     History

Topical medications shall be applied or administered by a physical therapist in accordance with this section.
(a) Any topical medication applied or administered shall be ordered on a specific or standing basis by a practitioner legally authorized to order or prescribe such medication.
(b) Written protocols shall be prepared for the administration or application of each of the groups of medications listed in Section 1399.79 for which a prescription is required under Federal or State law, which shall include a description of the medication, its actions, its indications and contraindications, and the proper procedure and technique for the application or administration of medication.
NOTE

Authority cited: Sections 2615 and 2620.3, Business and Professions Code. Reference: Section 2620.3, Business and Professions Code.
HISTORY

1. Amendment of Note filed 3-8-2000; operative 4-7-2000 (Register 2000, No. 10).
§1399.79. Authorized Topical Medications.
Note     •     History

A physical therapist may apply or administer those topical medications listed in this section in accordance with the provisions of this article:
(a) Bacteriocidal agents;
(b) Debriding agents;
(c) Topical anesthetic agents;
(d) Anti-inflammatory agents;
(e) Antispasmodic agents; and
(f) Adrenocortico-steroids.
NOTE

Authority cited: Sections 2615 and 2620.3, Business and Professions Code. Reference: Section 2620.3, Business and Professions Code.
HISTORY

1. Amendment of subsection (f) and Note filed 3-8-2000; operative 4-7-2000 (Register 2000, No. 10).
§1399.85. Patient Records. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 2615, Business and Professions Code. Reference: Section 2620.7, Business and Professions Code.
HISTORY

1. New section filed 1-6-2003; operative 2-5-2003 (Register 2003, No. 2).
2. Renumbering of former section 1399.85 to new section 1398.13 filed 6-14-2011; operative 7-14-2011 (Register 2011, No. 24).
Article 13. Continuing Competency Requirements and Inactive License Status
§1399.90. Definitions.
Note     •     History

For purposes of this article, the following terms have the following meanings: 
(a) “ABPTS” means the American Board of Physical Therapy Specialists. 
(b) “Accredited institution” means an educational institution accredited by the United States Department of Education or by the regulatory authority of any state. 
(c) “Approval agency” means an entity that reviews and approves providers of continuing education courses and is recognized by the board pursuant to section 1399.95.
(d) “Approved provider” means a person or entity that offers, sponsors or provides continuing education courses and that is either approved pursuant to section 1399.96 or is an accredited institution. 
(e) “APTA” means the American Physical Therapy Association. 
(f) “CPTA” means the California Physical Therapy Association. 
(g) “Hour” is the unit of measurement for continuing competency and, for courses, means at least 50 minutes of instruction. 
(h) “FSBPT” means the Federation of State Boards of Physical Therapy. 
NOTE

Authority cited: Sections 2615 and 2676, Business and Professions Code. Reference: Sections 2676 and 2684, Business and Professions Code. 
HISTORY

1. New article 13 (sections 1399.90-1399.99) and section filed 10-7-2009; operative 11-6-2009 (Register 2009, No. 41).
§1399.91. Continuing Competency Required.
Note     •     History

(a) As required by this article, a licensee must accumulate 30 hours of continuing competency hours in each license cycle. A licensee must submit evidence of completing those hours to the board in order to renew his or her license. In order to implement this requirement: 
(1) For licenses that expire between October 31, 2010 and October 31, 2011, if the renewal is submitted prior to the expiration of the original license, 15 hours of continuing competency shall be completed. 
(2) For licenses that expire on and after November 1, 2011, the full 30 hours shall be completed. 
(b) For first-time license renewals, if the renewal is submitted prior to the expiration of the original license, the continuing competency hour requirements shall be one-half of the normal cycle. The requirements of 1399.93 shall apply to any renewal under this subsection. 
(c) For those licensees accumulating “continuing education units” or “CEUs” under the continuing education requirements of APTA and CPTA, one CEU is equal to ten hours. 
NOTE

Authority cited: Sections 2615 and 2676, Business and Professions Code. Reference: Sections 2676 and 2684, Business and Professions Code. 
HISTORY

1. New section filed 10-7-2009; operative 11-6-2009 (Register 2009, No. 41).
§1399.92. Content Standards for Continuing Competency.
Note     •     History

Continuing competency hours must be obtained in subjects related to either the professional practice of physical therapy or patient/client management. 
(a) The professional practice of physical therapy includes but is not limited to professional accountability, professional behavior and professional development. 
(b) Patient/client management includes but is not limited to examination, evaluation and diagnosis and prognosis; plan of care; implementation; education; and discharge. 
NOTE

Authority cited: Sections 2615 and 2676, Business and Professions Code. Reference: Sections 2676 and 2684, Business and Professions Code. 
HISTORY

1. New section filed 10-7-2009; operative 11-6-2009 (Register 2009, No. 41).
§1399.93. Continuing Competency Subject Matter Requirements and Other Limitations.
Note     •     History

For each renewal cycle, a licensee's continuing competency hours must include the following: 
(a) Two hours in ethics, laws and regulations, or some combination thereof, and 
(b) Four hours in life support for health care professionals. Such training should be comparable to, or more advanced than, the American Heart Association's Basic Life Support Health Care Provider course. 
NOTE

Authority cited: Sections 2615 and 2676, Business and Professions Code. Reference: Sections 2676 and 2684, Business and Professions Code. 
HISTORY

1. New section filed 10-7-2009; operative 11-6-2009 (Register 2009, No. 41).
§1399.94. Authorized Pathways for Obtaining Hours.
Note     •     History

Continuing competency hours must be obtained through an authorized pathway, which may be either traditional or alternate. 
(a) Traditional pathways are those offered by an approved provider. There is no limit to the number of hours which may be accumulated through traditional pathways. The traditional pathways are: 
(1) continuing education courses, including home and self study courses, approved through an agency recognized by the board under the provisions of regulation section 1399.95; and 
(2) college coursework from an accredited institution. 
(b) Alternate pathways are those offered by an entity other than an approved provider. Only those alternate pathways described in this section may be used to accumulate continuing competency hours. The number of alternate pathway hours that may be applied for a renewal cycle may not exceed any cap noted below. Hours may be granted only in accordance with the conversion formula for each alternate pathway noted below. 

Alternate Pathways

View Graphic
NOTE

Authority cited: Sections 2615 and 2676, Business and Professions Code. Reference: Sections 2676 and 2684, Business and Professions Code. 
HISTORY

1. New section filed 10-7-2009; operative 11-6-2009 (Register 2009, No. 41).
§1399.95. Standards for Approval Agencies.
Note     •     History

(a) An approval agency may be recognized by the board only if the approval agency has met the standards in this section. Once recognized, an approval agency may approve a provider operating consistent with section 1399.96. 
(b) Each approval agency must have the capacity to evaluate each course offered by a provider in accordance with section 1399.96 and shall conduct audits of at least 10% of its approved providers' courses to ensure compliance with this article. 
(c) Each approval agency has a procedure for periodic review of courses to ensure content quality and currency. 
(d) Each approval agency shall have a procedure to respond to complaints. 
(e) Each approval agency shall provide services to all persons or entities without unlawful discrimination. 
(f) Each approval agency that also offers continuing education courses directly to a licensee shall have a means to avoid a conflict of interest between its function as a provider and its function as an approval agency. 
(g) Each approval agency offering retroactive approval for a course must evaluate the course for compliance with the standards relating to courses found in 1399.96. The approval agency shall comply with the record retention requirements of 1399.96(j). 
(h) Upon written confirmation from the board that an approval agency has been recognized, the approval agency may advertise that it has been recognized by the board. 
(i) The board may require the approval agency to submit records demonstrating its compliance with this article. 
(j) Failure of an approval agency to substantially comply with the provisions as set forth in this section, or a material misrepresentation to the board, shall constitute cause for withdrawal of recognition by the board. Recognition can be revoked only by the members of the board, after written notice setting forth the reasons for withdrawal and after affording a reasonable opportunity for the approval agency to be heard. 
NOTE

Authority cited: Sections 2615 and 2676, Business and Professions Code. Reference: Sections 2676 and 2684, Business and Professions Code. 
HISTORY

1. New section filed 10-7-2009; operative 11-6-2009 (Register 2009, No. 41).
§1399.96. Standards for Approved Providers.
Note     •     History

Before it may approve a provider, the approval agency shall require that the provider adhere to the following requirements: 
(a) Topics and subject matter for each course shall be pertinent to the practice of physical therapy as required by section 1399.92. 
(b) Instructors for each course shall be competent in the subject matter and shall be qualified by appropriate education, training, experience, scope of practice or licensure. 
(c) Each course shall have a syllabus that includes learning objectives, bibliography and either a schedule, for courses offered in-person, or an outline, for courses offered online. 
(d) Each course shall have written educational goals and specific learning objectives which are measurable and which serve as a basis for an evaluation of the effectiveness of the course. 
(e) When an approved provider works with others on the development, distribution and/or presentation of a continuing education course (joint sponsorship), there shall be procedures to identify and document the functions of each participating party. 
(f) Each approved provider shall periodically review its courses to ensure content quality and currency. 
(g) Each participant shall be given the opportunity to evaluate each course and offer feedback to the approved provider. The approved provider shall consider any such evaluations for the purpose of updating or revising courses. 
(h) Each approved provider has a procedure to respond to complaints. 
(i) Each approved provider provides services to all licensees without unlawful discrimination. 
(j) Each approved provider shall maintain records regarding course content and licensee attendance for a minimum of seven years. 
(k) Each approved provider and instructor shall disclose any financial interest in products recommended during a course. 
(l) Each approved provider shall provide a certificate of completion to attendees. 
(m) Each approved provider shall ensure that any information it disseminates publicizing its continuing education courses is true and not misleading. Such information shall include a statement with the name of the approval agency, that such agency may be contacted about any concerns, any approved provider identification number, and the number of hours for which the course has been approved. 
NOTE

Authority cited: Sections 2615 and 2676, Business and Professions Code. Reference: Sections 2676 and 2684, Business and Professions Code. 
HISTORY

1. New section filed 10-7-2009; operative 11-6-2009 (Register 2009, No. 41).
§1399.97. Record Keeping.
Note     •     History

(a) Each licensee shall keep and maintain records showing that each course or activity for which credit is claimed has been completed. Those records shall reflect the title of the course or activity, the date taken or completed, and the record of participation.
(b) Each licensee shall retain such documentation for a period of five years after the course or activity concludes. 
(c) Each licensee shall provide copies of such documentation to the board or its designee upon request. 
NOTE

Authority cited: Sections 2615 and 2676, Business and Professions Code. Reference: Sections 2676 and 2684, Business and Professions Code. 
HISTORY

1. New section filed 10-7-2009; operative 11-6-2009 (Register 2009, No. 41).
§1399.98. Inactive Status.
Note     •     History

(a) Upon written request, the board may grant inactive status to a licensee if, at the time of application for inactive status, the license is current and not suspended, revoked, or otherwise punitively restricted by the board. 
(b) The licensee shall not engage in any activity for which a license is required. 
(c) An inactive license shall be renewed during the same time period in which an active license or certificate is renewed. Any continuing education requirements for renewing a license are waived. 
(d) The renewal fee for an inactive license is the same as the fee to renew an active license. 
(e) To restore an inactive license to an active status, the holder shall do both of the following: 
(1) Pay the renewal and any continuing competency fees. 
(2) Complete continuing education equivalent to that required for a single renewal period of an active license within the last two years prior to applying to restore the license to active status. 
(f) The inactive status of any licensee does not deprive the board of its authority to institute or continue any disciplinary or enforcement action against the licensee. 
NOTE

Authority cited: Sections 2615 and 2676, Business and Professions Code. Reference: Sections 700, 701, 702, 703, 704, 2676 and 2684, Business and Professions Code. 
HISTORY

1. New section filed 10-7-2009; operative 11-6-2009 (Register 2009, No. 41).
§1399.99. Exemption from Continuing Competency Requirements.
Note     •     History

At the time of applying for renewal of a license, a licensee may request an exemption from the continuing competency requirements. The request for exemption must provide the following information: 
(a) Evidence that during the renewal period prior to the expiration of the license, the licensee was residing in another country for one year or longer, reasonably preventing completion of the continuing competency requirements; or
(b) Evidence that the licensee was absent from California because of military service for a period of one year or longer during the renewal period, preventing completion of the continuing competency requirements; or
(c) Evidence that the licensee should be exempt from the continuing competency requirements for reasons of health or other good cause which include: 
(1) Total physical and/or mental disability for one (1) year or more during the renewal period and the inability to work during this period has been verified by a licensed physician or surgeon or licensed clinical psychologist; or
(2) Total physical and/or mental disability for one (1) year or longer of an immediate family member for whom the licensee had total responsibility, as verified by a licensed physician or surgeon or licensed clinical psychologist. 
(d) An exemption under this section shall not be granted for two consecutive renewal periods. In the event a licensee cannot complete continuing competency requirements following an exemption, the licensee may only renew the license in an inactive status. 
NOTE

Authority cited: Sections 2615 and 2676, Business and Professions Code. Reference: Sections 2676 and 2684, Business and Professions Code. 
HISTORY

1. New section filed 10-7-2009; operative 11-6-2009 (Register 2009, No. 41).
Division 13.3. Hearing Aid Dispensers Bureau of the Department of Consumer Affairs
Article 1. General Provisions
§1399.100. Citation.
Note     •     History

This chapter may be cited and referred to as the “Hearing Aid Dispenser Regulations.”
NOTE

Authority cited: Section 3328, Business and Professions Code. Reference: Section 3328, Business and Professions Code.
HISTORY

1. New Chapter 13.3 (# 1399.100-1399.107, 1399.110-1399.112, 1399.117, 1399.120, 1399.121, 1399.125, 1399.130, 1399.131) filed 12-17-71; effective thirtieth day thereafter (Register 71, No. 51).
2. Amendment filed 6-17-77; effective thirtieth day thereafter (Register 77, No. 25).
3. Amendment of NOTE filed 4-12-79; effective thirtieth day thereafter (Register 79, No. 15).
4. Amendment filed 4-10-80; effective thirtieth day thereafter Register 80, No. 15).
5. Amendment filed 5-6-83; effective thirtieth day thereafter (Register 83, No. 19).
6. Change without regulatory effect amending division heading filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
§1399.101. Location of Offices.
Note     •     History

The principal office of the Hearing Aid Dispensers Bureau of the Department of Consumer Affairs is located at 1625 N. Market Boulevard, Suite S-209, Sacramento, California 95834.
NOTE

Authority cited: Section 3328, Business and Professions Code. Reference: Section 3328, Business and Professions Code.
HISTORY

1. Repealer of former section 1399.101 and renumbering of section 1399.100(b) to section 1399.101 filed 5-6-83; effective thirtieth day thereafter (Register 83, No. 19).
2. Change without regulatory effect amending section filed 2-24-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
3. Change without regulatory effect amending section filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
4. Change without regulatory effect amending section filed 4-3-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 14).
§1399.102. Definitions.
Note     •     History

For the purpose of the regulations contained in this chapter, the term:
(a) “Code” means the Business and Professions Code.
(b) “Supervisor” means a person who holds a license issued pursuant to the provisions of Sections 3354 and 3356 of the code and who accepts responsibility for the supervision and training of a person issued a temporary license under Section 3357 of the code.
(c) “Trainee-applicant” means a person holding a temporary license issued pursuant to Section 3357 of the code.
(d) “Supervision” means adequate direction and inspection by a supervisor.
(e) “Training” means the instruction of a trainee-applicant in the fitting or selling of hearing aids.
(f) “Trainee-applicant” means a temporary licensee authorized to fit or sell hearing aids under Section 3357 of the code under the supervision of a licensed hearing aid dispenser.
NOTE

Authority cited: Section 3328, Business and Professions Code. Reference: Sections 3328 and 3357, Business and Professions Code.
HISTORY

1. Amendment filed 10-24-75; effective thirtieth day thereafter (Register 75, No. 43).
2. Amendment filed 6-17-77; effective thirtieth day thereafter (Register 77, No. 25).
3. Amendment of subsection (g) filed 4-10-80; effective thirtieth day thereafter (Register 80, No. 15).
4. Amendment filed 5-6-83; effective thirtieth day thereafter (Register 83, No. 19).
5. New subsection (h) filed 8-26-86; effective thirtieth day thereafter (Register 86, No. 35).
6. Change without regulatory effect amending subsection (a) filed 2-24-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
7. Change without regulatory effect amending subsection (a) filed 8-21-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 34).
8. Change without regulatory effect repealing subsections (a)-(b) and relettering subsections filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
§1399.103. Rules of Order.
Note     •     History

NOTE

Authority cited: Section 3328, Business and Professions Code.
HISTORY

1. Repealer filed 5-6-83; effective thirtieth day thereafter (Register 83, No. 19).
2. Editorial correction of History 1 (Register 95, No. 16).
§1399.104. Delegation of Functions.
Note     •     History

NOTE

Authority cited: Section 3328, Business and Professions Code. Reference: Sections 3330 and 3400, Business and Professions Code; and Section 11500, Government Code.
HISTORY

1. Amendment filed 4-10-80; effective thirtieth day thereafter (Register 80, No. 15).
2. Amendment filed 5-6-83; effective thirtieth day thereafter (Register 83, No. 19).
3. Amendment filed 5-26-99; operative 6-25-99 (Register 99, No. 22).
4. Change without regulatory effect repealing section filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
§1399.105. Filing of Addresses.
Note     •     History

Each person holding a license shall file with the bureau his or her proper and current business address, and shall report immediately to the bureau at its principal office any and all changes of address, giving both his or her old and new address.
NOTE

Authority cited: Section 3328, Business and Professions Code. Reference: Sections 3326, 3362 and 3451, Business and Professions Code.
HISTORY

1. Amendment filed 5-6-83; effective thirtieth day thereafter (Register 83, No. 19).
2. Change without regulatory effect amending section filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
§1399.106. Regular Subcommittees.
Note     •     History

NOTE

Authority cited: Section 3328, Business and Professions Code.
HISTORY

1. Repealer filed 5-6-83; effective thirtieth day thereafter (Register 83, No. 19).
§1399.107. Chairmanship.
Note     •     History

NOTE

Authority cited: Section 3328, Business and Professions Code.
HISTORY

1. Repealer filed 5-6-83; effective thirtieth day thereafter (Register 83, No. 19).
Article 2. Applications
§1399.110. Applications.
Note     •     History

NOTE

Authority cited: Section 3328, Business and Professions Code. Reference: Section 3357, Business and Professions Code.
HISTORY

1. Amendment filed 10-24-75; effective thirtieth day thereafter (Register 75, No. 43).
2. Amendment of subsection (b)(1)(A) filed 4-10-80; effective thirtieth day thereafter (Register 80, No. 15).
3. Renumbering and amendment of Section 1399.110 to Section 1399.115 filed 5-6-83; effective thirtieth day thereafter (Register 83, No. 19).
§1399.111. Abandonment of Application.
Note     •     History

(a) An applicant whose application for license is incomplete shall be deemed to have abandoned the application if he/she does not submit all required documents, data and information within one year from the date of the letter notifying the applicant that the application is incomplete.
(b) An applicant whose application for examination has been accepted shall be deemed to have abandoned the application if the applicant:
(1) does not take the written examination within one year from the date an eligibility letter was issued or does not take the practical examination within one year from the date the applicant passed the written examination; or
(2) after failing any examination, fails to take a re-examination within one year of the date of the letter notifying the applicant of such failure.
(c) An application submitted subsequent to the abandonment of a former application shall be treated as a new application.
NOTE

Authority cited: Section 3328, Business and Professions Code. Reference: Sections 3326 and 3352, Business and Professions Code.
HISTORY

1. Amendment filed 5-6-83; effective thirtieth day thereafter (Register 83, No. 19).
2. Repealer and new section filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
§1399.112. Petition for Hearing.
Note     •     History

NOTE

Authority cited: Section 3328, Business and Professions Code.
HISTORY

1. Repealer filed 5-6-83; effective thirtieth day thereafter (Register 83, No. 19).
§1399.113. Review of Hearing Aid Dispenser Applications; Processing Time.
Note     •     History

(a) The bureau shall inform in writing an applicant for licensure as a hearing aid dispenser within 17 days of receipt of the initial application form whether the application is complete and accepted for filing or is deficient and what specific information is required.
(b) The bureau shall inform an applicant for licensure as a hearing aid dispenser within 189 days after completion of the application of its decision whether the applicant meets the requirements for licensure. “Completion of the application” means that a completed application form together with all required information, documentation and fees have been filed by the applicant. This period may be extended by that time necessary for retaking or rescheduling an examination.
(c) The minimum, median and maximum processing times for an application for licensure as a hearing aid dispenser from the time of receipt of the initial application until the bureau makes a final decision on the application are:
(1) Minimum--68 days
(2) Median--236 days
(3) Maximum--437 days
These processing times apply to those applicants who take and pass the first available licensing examination.
NOTE

Authority cited: Section 3328, Business and Professions Code; and Section 15376, Government Code. Reference: Section 3352, Business and Professions Code; Section 15376, Government Code.
HISTORY

1. New section filed 10-3-83; effective thirtieth day thereafter (Register 83, No. 41).
2. Change without regulatory effect amending subsections (a)-(c) filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
Article 3. Temporary Licenses
§1399.114. Temporary License Applications.
Note     •     History

(a) Any applicant for a temporary license under section 3357 of the code shall provide the following information to the bureau in order to show satisfactory supervision and training:
(1) Name, address, license number and the signature of his or her supervisor.
(2) Identification of the supervisory facility by proprietary name and address.
(b) The supervisor shall file as an addendum to the application the following statements and information:
(1) A general description of the supervisor's facility which shall include the:
(A) Equipment used in the fitting of hearing aids.
(B) Training material.
(C) Training space.
(D) Area in which hearing tests are given.
(2) A description of the portable equipment and tools used outside the supervisory facility in the fitting or selling of hearing aids.
(3) Information that demonstrates adequate supervision and training will be provided in compliance with section1399.118.
(c) Any person holding a temporary license issued pursuant to sections 3356 or 3357 shall, upon passing the examination and receiving a license, surrender the temporary license to the bureau.
(d) An excessive number of trainee-applicants under the supervisor may preclude a finding the bureau that the trainee-applicants will be adequately supervised and trained.
NOTE

Authority cited: Section 3328, Business and Professions Code. Reference: Sections 3352 and 3357, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 1399.110 to Section 1399.115 filed 5-6-83; effective thirtiethday thereafter (Register 83, No. 19). For  history of former section, see Registers 80, No. 15 and 75, No. 43.
2. Amendment filed 8-26-86; effective thirtieth day thereafter (Register 86, No. 35).
3. Renumbering of former section 1399.115 to 1399.114 and adoption of new section 1399.115 filed 1-24-91; operative 2-23-91 (Register 91, No. 10).
4. Change without regulatory effect amending subsections (a), (c) and (d) filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
§1399.115. Denial, Suspension, or Revocation of Authority to Supervise.
Note     •     History

(a) The bureau may refuse to approve or approve subject to terms and conditions a hearing aid dispenser's authority to supervise a trainee-applicant, or may suspend, revoke, or impose probationary conditions on a hearing aid dispenser's authority to supervise a trainee-applicant for any of the following causes: 
(1) The failure to comply with section 3357 of the code or any of the regulations contained in this article which is a prima facie violation, or is confirmed by an internal investigation report signed by the chief, or by a formal investigation by the Division of Investigation of the department within the preceding 36 months. “Confirmed by formal investigation” means the investigator assigned the matter has written a final investigation report which has been countersigned by a Supervising Special Investigator.
(2) The violation of any provision of the Hearing Aid Dispensers Licensing Law or the regulations contained in this chapter which is confirmed by an internal investigation report signed by the chief, or by a formal investigation by the Division of Investigation of the department within the preceding 36 months. “Confirmed by formal investigation” means the investigator assigned the matter has written a final investigation report which has been countersigned by a Supervising Special Investigator.
(3) The dispenser's license has been revoked, suspended, or subject to any restrictions within the preceding 36 months.
(4) An Accusation has been filed against the dispenser under the Administrative Procedure Act by the Attorney General's office and the charges are pending.
(5) The provision of false or misleading information during the application process.
(6) The conviction of a crime involving fiscal dishonesty for which the dispenser has been on probation or parole within the preceding 36 months.
(b) The bureau shall refuse to approve a hearing aid dispenser's authority to supervise a trainee-applicant if the hearing aid dispenser has not possessed a valid, active license as a hearing aid dispenser in California for at least three (3) years preceding the date on which the application for approval was received by the bureau.
(c) A hearing aid dispenser may appeal the denial, suspension, revocation, or imposition of probationary conditions upon his or her authority to supervise a trainee-applicant by filing such an appeal in writing with the bureau's office in Sacramento within 60 days of denial, suspension, revocation or imposition of probationary conditions. The appeal will be considered by bureau within 45 days of receipt of the appeal in the bureau's office. If action under this section results in the termination of supervision and training of a trainee-applicant, then the supervising hearing aid dispenser shall so notify the bureau in accordance with section 1399.118, subsection (g). 
NOTE

Authority cited: Section 3328, Business and Professions Code. Reference: Sections 3330 and 3357, Business and Professions Code.
HISTORY

1. Renumbering of former section 1399.115 to 1399.114 and adoption of new section 1399.115 filed 1-24-91; operative 2-23-91 (Register 91, No. 10).
2. Change without regulatory effect amending subsections (a)(1)-(2) and Note filed 8-21-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 34).
3. New subsection (b) and subsection relettering filed 11-2-98; operative 12-2-98 (Register 98, No. 45).
4. Change without regulatory effect amending section filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
§1399.116. Supervision of Trainee-Applicants.
Note     •     History

(a) A licensed hearing aid dispenser shall not supervise more than one trainee-applicant at any one time unless a specific waiver has been granted by the bureau. Criteria for such a waiver shall be:
(1) the supervising dispenser shall have possessed a valid license as a hearing aid dispenser and engaged in the practice of fitting and selling hearing aids for at least three (3) years;
(2) the supervising dispenser has not been the subject of successful disciplinary action or of a complaint which has been investigated and verified by internal investigation report or the department's Division of Investigation within the preceding three (3) years; and
(3) the supervising dispenser shall not have been found to be in violation of any of the regulations contained in this article within the preceding three (3) years.
(b) A licensed hearing aid dispenser shall not in any circumstance supervise more than three (3) trainee-applicants at any one time.
NOTE

Authority cited: Section 3328, Business and Professions Code. Reference: Sections 3330 and 3357, Business and Professions Code.
HISTORY

1. New section filed 8-26-86; effective thirtieth day thereafter (Register 86, No. 35).
2. Change without regulatory effect amending subsections (a)(1)-(3), (b) and Note filed 8-21-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 34).
3. Change without regulatory effect amending subsection (a) filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
§1399.117. Representation of Trainee-Applicant.
Note     •     History

A trainee-applicant shall, when engaged in the fitting or selling of hearing aids, present himself or herself to the public as a hearing aid dispenser trainee. Trainee-applicants may not refer to themselves in any advertising or promotional literature as anything but a hearing aid dispenser trainee.
NOTE

Authority cited: Section 3328, Business and Professions Code. Reference: Sections 335 and 3401, Business and Professions Code.
HISTORY

1. Renumbering of former Section 1399.117 to Section 1399.115(c) and new Section 1399.117 filed 8-26-86; effective thirtieth day thereafter (Register 86, No. 35). For history of former section, see Registers 83, No. 19 and 75, No. 43.
§1399.118. Supervision and Training Required.
Note     •     History

The supervision and training of a trainee-applicant under Section 3357 of the code engaged in the fitting or selling of hearing aids shall include the following:
(a) Intervention into the fitting and selling process by the supervisor.
(b) Inspection of the fitting and selling process by the supervisor.
(c) Training consisting of the following:
(1) Review of the results of each fitting and sale of a hearing aid;
(2) Reevaluation of the fitting and selling techniques of the trainee-applicant at least weekly;
(3) Being readily available to the trainee-applicant to render advice and give instruction and assistance in the fitting and selling of hearing aids;
(d) Instruction in the procedures for the fitting and selling of hearing aids required by Chapter 7.5, Division 2 of the code.
(e) Training with instruments and equipment generally considered to produce valid hearing measurements necessary to the fitting and selling of hearing aids.
(f) A statement that the supervisor has agreed to accept the responsibility for the supervision and training of the applicant as required by Section 3357 of the code.
(g) The supervisor shall be responsible for providing supervision until whichever of the following first occurs:
(1) The trainee-applicant obtains a permanent license.
(2) The supervisor or trainee-applicant gives written notification to the bureau that he or she is terminating supervision and training.
NOTE

Authority cited: Section 3328, Business and Professions Code. Reference: Section 3357, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 1399.115(b)(3)(A)-(c)(2) to Section 1399.118(a)-(g) filed 8-26-86; effective thirtieth day thereafter (Register 86, No. 35).
2. Change without regulatory effect amending subsection (g)(2) filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
§1399.119. Direct Supervision.
Note     •     History

A trainee-applicant under Section 3357 of the code shall fit or sell hearing aids only under the direct supervision of the supervising licensed hearing aid dispenser. “Direct supervision” as used in this section means all of the following:
(a) The supervising dispenser is present within the same work setting a minimum of  20 percent of the time in which the trainee-applicant is providing services.
(b) The supervising dispenser shall approve the selection of a hearing aid by a trainee-applicant.
(c) The supervising dispenser shall countersign the audiogram and all sales documents prepared and consummated by a trainee-applicant.
(d) If a trainee-applicant fails the license examination, the supervising dispenser is required to be physically present at all fittings and sales made by the trainee-applicant regardless of whether these occur in or outside the supervising dispenser's business location.
NOTE

Authority cited: Section 3328, Business and Professions Code. Reference: Section 3357, Business and Professions Code.
HISTORY

1. New section filed 8-26-86; effective thirtieth day thereafter (Register 86, No. 35).
Article 4. Examinations
§1399.120. Examinations.
Note     •     History

(a) Either essay type or objective type examinations or both may be used in any one or more of the subject areas in which an applicant is to be examined.
(b) Each applicant is forbidden to place any identification marks on or in any of the answer sheet or to reveal his or her name to any examiner.
(c) The applicant is forbidden to take the questions from the examination room or make any record of the questions.
(d) Anyone cheating will be removed from the examination room.
(e) An applicant who wishes to take the practical examination shall file a completed application with the bureau not sooner than 51 days nor later than 30 days prior to the date set for the examination for which application is made. Applications will be accepted in the order received by the bureau, provided, however, that a maximum of fifty applicants will be scheduled for any administration of the practical examination. Applications will be returned to all those who are not within the first fifty applicants.
(f) The practical examination shall cover the procedures and use of instruments and equipment commonly employed in the fitting and selling of hearing aids, including but not limited to:
(1) Otoscope for the visual examination of the entire ear canal;
(2) Pure tone discreet or sweep frequency threshold type audiometer with air and bone conduction and appropriate masking circuitry;
(3) Appropriate equipment for establishing speech reception threshold and speech discrimination scores through headphones and/or sound field media by recorded or live voice;
(4) Calibrated sound pressure instruments, master hearing aids, and any and all types of hearing aid simulators; 
(5) Equipment designed for the evaluation and testing of hearing aid performance;
(6) Stethoscope or other listening device.
(g) An applicant shall furnish all equipment and materials necessary for the practical examination, and shall either bring a subject for the ear impression and audiometric assessment portions of the practical examination, or shall serve as such a subject for a subsequent examinee.
NOTE

Authority cited: Section 3328, Business and Professions Code. Reference: Section 3353, Business and Professions Code.
HISTORY

1. Amendment of subsection (h) filed 7-26-72 as an emergency; effective upon filing (Register 72, No. 31).
2. Reinstatement of subsection (h) as it existed prior to emergency amendment filed 7-26-72 by operation of Section 11422.1(b), Government Code (Register 73, No. 26).
3. Amendment of subsection (h) filed 8-9-73; effective thirtieth day thereafter (Register 73, No. 32).
4. Amendment filed 5-6-83; effective thirtieth day thereafter (Register 83, No. 19).
5. Change without regulatory effect amending subsections (b) and (f) filed 8-21-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 34).
6. Repealer and new subsection (e), amendment of subsections (f)(4)-(5) and new subsections (f)(6) and (g) filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
7. Editorial correction of subsection (g) (Register 98, No. 25).
8. Amendment of subsections (e) and (g) filed 6-19-98; operative 7-19-98 (Register 98, No. 25).
9. Amendment of subsection (f)(1) filed 7-28-99; operative 8-27-99 (Register 99, No. 31).
10. Change without regulatory effect amending subsection (e) filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
§1399.121. Inspection of Examination Papers.
Note     •     History

All written examination papers shall be retained by the bureau for a period of two years after the date of the examination.
NOTE

Authority cited: Section 3328, Business and Professions Code. Reference: Section 3353, Business and Professions Code.
HISTORY

1. Amendment filed 5-6-83; effective thirtieth day thereafter (Register 83, No. 19).
2. Change without regulatory effect amending section filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
§1399.122. Practical Examination Appeals.
Note     •     History

(a) An applicant who has failed the practical examination may appeal to the bureau within sixty (60) days following receipt of his/her examination results. The bases for appeal are:
(1) examiner misconduct, which means prejudice or bias as evidenced by the statements and/or actions of an examiner; and
(2) significant procedural error in the examination process.
(b) The appeal shall be in writing and shall specify the grounds upon which the appeal is based.
(c) An applicant will be notified in writing of the results of the appeal. In acting on appeals, the bureau may take such action as it deems appropriate.
NOTE

Authority cited: Section 3328, Business and Professions Code. Reference: Section 3353, Business and Professions Code.
HISTORY

1. New section filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
2. Change without regulatory effect amending subsections (a) and (c) filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
Article 5. Miscellaneous
§1399.125. Annual Reports.
Note     •     History

NOTE

Authority cited: Section 3321, Business and Professions Code.
HISTORY

1. Amendment filed 4-10-80; effective thirtieth day thereafter (Register 80, No. 15).
2. Repealer filed 5-6-83; effective thirtieth day thereafter (Register 83, No. 19).
§1399.126. Significant Air-Bone Gap.
Note     •     History

(a) For purposes of Section 3365.5 of the code, a significant air-bone gap is defined as a difference of 15 decibels or more between the higher air conduction and the lower bone conduction pure tone thresholds at 2 or more succeeding octave frequencies of 500 Hertz through and including 4000 Hertz.
(b) Tests for significant air-bone gap shall be performed in a suitable environment using appropriate equipment to establish threshold values and with appropriate masking procedures employed.
NOTE

Authority cited: Section 3328, Business and Professions Code. Reference: Section 3365.5, Business and Professions Code.
HISTORY

1. New section filed 9-22-72; effective thirtieth day thereafter (Register 72, No. 39).
2. Amendment filed 10-6-72; effective thirtieth day thereafter (Register 72, No. 42).
3. Amendment filed 1-17-73 as an emergency; effective upon filing. Certificate of Compliance included (Register 73, No. 3).
4. Amendment filed 5-6-83; effective thirtieth day thereafter (Register 83, No. 19).
§1399.127. Advertising.
Note     •     History

(a) A licensed hearing aid dispenser may advertise any goods or services authorized to be provided by such license in a manner authorized by Section 651 of the code so long as such advertising does not promote the unnecessary or excessive use of such goods or services.
(b) An advertisement violates Section 651 of the code when it:
(1) Is not exact, and any conditions or other variables to an advertised price are not disclosed.
(2) Includes a statement of price comparison that is not based upon verifiable data.
(3) Advertises a discount in a false or misleading manner, including but not limited to, failing to disclose the dates on which the sale or discount price will be in effect if the sale or discount price is a limited time offer.
When advertising a specific hearing aid model:

Correct:	50% off Acme Model 12
Regularly $1000, Now $500

Incorrect:	50% off Acme hearing aid
When advertising a category of hearing aids (e.g. all models from one manufacturer, or all BTE models):

Correct:	50% off Manufacturer's Suggested Retail Price
All Acme Hearing Aids

Incorrect:	Acme Hearing Aids--50% Off

Correct:	50% off Manufacturer's Suggested Retail Price, All Hearing Aids Offer good January 1-7, 1998 (or Offer expires January 7, 1998)

Incorrect:	50% off Manufacturer's Suggested Retail Price, All Hearing Aids
(4) Utilizes a business name that is so broad as to connote comprehensive and diagnostic hearing services, unless the dispenser is also licensed as a physician or audiologist.

Correct:	Delta Hearing Aid Center

Incorrect:	Delta Hearing Center
(5) Advertises hearing tests without qualification as to the nature of the hearing testing that may be performed by a hearing aid dispenser.

Correct:	Test to determine if you could be helped by a hearing aid

Incorrect:	Hearing test
(6) Includes sending to a consumer preset appointment information or “rebate coupons” that resemble checks as part of a direct mail solicitation.
(7) Includes an educational degree but does not list the degree and field, or includes the title “Dr.” where the degree is a non-medical doctorate and the advertisement does not disclose that fact.

Correct:	John Doe, Ph.D. in Audiology	Jane Doe, M.A. in Audiology
John Doe, Ph.D. (Audiology)	Jack Doe, B.A. (Audiology)

Incorrect:	Dr. John Doe	Jane Doe, M.A.
Dr. John Doe (Audiology)	Jack Doe, B.A.
(8) Includes abbreviations for job titles or job certifications as letters after a name where those letters do not represent an academic degree or credential.
(9) Refers to a dispenser's certification by a professional organization but either does not include the name of the certifying organization or, includes the name written in a manner not easily understood by consumers.

Correct:	John Doe, Hearing Aid Dispenser Lic. No. HA-xxxx
NB-HIS, Certified by the National Board of Certification in Hearing Instrument Sciences

Incorrect:	John Doe, NB-HIS
(10) Includes the term “specialist” when referencing licensure without including the title “hearing aid dispenser.”

Correct:	Jane Doe, Hearing Aid Dispenser Lic. No. HA-xxxx
Jack Doe, Licensed Hearing Aid Dispenser

John Doe, Hearing Instrument Specialist
Hearing Aid Dispenser Lic. No. HA-xxxx

Incorrect:	Jane Doe, Hearing Aid Specialist Lic. No. HA-xxxx
Jack Doe, Licensed Hearing Aid Specialist
(c) Any national advertisement run in California shall comply with California laws and regulations.
NOTE

Authority cited: Section 3328, Business and Professions Code. Reference: Sections 651, 651.3 and 3401, Business and Professions Code.
HISTORY

1. New section filed 4-10-80; effective thirtieth day thereafter (Register 80, No. 15).
2. Amendment designating first paragraph as subsection (a), adopting new subsections (b)-(c), and amending Note filed 3-10-2000; operative 4-9-2000 (Register 2000, No. 10).
§1399.129. Application and Certificate Fees.
Note     •     History

NOTE

Authority cited: Section 3328, Business and Professions Code. Reference: Section 3456, Business and Professions Code.
HISTORY

1. New section filed 12-28-77 as an emergency; effective upon filing (Register 77, No. 53).
2. Certificate of Compliance filed 3-3-78 (Register 78, No. 9).
3. New subsection (i) filed 4-12-79; effective thirtieth day thereafter (Register 79, No. 15).
4. Editorial correction of History Note 3 (Register 79, No. 18).
5. Amendment filed 9-14-79; effective thirtieth day thereafter (Register 79, No. 37).
6. Editorial correction replacing subsection (i) inadvertently omitted from 9-14-79 order (Register 80, No. 51).
7. Amendment filed 5-6-83; effective thirtieth day thereafter (Register 83, No. 19).
8. Repealer filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
Article 6. Enforcement
§1399.130. Petition for Reinstatement or Reduction of Penalty.
Note     •     History

NOTE

Authority cited: Section 3328, Business and Professions Code.
HISTORY

1. Repealer filed 5-6-83; effective thirtieth day thereafter (Register 83, No. 19).
2. Amendment of Article 6 heading filed 5-20-91; operative 6-19-91 (Register 91, No. 26).
§1399.131. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), the director shall consider the disciplinary guidelines entitled “Disciplinary Guidelines and Model Disciplinary Orders” Sixth Edition, June 1997 which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the director in his or her sole discretion determines that the facts of the particular case warrant such a deviation -- for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Section 3328, Business and Professions Code; Sections 11400.20 and 11425.50(e), Government Code. Reference: Sections 3400, 3401, 3402 and 3403, Business and Professions Code; Sections 11400.20 and 11425.50(e), Government Code.
HISTORY

1. New section filed 6-17-98; operative 7-17-98 (Register 98, No. 25). For prior history, see Register 83, No. 19.
2. Change without regulatory effect amending section filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
§1399.132. Substantial Relationship Criteria.
Note     •     History

For the purpose of denial, suspension, or revocation of a hearing aid dispenser's license pursuant to Division 1.5 (commencing with Section 475) of the Business and Professions Code, a crime or act shall be considered substantially related to the qualifications, functions, and duties of a hearing aid dispenser if to a substantial degree it evidences present or potential unfitness of a hearing aid dispenser to perform the functions authorized by his license in a manner consistent with the public health, safety, or welfare. Such crimes or acts shall include, but not be limited to those involving the following:
(a) Any violation of the provisions of Sections 650, 651, 651.3 and 655.2 of the code.
(b) Any violation of the provisions of Chapter 7.5, Division 2 of the Business and Professions Code.
NOTE

Authority cited: Section 3328, Business and Professions Code. Reference: Sections 481, 3401 and 3403, Business and Professions Code.
HISTORY

1. New section filed 11-16-73 as an emergency; effective upon filing (Register 73, No. 46).
2. Certificate of Compliance filed 2-8-74 (Register 74, No. 6).
3. Amendment filed 10-24-75; effective thirtieth day thereafter (Register 75, No. 43).
4. Amendment of NOTE filed 4-12-79; effective thirtieth day thereafter (Register 79, No. 15).
5. Amendment filed 5-6-83; effective thirtieth day thereafter (Register 83, No. 19).
§1399.133. Criteria for Rehabilitation--Denials and Reinstatements.
Note     •     History

(a) When considering the denial of a license or a temporary license under Section 480 of the code, or the reinstatement of a license, the bureau, in evaluating the rehabilitation of the applicant and his or her present eligibility for licensing, shall consider the following criteria:
(1) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the Business and Professions Code.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(5) Evidence, if any, of rehabilitation submitted by the applicant.
NOTE

Authority cited: Section 3328, Business and Professions Code. Reference: Sections 482, 3401 and 3403, Business and Professions Code.
HISTORY

1. New section filed 10-24-75; effective thirtieth day thereafter (Register 75, No. 43).
2. Amendment of NOTE filed 4-12-79; effective thirtieth day thereafter (Register 79, No. 15).
3. Amendment of subsection (a) and renumbering of subsection (b) to Section 1399.134 filed 5-6-83; effective thirtieth day thereafter (Register 83, No. 19).
4. Change without regulatory effect amending subsection (a) filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
§1399.134. Criteria for Rehabilitation--Suspensions and Revocations.
Note     •     History

When considering the suspension or revocation of a license or a temporary license on the grounds that the licensee has been convicted of a crime, the bureau, in evaluating the rehabilitation of such person and his present eligibility for a license or temporary license, will consider the following criteria:
(1) Nature and severity of the act(s) or offense(s).
(2) Total criminal record.
(3) Extent of time that has elapsed since commission of the act(s) or offense(s).
(4) Whether the licensee has complied with any or all terms of parole, probation, restitution or any other sanctions lawfully imposed against the licensee.
(5) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(6) Evidence, if any, of rehabilitation submitted by the licensee. 
NOTE

Authority cited: Section 3328, Business and Professions Code. Reference: Sections 482, 3401 and 3403, Business and Professions Code.
HISTORY

1. Renumbering of Section 1399.133(b) to Section 1399.134 filed 5-6-83; effective thirtieth day thereafter (Register 83, No. 19). For history of former section, see Registers 79, No. 15; and 75, No. 43.
2. Change without regulatory effect amending first paragraph filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
§1399.135. Authority to Issue Citations and Fines.
Note     •     History

(a) The chief of the bureau is authorized to determine after due and reasonable examination of the alleged violation when and against whom a citation will be issued and to issue citations containing orders of abatement and fines for violations by a licensed hearing aid dispenser of the statutes and regulations referred to in this article. As used in this article, “licensed hearing aid dispenser” also includes one who holds a temporary license as a hearing aid dispenser.
(b) A citation shall be issued whenever any fine is levied or any order of abatement is issued. Each citation shall be in writing and shall describe with particularity the nature and facts of the violation, including a reference to the statute or regulations alleged to have been violated. The citation shall be served upon the individual personally or by certified mail.
NOTE

Authority cited: Sections 125.9, 125.95 and 3328, Business and Professions Code. Reference: Sections 125.9 and 125.95, Business and Professions Code.
HISTORY

1. New section filed 5-20-91; operative 6-19-91 (Register 91, No. 26).
2. Change without regulatory effect amending subsection (a) filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
§1399.136. Amount of Fines.
Note     •     History

The amount of any fine to be levied by the chief shall take into consideration the factors listed in subdivision (b)(3) of section 125.9 of the code and shall be within the range set forth in each subsection below.
(a) The fine for a violation of the following provisions shall be from $1100 to $2500:
(1) Business and Professions Code section 3350
(2) Business and Professions Code section 3359, subdivision (a)
(3) Business and Professions Code section 3364, subdivision (b)
(4) Business and Professions Code section 3365.5
(5) Business and Professions Code section 3365.6
(6) Business and Professions Code section 3401, subdivision (f)
(7) Business and Professions Code section 3401, subdivision (h)
(8) Civil Code section 1689.6
(9) Civil Code section 1793.02
(b) The fine for a violation of the following provisions shall be from $100 to $1000:
(1) Business and Professions Code section 651
(2) Business and Professions Code section 3357
(3) Business and Professions Code section 3359, subdivision (b)
(4) Business and Professions Code section 3362
(5) Business and Professions Code section 3363
(6) Business and Professions Code section 3364, subdivision (a)
(7) Business and Professions Code section 3364, subdivision (c)
(8) Business and Professions Code section 3365
(9) Business and Professions Code section 3366
(10) Business and Professions Code section 3401, subdivision (i)
(11) Title 16 California Code of Regulation section 1399.116, subsection (a)
(12) Title 16 California Code of Regulation section 1399.116, subsection (b)
(13) Title 16 California Code of Regulation section 1399.117
(14) Title 16 California Code of Regulation section 1399.119
(15) Title 16 California Code of Regulation section 1399.142
(c) In her or his discretion, the chief may issue an order of abatement without levying a fine for the first violation of any provision set forth in subsection (b).
NOTE

Authority cited: Sections 125.9 and 3328, Business and Professions Code. Reference: Sections 125.9 and 3401, Business and Professions Code.
HISTORY

1. New section filed 5-20-91; operative 6-19-91 (Register 91, No. 26).
2. New subsection (a)(4), subsection renumbering, new subsections (a)(8) and (a)(9) and amendment of Note filed 8-19-98; operative 9-18-98 (Register 98, No. 34).
3. Change without regulatory effect amending first paragraph and subsection (c) filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
§1399.137. Compliance with Orders of Abatement.
Note     •     History

(a) If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, the person cited may request an extension of time from the chief in which to complete the correction. Such a request shall be in writing and shall be made within the time set forth for abatement.
(b) When an order of abatement is not contested or if the order is appealed and the person cited does not prevail, failure to abate the violation charged within the time allowed shall constitute a violation and failure to comply with the order of abatement. An order of abatement shall either be personally served or mailed by certified mail, return receipt requested. The time allowed for the abatement of a violation shall begin when the order of abatement is final and has been served or received. Such failure may result in disciplinary action being taken by the bureau or other appropriate judicial relief being taken against the person cited.
NOTE

Authority cited: Sections 125.9, 125.95 and 3328, Business and Professions Code. Reference: Sections 125.9 and 125.95, Business and Professions Code.
HISTORY

1. New section filed 5-20-91; operative 6-19-91 (Register 91, No. 26).
2. Change without regulatory effect amending section filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
§1399.138. Citations for Unlicensed Practice.
Note     •     History

The chief of the bureau is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and fines against persons, partnerships, corporations or associations who are performing or who have performed services for which licensure as a hearing aid dispenser is required under the Hearing Aid Dispensers Licensing Law. Each citation issued shall contain an order of abatement. Where appropriate, the chief shall levy a fine for such unlicensed activity in accordance with subdivision (b)(3) of section 125.9 of the Code. The provisions of sections 1399.135 and 1399.137 shall apply to the issuance of citations for unlicensed activity under this subsection. The sanction authorized under this section shall be separate from and in addition to any other civil or criminal remedies.
NOTE

Authority cited: Sections 125.9, 125.95 and 3328, Business and Professions Code. Reference: Sections 125.9 and 125.95, Business and Professions Code.
HISTORY

1. New section filed 5-20-91; operative 6-19-91 (Register 91, No. 26).
2. Change without regulatory effect amending section filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
§1399.139. Contest of Citations.
Note     •     History

(a) In addition to requesting a hearing provided for in subdivision (b)(4) of section 125.9 of the code, the person cited may, within ten (10) days after service or receipt of the citation, notify the chief in writing of his or her request for an informal conference with the chief regarding the acts charged in the citation. The time allowed for the request shall begin the first day after the citation has been served or received.
(b) The chief shall hold, within 30 days from the receipt of the request, an informal conference with the person cited or his or her legal counsel or authorized representative. At the conclusion of the informal conference the chief may affirm, modify or dismiss the citation, including any fine levied or order of abatement issued. The chief shall state in writing the reasons for his or her action and serve or mail, as provided in subsection (b) of section 1399.137, a copy of his or her findings and decision to the person cited within ten days from the date of the informal conference. This decision shall be deemed to be a final order with regard to the citation issued, including the fine levied and the order of abatement.
(c) The person cited does not waive his or her request for a hearing to contest a citation by requesting an informal conference after which the citation is affirmed by the chief. If the citation is dismissed after the informal conference, the request for a hearing on the matter of the citation shall be deemed to be withdrawn, If the citation, including any fine levied or order of abatement, is modified, the citation originally issued shall be considered withdrawn and new citation issued. If a hearing is requested for the subsequent citation, it shall be requested within 30 days in accordance with subdivision (b)(4) of section 125.9.
NOTE

Authority cited: Sections 125.9, 125.95, and 3328, Business and Professions Code. Reference: Sections 125.9 and 125.95, Business and Professions Code.
HISTORY

1. New section filed 5-20-91; operative 6-19-91 (Register 91, No. 26).
2. Change without regulatory effect amending section filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
Article 7. Continuing Education
§1399.140. Continuing Education Required.
Note     •     History

(a) Each dispenser is required to complete at least six (6) hours of continuing education from a provider approved under Section 1399.141 below during each calendar year. For all licenses which expire on and after January 1, 1997, all holders of licenses shall complete nine (9) hours of continuing education per year, and not more than three (3) hours of continuing education may be credited in any of the following areas related to hearing aids: ethics (including the ethics of advertising and marketing) or business practices.
(b) Each dispenser renewing his or her license under the provisions of Section 3451 of the code shall be required to submit proof satisfactory to the bureau of compliance with the provisions of this article.
(c) Such proof shall be submitted at the time of license renewal on a form provided by the bureau.
(d) Any dispenser who cannot complete the minimum hours required under subsection (a) may have his or her license renewed, but shall make up any deficiency during the following year. If the dispenser does not complete the deficient hours in addition to the minimum hours for the current year, he or she shall be ineligible for the next renewal of his or her license unless such dispenser applies for and obtains a waiver pursuant to Section 1399.144 below.
(e) This article shall not apply to any dispenser who was issued a permanent license for the first time within the preceding calendar year.
(f) Any person whose hearing aid dispenser's license has been expired for two years or more shall complete the required hours of approved continuing education for the prior two years before such license may be restored.
NOTE

Authority and reference cited: Section 3327.5, Business and Professions Code.
HISTORY

1. New Article 7 (Sections 1399.140-1399.144) filed 4-12-79; effective thirtieth day thereafter (Register 79, No. 15).
2. Editorial correction of History Note 1 (Register 79, No. 18).
3. Amendment of subsections (a) and (d) and new subsection (f) filed 5-8-80; effective thirtieth day thereafter (Register 80, No. 19).
4. Amendment filed 5-6-83; effective thirtieth day thereafter (Register 83, No. 19).
5. Amendment of subsections (a), (c), (d) and (f) filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
6. Change without regulatory effect amending subsections (b) and (c) filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
§1399.141. Approval of Continuing Education Providers.
Note     •     History

(a) In order to be approved by the bureau as a continuing education provider the following information shall be submitted with an application provided by the bureau: 
(1) Description of course content of all courses to be offered. The course content shall be current practices related to the fitting of hearing aids for aiding or compensating for impaired human hearing or any of the subjects listed in subsection (a) of section 1399.140. The course content shall be information related to the fitting of hearing aids, and this information shall be at a level above that basic knowledge required for licensure as set forth in Section 3353 of the Code, except that basic knowledge which would serve as a brief introduction to the course. The phrase “at a level above that basic knowledge” means any subjects, issues, topics, theories, or findings that are more advanced than the entry level of knowledge described in those basic subjects listed in subdivision (b) of Section 3353. 
(2) Method of instruction for course(s) offered. Teaching methods for each course or program shall be described, e.g., lecture, seminar, audiovisual, simulation, etc. 
(3) Education objectives. Each course or program shall clearly state the educational objective that can be realistically accomplished within the framework of the course or program, and the number of hours of continuing education credit which may be obtained by completion of a specified course. 
(4) Qualifications of instructors. Instructors shall be qualified to teach the specified course content by virtue of their prior education, training and experience. A resume of each instructor shall be forwarded with the application for approval. 
(5) Evaluation. Each course or program shall include an evaluation method which documents that educational objectives have been met, such as, but not limited to, a written evaluation or written examination by each participant. 
(6) Open to Licensees. Only those courses or programs which are open to all licensed hearing aid dispensers shall be approved by the bureau.
(b) Providers shall maintain a record of attendance of each participant who is licensed as a hearing aid dispenser and submit that record to the bureau no later than December 31 of each calendar year. The record shall indicate those dispensers who have complied with the requirements of the course or program offered. 
(c) Applications for approval of a continuing education provider shall be submitted to the bureau at its Sacramento office at least 45 days before the date of the first course or program offering to be approved. 
(d) Any change in the course content or instructor shall be reported to the bureau on a timely basis. 
(e) The bureau may withdraw the approval of any provider for failure to comply with the provisions of this section. 
(f) Each provider shall submit to the bureau on an annual basis a description or outline of each approved course to be offered the following year and a resume of any new instructor who will be presenting the course. This information shall be submitted prior to the re-offering of the course within the time limit set forth in subsection (c). 
NOTE

Authority cited: Section 3327.5, Business and Professions Code. Reference: Section 3327.5, Business and Professions Code. 
HISTORY

1. Amendment filed 5-8-80; effective thirtieth day thereafter (Register 80, No. 19). 
2. Repealer of subsection (c) and relettering of subsections (d)-(g) to (c)-(f) filed 5-6-83; effective thirtieth day thereafter (Register 83, No. 19). 
3. Amendment of subsection (a)(1) filed 5-22-84; effective thirtieth day thereafter (Register 84, No. 21). 
4. Repealer and new subsection (f) filed 3-26-85; effective thirtieth day thereafter (Register 85, No. 13). 
5. Amendment of subsections (a)(1) and (c) and new subsections (a)(6) and (a)(7) filed 1-19-90; operative 2-18-90 (Register 90, No. 5). 
6. Amendment of subsection (a)(1) filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
7. Repealer of subsection (a)(6) and subsection renumbering filed 6-15-98; operative 7-15-98 (Register 98, No. 25).
8. Change without regulatory effect amending section filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
§1399.142. Sanctions for Noncompliance.
Note     •     History

(a) Any dispenser who does not complete the required number of hours of continuing education will be required to make up any deficiency during the next calendar year and renewal cycle. Such dispenser shall document to the bureau the completion of any deficient hours. Any dispenser who fails to make up the deficient hours and the hours of required continuing education for the current year shall be ineligible for the next renewal of his or her license to dispense hearing aids until such time as the deficient hours of continuing education are documented to the bureau.
(b) Fraudulently misrepresenting compliance with the continuing education requirements of Section 3327.5 of the code and this article shall constitute “obtaining a license by fraud or deceit” as those terms are used in Section 3401, subd. (c), of the code.
NOTE

Authority cited: Sections 3327.5 and 3328, Business and Professions Code. Reference: Section 3327.5, Business and Professions Code.
HISTORY

1. Change without regulatory effect amending subsection (a) filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
§1399.143. Repetition of Courses.
Note

Credit will not be given toward approved continuing education coursework which is substantially similar to coursework which was successfully completed within the preceding three (3) years and used to meet the continuing education requirements of this article and Section 3327.5 of the code.
NOTE

Authority and reference cited: Section 3327.5, Business and Professions Code.
§1399.144. Waiver of Requirement.
Note     •     History

(a) The bureau, may in its discretion exempt from the continuing education requirements, any dispenser who for reasons of health, military service, or undue hardship cannot meet those requirements. Applications for waivers shall be submitted to the bureau for its consideration.
(b) Any dispenser who submits an application for a waiver which is denied by the bureau, shall otherwise comply with the provisions of this article or be subject to the sanctions for noncompliance set forth in Section 1399.142.
NOTE

Authority and reference cited: Section 3327.5, Business and Professions Code.
HISTORY

1. Change without regulatory effect amending section filed 6-11-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 24).
Division 13.4. Speech-Language Pathology and Audiology Board
Article 1. General Provisions
§1399.150. Citation.
Note     •     History

This chapter may be cited and referred to as “Speech-Language Pathology and Audiology Regulations.”
NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Section 2531.95, Business and Professions Code.
HISTORY

1. New chapter 13.4 (sections 1399.150-1399.171) filed 10-26-73; effective thirtieth day thereafter (Register 73, No. 43).
2. Amendment filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
3. Amendment filed 4-20-79; effective thirtieth day thereafter (Register 79, No. 16).
4. Amendment filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
5. Change without regulatory effect amending section filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 8).
6. Amendment of division heading filed 4-18-96; operative 5-18-96 (Register 96, No. 16).
7. Change without regulatory effect amending division heading filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
§1399.150.1. Location of Office.
Note     •     History

The principal office of the Speech-Language Pathology and Audiology Board is located at 1422 Howe Avenue, Suite 3, Sacramento, California 95825-3204.
NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Section 2531.95, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 1399.151 to section 1399.150.1 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.150.2. Definitions.
Note     •     History

(a) For the purpose of the regulations contained in this division, the term:
(1) “Board” means the Speech-Language Pathology and Audiology Board;
(2) “Medical Board” means the Medical Board of California;
(3) “Code” means the California Business and Professions Code;
(4) “Act” means the Speech-Language Pathologists and Audiologists Licensure Act.
(b) As used in Section 2530.2, subdivision (e), of the Code:
(1) “The development and disorders of speech” means the development and disorders of articulation, fluency, mastication and deglutition.
(2) “The development and disorders of voice” means the development and disorders of vocal quality and vocal production.
(3) “The development and disorders of language” means the development and disorders of auditory processing, auditory memory, verbal language, written language, visual processing, visual memory, cognition and communication, and non-verbal/non-oral language.
NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.2 and 2531.95, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.152 to section 1399.150.2 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.150.3. Delegation of Functions.
Note     •     History

(a) Except for those powers reserved exclusively to the “agency itself” under the Administrative Procedure Act (Section 11500 et seq. of the Government Code), the board delegates and confers upon the executive officer of the board, or in his or her absence, the executive director of the Medical Board, all functions necessary to the dispatch of the board in connection with investigative and administrative proceedings under the jurisdiction of the board.
(b) The executive officer is further authorized, subject to the approval of the board, to investigate and evaluate each applicant for licensure under the Act; and to issue a license in conformance with the provisions of the Act and this chapter.
NOTE

Authority cited: Sections 2018, 2531.4, 2531.5 and 2531.25, Business and Professions Code. Reference: Sections 2531.4 and 2533, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.153 to section 1399.150.3 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
Article 2. Application
§1399.151. Application for License.
Note     •     History

(a) An application for a license as a speech-language pathologist or audiologist shall be filed with the board at its principal office.
(b) Every application shall be typed or written in ink, signed under the penalty of perjury and accompanied by the appropriate application fee and by such evidence, statements, or documents as therein required.
(c) The applicant shall be notified, in writing, of the results of the evaluation of the application for license if the application is rejected.
(d) An applicant shall be deemed to have abandoned his or her licensure application if the requirements for licensure are not completed within two years from the date on which application was filed unless the applicant has requested extension by the board. An application submitted subsequent to an abandoned application shall be treated as a new application.
NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2531.4 and 2532.1, Business and Professions Code.
HISTORY

1. Renumbering of former section 1399.151 to section 1399.152, and renumbering of former section 1399.150(b) to section 1399.151 filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
2. Change without regulatory effect amending section filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 8).
3. Change without regulatory effect amending section filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
4. Change without regulatory effect renumbering former section 1399.151 to section 1399.150.1 and renumbering former section 1399.154 to section 1399.151 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.151.1. Review of Applications; Processing Time.
Note     •     History

(a) Speech-Language Pathology Licenses.
(1) The board shall inform in writing an applicant for licensure as a speech-language pathologist within 37 days whether the application is complete and accepted for filing or is deficient and what specific information is required.
(2) The board shall inform in writing an applicant for licensure as a speech-language pathologist within 37 days after completion of the application, of its decision whether the applicant meets the requirements for licensure. “Completion of the application” means that a completed application form together with all required information, documentation and fees have been filed by the applicant. This period may be extended if the applicant is delayed in obtaining or completing any required professional experience.
(3) The minimum, median and maximum processing time for an application for licensure as a speech-language pathologist from the time of receipt of the initial application until the board makes a final decision on the application was:
(A) Minimum--38 days
(B) Median--294 days
(C) Maximum--1078 days.
(b) Audiology Licenses.
(1) The board shall inform in writing an applicant for licensure as an audiologist within 46 days whether the application is complete and accepted for filing or is deficient and what specific information is required.
(2) The board shall inform in writing an applicant for licensure as an audiologist within 20 days after completion of the application of its decision whether the applicant meets the requirements for licensure. “Completion of the application” means that a completed application form together with all required information, documentation and fees have been filed by the applicant. This period may be extended if the applicant is delayed in obtaining or completing any required professional experience.
(3) The minimum, median and maximum processing time for an application for licensure as an audiologist from the time of receipt of the initial application until the board makes a final decision on the application was:
(A) Minimum--53 days
(B) Median--231 days
(C) Maximum--686 days.
(c) Aide Registrations.
(1) The board shall inform in writing an applicant for registration as an aide within 30 days whether the application is complete and accepted for filing or is deficient and what specific information is required.
(2) The board shall inform in writing an applicant for registration as an aide within 20 days after completion of the application, of its decision whether the applicant meets the requirements for registration. “Completion of the application” means that a completed application form together with all required information, documentation and fees have been filed by the applicant.
(3) The minimum, median and maximum processing time for an application for registration as an aide from the time of receipt of the initial application until the board makes a final decision on the application was:
(A) Minimum--15 days
(B) Median--85 days
(C) Maximum--264 days.
(d) Continuing Professional Development Provider Approvals.
(1) The board shall inform in writing an applicant for approval as a continuing professional development provider within 30 days whether the application is complete and accepted for filing or is deficient and what specific information is required to correct the deficiency.
(2) The board shall inform in writing an applicant for approval as a continuing professional development provider within 30 days after completion of the application, of its decision whether the applicant meets the requirements for approval. “Completion of the application” means that a completed application form together with all required information, documentation and fees have been filed by the applicant.
(e) Continuing Professional Development Course Submissions.
(1) The board shall inform in writing a licensee and/or a continuing professional development provider within 30 days as to whether a voluntary petition for course approval documentation is complete and accepted for filing or is deficient and what specific information is required to correct the deficiency. The term “complete” means that all required information and documentation has been filed by the licensee and/or continuing professional development provider.
(2) The board shall inform in writing a licensee and/or continuing professional development provider within 45 days after completion of the documentation submitted for a voluntary petition for course approval, of its decision whether the course meets the course content requirements as defined in Section 1399.160.4.
(f) Speech-Language Pathology Assistant.
(1) The board shall inform an applicant for registration as a speech-language pathology assistant within 30 days whether the application is complete and accepted for filing or is deficient and what specific information is required. 
(2) The board shall inform an applicant for approval as a speech-language pathology assistant within 85 days after completion of the application, of its decision whether the applicant meets the requirements for registration. “Completion of the application” means that a completed application form together with all required information, documentation and fees have been filed by the applicant. 
(3) The minimum, median and maximum processing time for an application for registration as a speech-language pathology assistant from the time of receipt of the initial application until the board makes a final decision on the application are: 
(A) Minimum - 40 days 
(B) Median - 127 days 
(C) Maximum - 166 days 
NOTE

Authority cited: Sections 2531.95, 2532.6(a) and 2538.1(a), Business and Professions Code. Reference: Sections 2530.6, 2531.4, 2532.6(e), 2532.6(e)(2) and 2534.2(f), Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.155 to section 1399.151.1 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
2. New subsections (e)-(e)(2)(C) and amendment of Note filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15). 
3. New subsection (e) and redesignation of former subsections (e)-(e)(2) as subsections (e)(1)-(e)(3) filed 11-16-2006; operative 12-16-2006 (Register 2006, No. 46).
4. Amendment of subsections (d)(1)-(2), new subsections (e)-(e)(2), subsection relettering, amendment of newly designated subsections (f)(1)-(2) and amendment of Note filed 3-23-2007; operative 4-22-2007 (Register 2007, No. 12).
Article 3. Qualifications for Licensure--Education and Clinical Experience
§1399.152. Approved Institutions.
Note     •     History

(a) For the purposes of this Section, the term “institution” means the facility where a student attends and receives his or her primary academic and clinical preparation including the institution's satellite sites or campuses. The term “joint program” means a program wherein each of the member institutions is a separate degree-granting entity.
(b) An “institution approved by the board” as used in Section 2532.2 of the code is defined as:
(1) An educational institution (or in the case of a joint program, educational institutions) that is accredited by a regional or national accrediting body recognized by the United States Department of Education, and
(2) Has program accreditation in the area for which licensure is sought by an accrediting body recognized by the United States Department of Education or the Council on Higher Education Accreditation (CHEA) or its predecessor, the Council on Postsecondary Accreditation (COPA), or a comparable accrediting body recognized by the Board.
(c) A graduate speech-language pathology or audiology program shall be accredited or shall be designated as a program in candidacy by the accrediting body authorized by the American Speech-Language-Hearing Association at the time of the applicant's graduation.
(d) A post-baccalaureate audiology doctoral program shall be accredited or shall be designated as a program in candidacy by the accrediting body authorized by the American Speech-Language-Hearing Association or shall be accredited or shall be designated as a program in candidacy by another accrediting body as specified in subsection (b) above.
(e) In its discretion the board may approve after its review any educational program, with academic and clinical requirements equivalent to an accredited graduate or doctoral training program as provided for above, but, which is not accredited under one of the above-mentioned criteria.
NOTE

Authority cited: Sections 2531.95 and 2532.2, Business and Professions Code. Reference: Section 2532.2, Business and Professions Code.
HISTORY

1. Amendment of subsection (b) and repealer of subsections (f) and (g) filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Repealer of former section 1399.152, and renumbering and amendment of former section 1399.151 to section 1399.152 filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33). For prior history, see Register 79, No. 16.
3. Amendment filed 2-4-87; effective thirtieth day thereafter (Register 87, No. 6).
4. Change without regulatory effect amending subsections (a)(1), (a)(2), and (a)(4) filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 8).
5. Amendment of subsections (a)-(a)(1) filed 4-18-96; operative 5-18-96 (Register 96, No. 16).
6. Change without regulatory effect amending subsection (a)(1), repealing and adopting new subsection (a)(2), and amending subsection (b)(3) filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
7. Change without regulatory effect renumbering and amending former section 1399.152 to section 1399.150.2 and renumbering former section 1399.156 to section 1399.152 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
8. Amendment filed 7-3-2006; operative 8-2-2006 (Register 2006, No. 27).
9. Amendment of subsection (e) and Note filed 4-27-2010; operative 5-27-2010 (Register 2010, No. 18).
§1399.152.1. Academic Requirements.
Note     •     History

(a) As used in Section 2532.2, subd. (a) of the code, “qualifications deemed equivalent by the board” means in lieu of a master's degree an applicant may present evidence of completion of at least 30 semester units acceptable towards a master's degree while registered as a graduate student in a degree program in speech-language pathology and/or audiology. At least 24 of the required semester units shall be completed at a single educational institution and shall be in speech-language pathology or audiology.
(b) Credits for extension courses shall be accepted toward the unit requirements of Section 2532.2 subd. (b) of the code only if they are a part of the regular graduate curriculum and are accepted toward a graduate degree by the educational institution attended.
(c) The “successful completion” of a course as these terms are used in Section 2532.2 subd. (b) of the code means the student earned a grade of “C” or better or its equivalent.
(d) If the content of a course is not adequately depicted within its title, the board in its discretion may require additional course descriptions.
NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Section 2532.2, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.157 to section 1399.152.1 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.152.2. Supervised Clinical Experience.
Note     •     History

(a) Supervised clinical experience within the meaning of Section 2532.2, subdivision (c) of the code shall be in the area for which licensure is sought. Speech-language pathology clinical experience shall be under the supervision of a licensed speech-language pathologist or a speech-language pathologist having qualifications deemed equivalent by the board. Audiology clinical experience shall be under the supervision of a licensed audiologist or an audiologist having qualifications deemed equivalent by the board. “Qualifications deemed equivalent by the board” includes a supervisor who holds the legal authorization to practice in the field for which licensure is sought in the state where the experience is being obtained, if the supervised clinical experience is obtained in a setting which is exempt from the licensure requirements of the Act or out of state.
(b) Two hundred seventy-five (275) clock hours of clinical experience shall be required for licensure as a speech-language pathologist or audiologist for applicants who completed their graduate program on or before December 31, 1992.
(c) Three hundred (300) clock hours of clinical experience in three (3) different clinical settings shall be required for licensure as a speech-language pathologist or audiologist for applicants who completed their graduate program after December 31, 1992.
(d) Twenty-five (25) hours of the required clinical experience may be in the field other than that for which the applicant is seeking licensure (speech-language pathology for an audiologist or audiology for a speech-language pathologist) if such clinical experience is under a supervisor who is qualified in the minor field as provided in subsection (a).
NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Section 2532.2, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.158 to section 1399.152.2 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
2. Amendment of subsection (a), repealer of subsection (d), subsection relettering and amendment of newly designated subsection (d) filed 7-23-2008; operative 8-22-2008 (Register 2008, No. 30).
§1399.152.3. Examination Requirement.
Note     •     History

(a) Applicants shall be deemed to have satisfied the examination requirements of section 2532.2(e) of the code if they have taken the National Examination in Speech-Language Pathology or the National Examination in Audiology administered by the Educational Testing Service of Princeton, New Jersey, within five years preceding the date on which their application is filed with the board and have achieved a score on such examination which is acceptable to the board.
(b)(1) Applicants who have taken and passed the National Examination; and 
(2)(A) who are licensed in another state, or
(B) who hold a Certificate of Clinical Competence issued by the American Speech-Language-Hearing Association in the field for which licensure is sought, or
(C) who were previously licensed in this state, whose license has lapsed under section 2535.4 of the code; and 
(3) who provide proof of continuous employment, except for usual and customary absences for illness and vacation, in the field for which licensure is sought, for three years immediately prior to the date on which their application was filed with this board, may be deemed to have satisfied the examination requirement referred to in subsection (a) even though the National Examination may have been taken more than five (5) years from the date on which their application was filed with the board. Continuous employment in the field for which licensure is sought is defined as documented employment of not less than (15) hours per week during the (3) years specified above while maintaining a license in the state where the applicant was employed. The applicant may request to appear before the board if his or her waiver application has been denied.
If an applicant has less employment experience than that required for a waiver of the examination, then the board may also consider, on a case-by-case basis, any continuing education in the field the applicant may have obtained during the above-mentioned three-year period.
NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2531.3, 2531.4, 2532, 2532.2 and 2532.4, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.159 to section 1399.152.3 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
Article 4. Qualifications for Licensure--Required Professional Experience
§1399.153. Definitions.
Note     •     History

As used in this article, the term:
(a) “Required professional experience” or “RPE” means the supervised practice of speech-language pathology or audiology for the purpose of meeting the requirements for licensure in accordance with Sections 2530.5, subdivision (f), and 2532.2, subdivision (d), of the code and these regulations.
(b) “Required professional experience supervisor” or “RPE supervisor” means a person who is licensed as a speech-language pathologist or audiologist in the field for which licensure is sought, or has qualifications deemed equivalent by the board. “Qualifications deemed equivalent by the board” include a supervisor who holds legal authorization to practice in the state where the experience is being obtained in the field for which licensure is sought if the required professional experience is obtained in a setting which is exempt from the licensure requirements of the Act or out of state.
(c) “Required professional experience temporary license holder” or “RPE temporary license holder” means a person who has complied with Section 1399.153.2 of these regulations.
NOTE

Authority cited for Article 4 (Sections 1399.160-1399.168): Section 2531.95, Business and Professions Code. Reference: Section 2532.2, Business and Professions Code.
HISTORY

1. Amendment filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Amendment filed 4-20-79; effective thirtieth day thereafter (Register 79, No. 16).
3. Amendment filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
4. Change without regulatory effect amending section filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
5. Change without regulatory effect renumbering former section 1399.153 to section 1399.150.3 and renumbering and amending former section 1399.160 to section 1399.153 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
6. Amendment of subsection (c) filed 1-23-2003; operative 1-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 4). 
7. Amendment of subsection (b) filed 7-23-2008; operative 8-22-2008 (Register 2008, No. 30).
§1399.153.1. Approved RPE.
Note     •     History

(a) RPE shall provide the RPE temporary license holder with broad clinical experience in evaluation, habilitation and rehabilitation of patients.
(b) Activities which consist of academic teaching, clinical supervision, research or administration shall not be creditable toward the RPE requirement.  A maximum of 5% per week of hearing screening services provided by an RPE temporary license holder in speech-language pathology shall be creditable toward the experience.  Only those activities which directly concern the management of specific patients shall be creditable toward that requirement.
NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.5 and 2532.2, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.161 to section 1399.153.1 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
2. Amendment filed 1-23-2003; operative 1-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 4). 
§1399.153.2. Application and Fees.
Note     •     History

(a) All persons desiring to begin their required professional experience shall file an RPE temporary license application with the board as provided in Section 1399.151. No person shall commence any RPE in a setting in which licensure is required in the Act until he or she has been issued a required professional experience temporary license. Upon receipt of the RPE temporary license application, the board will immediately review the RPE plan and notify the applicant of its approval or disapproval. As soon as possible thereafter the board will review the applicant's credentials and notify the applicant as to the approval of his or her credentials for licensure.
(b) All RPE temporary license applicants shall submit at the time of filing the RPE temporary license application a non-refundable fee of $35.00 which is applicable to the application fee as required in Section 1399.157(a).
(c) Any experience gained prior to the issuance of the RPE temporary license will not be counted toward licensure, unless the RPE temporary license holder is practicing in a setting exempt under Section 2530.5 of the code, or in another state.
(d) Application under this section shall constitute temporary licensure of the RPE applicant under Section 2530.5 of the code.
NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.5, 2532.1 and 2532.2, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 1399.162 to section 1399.153.2 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
2. Amendment filed 1-23-2003; operative 1-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 4). 
§1399.153.3. Responsibilities of RPE Supervisors.
Note     •     History

An RPE supervisor's responsibilities shall include, but are not limited to:
(a) Legal responsibility for the health, safety and welfare of the patients treated by the RPE temporary license holder.
(b) Insuring that the extent, kind, and quality of functions performed by an RPE temporary license holder under the supervisor's supervision is in compliance with these regulations and is consistent with the RPE temporary license holder's education and training.
(c) Insuring that such supervision consists of direct monitoring for a minimum of eight hours per month for each full-time RPE temporary license holder and four hours per month for each part-time RPE temporary license holder.
(d) “Direct monitoring” of the RPE temporary license holder may consist of the personal observation of the following:
(1) evaluation and assessment procedures;
(2) treatment procedures;
(3) record keeping, evaluation or assessment reports, correspondence, plans for management, and summaries of case conferences;
(4) participation in case conferences.
At least 50% of the supervisor's observation shall be of the RPE temporary license holder's evaluation, assessment and treatment procedures.
(e) Reviewing and evaluating the RPE temporary license holder's performance on a monthly basis for the purpose of improving his or her professional expertise. The RPE supervisor shall discuss the evaluations with the RPE temporary license holder and maintain written documentation of these evaluations and reviews.  The written evaluations shall be signed by both the RPE supervisor and the RPE temporary license holder.  If the supervisor determines the RPE temporary license holder is not minimally competent for licensure, the RPE temporary license holder shall be so notified orally and in writing.  A written statement documenting the basis for the supervisor's determination shall be submitted with the final verification of experience to the board.
(f) Reviewing and countersigning all evaluation and assessment reports, treatment plans, progress and discharge reports drafted by the RPE temporary license holder.
(g) A “Required professional experience supervisor” must have completed not less than six (6) hours of continuing professional development in supervision training prior to assuming responsibility as a RPE supervisor, and three (3) hours of continuing professional development in supervision training every four years thereafter. If the continuing professional development in supervision training is obtained from a board- approved provider as defined in Section 2532.6 subdivision (e) of the code, the hours may be applied towards the continuing professional development requirement for licensees set forth in Section 1399.160.3 of the California Code of Regulations.
NOTE

Authority cited: Sections 2531.95, 2532.2 and 2532.6, Business and Professions Code. Reference: Sections 2532.2 and 2532.6, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.163 to section 1399.153.3 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
2. Amendment filed 1-23-2003; operative 1-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 4). 
3. New subsection (g) filed 7-23-2008; operative 8-22-2008 (Register 2008, No. 30).
4. Amendment of subsection (g) and Note filed 4-27-2010; operative 5-27-2010 (Register 2010, No. 18).
§1399.153.4. Maximum Number of RPE Temporary License Holders.
Note     •     History

An RPE supervisor shall not supervise more than three (3) RPE temporary license holders. The board may authorize more than three supervisees if, in its discretion, the supervisor demonstrates that the public health and safety would not be jeopardized and that he or she can adequately supervise more than three RPE  temporary license holders while maintaining the standards of experience required in this article.
NOTE

Authority cited: Sections 2531.95 and 2530.5, Business and Professions Code. Reference: Section 2532.2, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.164 to section 1399.153.4 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
2. Amendment of section heading and section and new Note filed 1-23-2003; operative 1-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 4). 
§1399.153.5. Multiple RPE Supervisors.
Note     •     History

If, during the required professional experience, the RPE temporary license holder is supervised by two or more RPE supervisors, then the supervisor having the most frequent contacts with the RPE temporary license holder shall be the responsible supervisor for the purpose of these regulations. That supervisor shall consult with any other RPE supervisors when evaluating the RPE temporary license holder's performance.
NOTE

Authority cited: Sections 2531.95 and 2530.5, Business and Professions Code. Reference: Section 2532.2, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.165 to section 1399.153.5 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
2. Amendment of section heading and section and new Note filed 1-23-2003; operative 1-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 4). 
§1399.153.6. Compensation for RPE Supervisor Prohibited.
Note     •     History

No RPE supervisor may accept any remuneration or other consideration from an RPE temporary license holder for supervision of the RPE temporary license holder.
NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.5 and 2532.2, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.166 to section 1399.153.6 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
2. Amendment of section heading and section filed 1-23-2003; operative 1-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 4). 
§1399.153.7. Supervision by RPE Temporary License Holder Prohibited.
Note     •     History

No RPE temporary license holder shall supervise aides or students receiving supervised clinical experience.
NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.5 and 2532.2, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.167 to section 1399.153.7 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
2. Amendment of section heading and section and new Note filed 1-23-2003; operative 1-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 4). 
§1399.153.8. Final Evaluation of Experience.
Note     •     History

(a) In order for the RPE supervisor to evaluate the RPE temporary license holder for verification to the board, each supervisor shall evaluate the following activities of the RPE temporary license holder:
(1) evaluation and assessment procedures;
(2) treatment procedures;
(3) record keeping, evaluation and assessment reports, correspondence, plans for management and summaries of case conferences;
(4) participation in case conferences;
(5) professional meetings and publications.
(b) The monitoring of audio and video tape recordings is an acceptable method of evaluation provided that such monitoring shall not be substituted for direct observation and supervision of the RPE temporary license holder.
NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Section 2532.2, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.168 to section 1399.153.8 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
2. Amendment filed 1-23-2003; operative 1-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 4). 
§1399.153.9. Termination of RPE Supervision.
Note     •     History

If the supervision of the RPE temporary license holder is terminated prior to the completion of the experience or if there is a change in the number of hours per week in which the RPE temporary license holder is employed, the RPE supervisor shall notify the board in writing of such facts within ten (10) days.
NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Section 2532.2, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.169 to section 1399.153.9 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
2. Amendment of section heading and section filed 1-23-2003; operative 1-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 4). 
§1399.153.10. Reissuance of RPE Temporary License.
Note     •     History

(a) Upon written request by the RPE temporary license holder and prior to the expiration of the temporary license, the Board in its discretion may reissue the license by extending its expiration date for a period to be determined by the Board but may not exceed one year. Under no circumstances will the Board reissue or extend a temporary license because of failure by the requestor, within the initial RPE temporary license period, to submit the required licensing documentation or because of a failure by the requestor to take and pass the licensing examination as specified in Section 1399.152.3.
(b) The request for re-issuance of the RPE temporary license must submitted 60 days prior to the expiration of the original temporary license and must be accompanied by a completed Required Professional Experience Verification form number 77V-21 (Rev. 3-02). The Board will notify the RPE temporary license holder, within (30) working days after receipt of the request, whether a temporary license will be reissued to the RPE temporary license holder. If the request is denied, the RPE temporary license holder shall terminate practice upon expiration of the original temporary license. Failure to cease practice may result in disciplinary action taken by the Board against the RPE temporary license holder and/or the designated RPE supervisor.
(c) If the request for the re-issuance of the RPE temporary license is a result of;
(1) the RPE temporary license holder or an immediate family member, where the RPE temporary license holder has primary responsibility for the care of that family member, was suffering from or suffered a disability (a disability is a physical or mental impairment that substantially limits one or more of the major life activities of an individual) then the disability shall be verified by a licensed physician or psychologist with expertise in the area of the disability. Verification of the disability shall include;
A. the nature and extent of the disability;
B. an explanation of how the disability hinders the RPE temporary license holder from completing the experience; and 
C. the name, address, telephone number, professional license or certification number, and original signature of the licensed physician or psychologist verifying the disability; or
(2) the RPE temporary license holder's designated supervisor has determined that the RPE temporary license holder requires additional experience in one or more practice area(s) to gain entry level competency for independent practice then the designated supervisor shall submit a written request to the Board justifying the need for additional experience including the following information;
A. the amount of time requested;
B. the areas of deficient professional skills, services or knowledge;
C. a remediation plan to address the deficiency;
D. a method to determine that the deficiencies have been addressed by the end of the extension; and
E. signatures of the requesting supervisor and the RPE temporary license holder indicating agreement with the justification.
(3) the RPE temporary license holder not receiving adequate supervision and training and has determined that he or she is not proficient in one or more practice area(s) then the RPE temporary license holder, with the assistance of a designated supervisor, shall submit a written request to the Board including the information specified in subsection (2).
(d) The fee for reissuing a temporary license to extend the required professional experience term shall be the same fee as that charged for the original RPE temporary license application as provided in Section 1399.153.2.
NOTE

Authority cited: Sections 2531.95 and 2530.5, Business and Professions Code. Reference: Section 2532.7, Business and Professions Code.
HISTORY

1. Amendment of section heading and section filed 1-23-2003; operative 1-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 4). 
Article 5. Speech-Language Pathology or Audiology Aides
§1399.154. Definitions.
Note     •     History

As used in this article, the term:
(a) “Speech-language pathology aide” means a person who
(1) assists or facilitates while the speech-language pathologist is evaluating the speech and/or language of individuals or is treating individuals with a speech-language and/or language disorder and
(2) is registered by the supervisor with the board and the registration is approved by the board.
(b) “Audiology aide” means a person who
(1) assists or facilitates while an audiologist is evaluating the hearing of individuals and/or is treating individuals with hearing disorders, and
(2) is registered by the supervisor with the board and the registration is approved by the board.
(c) “Supervisor” means a licensed speech-language pathologist who supervises a speech-language pathology aide or a licensed audiologist who supervises an audiology aide.
(d) “Industrial audiology aide” means an audiology aide who conducts pure tone air conduction threshold audiograms for the purpose of industrial hearing testing in addition to other acts and services as provided in these regulations.
NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.2 and 2530.6, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Amendment of NOTE filed 4-20-79; effective thirtieth day thereafter (Register 79, No. 16).
3. Amendment filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
4. Renumbering of section 1399.155 to section 1399.154(d) filed 11-23-83; effective thirtieth day thereafter (Register 83, No. 48).
5. Change without regulatory effect amending subsections (a) and (d) filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 8).
6. Change without regulatory effect amending subsections (a) and (d) filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
7. Change without regulatory effect renumbering former section 1399.154 to section 1399.151 and renumbering former section 1399.170 to section 1399.154 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.154.1. Registration of Aides.
Note     •     History

Before allowing an aide to assist in the practice of speech-language pathology or audiology under his or her supervision, a supervisor shall register each aide with the board on a form provided by the board and pay the registration fee required in Section 1399.157. Regardless of their title or job classification, any support person who functions as a speech-language pathology or audiology aide and facilitates or assists a supervisor in evaluations or treatment shall be registered with the board. In the application for registration, the supervisor shall provide to the board, his or her proposed plan for supervising and training the speech-language pathology or audiology aide. The proposed plan for training shall be in accordance with Section 1399.154.4 and shall include the supervisor's training methods, the necessary minimum competency level of the aide, the manner in which the aide's competency will be assessed, the persons responsible for training, a summary of any past education, training and experience the aide may have already undertaken, and the length of the training program and assessment of the aide's competency level. The board shall review the application for compliance with the requirements of this article and notify the supervisor of its disposition of the application for registration and whether further information is required in order to complete its review.
NOTE

Authority cited: Section 2531.25, Business and Professions Code. Reference: Sections 2530.2, 2530.6 and 2532.4, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 1399.171 to section 1399.154.1 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.154.2. Responsibilities of Aide's Supervisor.
Note     •     History

A supervisor of a speech-language pathology or audiology aide shall:
(a) Have legal responsibility for the health, safety and welfare of the patients.
(b) Have legal responsibility for the acts and services provided by the speech-language pathology or audiology aide, including compliance with the provisions of the Act and these regulations.
(c) Be physically present while the speech-language pathology or audiology aide is assisting with patients, unless an alternative plan of supervision has been approved by the board. A supervisor of industrial audiology aides shall include a proposed plan for alternative supervision with the application form. An industrial audiology aide may only be authorized to conduct puretone air conduction threshold audiograms when performing outside the physical presence of a supervisor. The supervisor shall review the patient histories and the audiograms and make necessary referrals for evaluation and treatment.
(d) Evaluate, treat, manage and determine the future dispositions of patients.
(e) Appropriately train the speech-language pathology or audiology aide to perform duties to effectively assist in evaluation and/or treatment. A supervisor shall establish and complete a training program for a speech-language pathology or audiology aide in accordance with Section 1399.154.4 which is unique to the duties of the aide and the setting in which he or she will be assisting the supervisor.
(f) Define the services which may be provided by the speech-language pathology or audiology aide. Those services shall not exceed the competency of the aide as determined by his or her education, training and experience, and shall not include any treatment beyond the plan established by the supervisor for the patient.
NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.2 and 2530.6, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 1399.172 to section 1399.154.2 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.154.3. Maximum Number of Aides.
History

A supervisor shall not supervise more than three (3) speech-language pathology or audiology aides. The board may authorize more than three supervisees if, in its discretion, the supervisor demonstrates that the public health and safety would not be jeopardized and that he or she can adequately supervise more than three aides.
HISTORY

1. Change without regulatory effect renumbering former section 1399.173 to section 1399.154.3 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.154.4. Training of Aides.
Note     •     History

Before a speech-language pathologist or audiologist allows an aide to assist in the practice of speech-language pathology or audiology under his or her supervision, a speech-language pathology or audiology aide shall complete a training program established by the supervisor. The training program shall include, but is not limited to:
(a) Instruction in the skills necessary to perform any acts or services which are the practice of speech-language pathology or audiology as defined in Section 2530.2 of the code. The supervisor is not required to repeat any training which may have already been received by the aide because of any prior education, training and experience.
(b) A supervisor shall require a speech-language pathology or audiology aide to demonstrate his or her competence to perform any acts or provide any services which are the practice of speech-language pathology or audiology as defined in Section 2530.2 of the code which may be assigned to the aide or which the aide may provide to patients. A supervisor shall allow a speech-language pathology or audiology aide only to perform those acts or to provide those services for which he or she has been provided training and has demonstrated competency.
(c) A supervisor shall instruct a speech-language pathology or audiology aide as to the limitations imposed upon his or her duties, acts or services by these regulations, by his or her training and skills, and by the evaluation and treatment plan for any patient.
(d) In addition to the requirements of this section, an industrial audiology aide shall be provided training in the use of an audiometer and in the necessary techniques for obtaining valid and reliable audiograms.
NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.2 and 2530.6, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.174 to section 1399.154.4 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.154.5. Notice of Termination.
Note     •     History

Within 30 days after the termination of the supervision of a speech-language pathology or audiology aide, the supervisor shall notify the board, in writing, of such termination and the date thereof.
NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.2 and 2530.6, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.175 to section 1399.154.5 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.154.6. Noncompliance with Article.
Note     •     History

Failure of a supervising licensee to comply with the provisions of this article may result in a forfeiture of the privilege to supervise an aide.
NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Section 2530.6, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.176 to section 1399.154.6 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.154.7. Aide Experience Not Applicable to Qualifications for Licensure.
History

Any experience obtained acting as a speech-language pathology or audiology aide shall not be creditable toward the supervised clinical experience required in Section 2532.2(c) of the code or the required professional experience required in Section 2532.2(d) of the code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.177 to section 1399.154.7 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
Article 6. Disciplinary Guidelines
§1399.155. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Section 11400 et seq. of the Government Code) the board shall consider the disciplinary guidelines entitled “Disciplinary Guidelines July 16, 2004” that are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the board, in its sole discretion, determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case and evidentiary problems.
NOTE

Authority cited: Sections 2531.95, Business and Professions Code; and Section 11400.20, Government Code. Reference: Sections 2533 and 2533.1, Business and Professions Code; and Sections 11400.20 and 11425.50(e), Government Code.
HISTORY

1. Amendment filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Repealer of former section 1399.155, and renumbering and amendment of former section 1399.156 to section 1399.155 filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Renumbering of section 1399.155 to section 1399.154(d) filed 11-23-83; effective thirtieth day thereafter (Register 83, No. 48).
4. New section filed 1-9-84; effective thirtieth day thereafter (Register 84, No. 2).
5. Change without regulatory effect amending subsections (a), (a)(1), (a)(2) and (a)(3) filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 8).
6. Change without regulatory effect amending subsections (a)(1)-(3), (b)(1)-(3) and (c)(1)-(3) filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
7. New subsections (d)-(d)(2) and amendment of Note filed 4-7-99 as an emergency; operative 4-7-99 (Register 99, No. 7). A Certificate of Compliance must be transmitted to OAL by 8-5-99 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-7-99 order transmitted to OAL 8-4-99 and filed 9-2-99 (Register 99, No. 36).
9. Change without regulatory effect renumbering former section 1399.155  to section 1399.151.1 and renumbering former section 1399.178 to section 1399.155 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
10. Amendment of section and Note filed 4-21-2005; operative 5-21-2005 (Register 2005, No. 16).
§1399.155.1. Audiologists--Screening Tests. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 2531.95, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.179 to section 1399.155.1 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
Article 7. Denial, Suspension and Revocation of Licensure
§1399.156. Unprofessional Conduct.
Note     •     History

Unprofessional conduct as set forth in Section 2533 of the code includes, but is not limited to the following:
(a) Violating or conspiring to violate or aiding or abetting any person to violate the provisions of the Act or these regulations.
(b) Committing any corrupt act, or any abusive act against a patient, which is substantially related to the qualifications, functions or duties of a speech-language pathologist or audiologist.
(c) Incompetence or negligence in the practice of speech-language pathology or audiology which has endangered or is likely to endanger the health, welfare, or safety of the public.
NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Section 2533, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1399.156 to section 1399.155, and renumbering and amendment of former section 1399.157(a) to section 1399.156 filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
2. Change without regulatory effect amending section filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 8).
3. Change without regulatory effect amending first and last  paragraphs filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
4. Change without regulatory effect renumbering former section 1399.156 to section 1399.152 and renumbering former section 1399.180 to section 1399.156 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.156.1. Substantial Relationship Criteria.
Note     •     History

For the purposes of denial, suspension or revocation of a license or registration pursuant to Division 1.5 (commencing with Section 475) of the code, a crime or act shall be considered to be substantially related to the qualifications, functions or duties of a person holding a license under the Act if to a substantial degree it evidences present or potential unfitness of a person holding a license to perform the function authorized by his or her license or registration in a manner consistent with the public health, safety, or welfare. Such crimes or acts shall include but not be limited to those involving the following:
(a) Violating or attempting to violate, directly or indirectly, or assisting in or abetting the violation of, or conspiring to violate any provision or term of the Act.
(b) Conviction of a crime involving fiscal dishonesty.
NOTE

Authority cited: Sections 481 and 2531.95, Business and Professions Code. Reference: Sections 481, 2533 and 2533.1, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.182 to section 1399.156.1 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.156.2. Rehabilitation Criteria for Denial and Reinstatement.
Note     •     History

When considering the denial of a license or registration under Section 480 of the code or a petition for reinstatement under Section 11522 of the Government Code, the board, in evaluating the rehabilitation of the applicant and his or her present eligibility for a license, will consider the following criteria:
(a) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(b) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the code.
(c) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).
(d) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(e) Evidence, if any, of rehabilitation submitted by the applicant.
NOTE

Authority cited: Sections 482 and 2531.95, Business and Professions Code. Reference: Sections 482, 2533 and 2533.1, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.183 to section 1399.156.2 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.156.3. Rehabilitation Criteria for Suspensions or Revocations.
Note     •     History

When considering the suspension or revocation of a license on the grounds that a person holding a license or registration under the Act has been convicted of a crime, the board, in evaluating the rehabilitation of such person and his or her eligibility for a license will consider the following criteria:
(a) Nature and severity of the act(s) or offense(s).
(b) Total criminal record.
(c) The time that has elapsed since commission of the act(s) or offense(s).
(d) Whether the licensee has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against such person.
(e) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(f) Evidence, if any, of rehabilitation submitted by licensee, certificate or permit holder.
NOTE

Authority cited: Sections 482 and 2531.95, Business and Professions Code. Reference: Sections 482, 2533 and 2533.1, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.184 to section 1399.156.3 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.156.4. Advertising.
Note     •     History

(a) A licensed speech-language pathologist or audiologist may advertise the provision of any services authorized by the Act so long as such advertising does not promote the excessive or unnecessary use of such services.
(b) A licensed speech-language pathologist or audiologist may advertise any academic degree that has been earned and awarded provided that the advertisement of that degree is not false, deceptive, misleading or in the exercise of reasonable care should be known to be false, deceptive or misleading.
(c) The Board may consider the following factors in determining whether advertising any degrees from the following categories of institutions is false, deceptive, or misleading:
(1) An institution that was not legally authorized or approved to award the degree by the appropriate state regulatory or licensing agency at the time the degree was awarded or at any time during which the licensee was in attendance.
(2) An institution whose state approval was revoked within one (1) year after the degree was awarded.
(d) If these degrees are generic, such as Ph.D., Ed.D., M.S., M.A., or M.Ed., the holder may represent them, but shall specify the discipline in which each particular degree was earned.
NOTE

Authority cited: Sections 651 and 2531.95, Business and Professions Code. Reference: Sections 651, 651.3, 2533 and 17500, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 1399.185 to section 1399.156.4 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
2. Amendment filed 9-28-2006; operative 10-28-2006 (Register 2006, No. 39).
Article 8. Miscellaneous
§1399.157. Fees.
Note     •     History

(a) The application fee shall be $60.00 for any person applying for a speech-language pathology or non-dispensing audiology license.
(b) The application fee shall be $280 for any person applying for a dispensing audiology license.
(c) The biennial renewal fee for licensed speech-language pathologists and non-dispensing audiologists which expire prior to January 1, 2002 shall be $75.00. Effective January 1, 2002, the biennial renewal fee for licensed speech-language pathologists or non-dispensing audiologists shall be $110.00.
(d) The annual renewal fee for a licensed audiologist authorized to dispense hearing aids shall be $280.
(e) The fee for registration of an aide shall be $10.00.
(f) The application and the biennial renewal fee for a continuing professional development provider is a $200 non-refundable fee.
(g) The fee for issuance of a license status and history certification letter shall be $10.00.
NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Sections 163.5, 2532.6(f) and 2534.2, Business and Professions Code.
HISTORY

1. Repealer and new section filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34). 
2. Amendment filed 4-20-79; effective thirtieth day thereafter (Register 79, No. 16).
3. Repealer and new subsection (a) filed 2-28-80; effective thirtieth day thereafter (Register 80, No. 9).
4. Renumbering and amendment of former section 1399.157(b), (f), (g) and (h) to section 1399.157 filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
5. Change without regulatory effect amending subsection (a) filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 8).
6. Change without regulatory effect amending subsections (a) and (d) filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
7. Change without regulatory effect renumbering former section 1399.157 to section 1399.152.1 and renumbering former section 1399.186 to section 1399.157 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
8. Amendment of subsection (b) filed 9-27-2001 as an emergency; operative 9-27-2001 (Register 2001, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-26-2002 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 9-27-2001 order transmitted to OAL 12-20-2001 and filed 2-4-2002 (Register 2002, No. 6).
10. New subsection (e) filed 7-23-2003; operative 8-22-2003 (Register 2003, No. 30).
11. Amendment filed 3-1-2011 as an emergency; operative 3-1-2011 (Register 2011, No. 9). A Certificate of Compliance must be transmitted to OAL by 8-29-2011 or emergency language will be repealed by operation of law on the following day.
12. Amendment refiled 8-24-2011 as an emergency; operative 8-24-2011 (Register 2011, No. 34). A Certificate of Compliance must be transmitted to OAL by 11-23-2011 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 8-24-2011 order transmitted to OAL 11-15-2011 and filed 12-28-2011 (Register 2011, No. 52).
§1399.157.1. Professional Corporation Fees. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 2531.25, 2536.7 and 2537.7, Business and Professions Code. Reference: Sections 2536.1, 2536.3, 2536.4, 2537.1, 2537.3 and 2537.4, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.187 to section 1399.157.1 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.157.2. Filing of Change of Address.
Note     •     History

Each person holding or having a license, registration, or application on file with the board shall notify the board in writing within thirty (30) calendar days of any change of mailing address, giving both the old and new address.
NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2532.1, 2535.1 and 2536.3, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.189 to section 1399.157.2 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
Article 9. Speech-Language Pathology and Audiology Corporations
§1399.158. Citation.
Note     •     History

These regulations may be cited and referred to as the “Speech-Language Pathology and Audiology Corporation Regulations.”
NOTE

Authority cited: Sections 2531.95 and 3125, Business and Professions Code. Reference: Section 2539, Business and Professions Code.
HISTORY

1. Amendment filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Amendment filed 4-20-79; effective thirtieth day thereafter (Register 79, No. 16).
3. New subsection (b) filed 2-28-80; effective thirtieth day thereafter (Register 80, No. 9).
4. Amendment filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
5. Amendment filed 11-23-83; effective thirtieth day thereafter (Register 83, No. 48).
6. Change without regulatory effect amending section filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 8).
7. Amendment of subsections (a)-(b), new subsection (c) and subsection  relettering filed 4-18-96; operative 5-18-96 (Register 96, No. 16).
8. Change without regulatory effect amending subsections (a) and (b) filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
9. Change without regulatory effect renumbering former section 1399.158 to section 1399.152.2 and renumbering former section 1399.190 to section 1399.158 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.158.1. Requirements for Professional Corporations.
Note     •     History

A professional corporation shall comply with the following provisions:
(a) The corporation is organized and exists pursuant to the General Corporation Law and is a professional corporation within the meaning of the Moscone-Knox Professional Corporations Act, Corporations Code Section 13400, et seq.
(b) Each shareholder, director and officer (except as provided in Section 13403 of the Corporations Code and Section 2537.2 of the code) holds a valid speech-language pathologist's or audiologist's license, as the case may be. A speech-language pathologist may be a shareholder, officer or director of an audiology corporation and an audiologist may be a shareholder, officer or director of a speech-language pathology corporation in accordance with the numerical restrictions set forth in Section 13401.5 of the Corporations Code.
(c) Each employee of the corporation who will practice speech-language pathology or audiology whether or not a director, officer or shareholder, holds a valid speech-language pathologist's or audiologist's license.
NOTE

Authority cited: Sections 2531.95 and 2539, Business and Professions Code. Reference: Sections 2536 and 2536.1, Business and Professions Code; and Sections 13401, 13401.5, 13403, 13405 and 13406, Corporations Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.191 to section 1399.158.1 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.158.2. Shares: Ownership and Transfer.
Note     •     History

(a) Where there are two or more shareholders in a speech-language pathology or audiology corporation and one of the shareholders:
(1) Dies; or
(2) Becomes a disqualified person as defined in Section 13401(d) of the Corporations Code, for a period exceeding ninety (90) days his or her shares shall be sold and transferred to the corporation, its shareholders, or other eligible licensed persons, on such terms as are agreed upon. Such sale or transfer shall not be later than six (6) months after any such death and not later than ninety (90) days after the date the shareholder becomes a disqualified person. The requirements of this subsection shall be set forth in the speech-language pathology or audiology corporation's articles of incorporation or by-laws.
(b) A corporation and its shareholders may, but need not, agree that shares sold to it by a person who becomes a disqualified person may be resold to such person if and when he or she again becomes qualified to be a shareholder.
(c) The share certificates of a speech-language pathology or audiology corporation shall contain an appropriate legend setting forth the restrictions of subsection (b), where applicable.
(d) Nothing in these regulations shall be construed to prohibit a professional corporation from owning shares in a nonprofessional corporation or to prohibit a speech-language pathologist or audiologist from owning shares in more than one speech-language pathology or audiology corporation.
(e) The restrictions on the ownership and transfer of shares in a speech-language pathology or audiology corporation apply to both legal and equitable title to such shares.
NOTE

Authority cited: Sections 2531.95 and 2599, Business and Professions Code. Reference: Section 2539, Business and Professions Code; and Sections 13401, 13403, 13406 and 13407, Corporations Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.192 to section 1399.158.2 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.158.3. Corporate Activities.
Note     •     History

(a) A speech-language pathology or audiology corporation may perform any act authorized by its articles of incorporation or by-laws so long as that act is not in conflict with or prohibited by the Speech-Language Pathologists and Audiologists Licensure Act or the regulations adopted pursuant thereto.
(b) A speech-language pathology or audiology corporation may enter into partnership agreements respectively with other speech-language pathology or audiology corporations or with speech-language pathologists or audiologists.
NOTE

Authority cited: Sections 2531.95 and 2539, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.193 to section 1399.158.3 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.158.4. Requirements for Professional Corporations. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 2531.95 and 2539, Business and Professions Code. Reference: Sections 2536 and 2536.1, Business and Professions Code; and Sections 13401, 13401.5, 13403, 13405 and 13406, Corporations Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.194 to section 1399.158.4 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
Article 10. Citations and Fines
§1399.159. Citations--Content and Service.
Note     •     History

(a) The executive officer of the board is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and/or fines for violations by any licensee or registrant of the board of the statutes and regulations referred to in this article.
(b) Each citation shall be in writing and shall describe with particularity the nature and facts of each violation specified in the citation, including a reference to the statute  or regulation alleged to have been violated.
(c) The citation may contain an assessment of an administrative fine, an order of abatement fixing a reasonable time for abatement of the violation, or both.
(d) The citation shall inform the cited person of the right to a citation review conference concerning the matter and of the right to an administrative hearing.
(e) The citation shall be served upon the licensee personally or by certified mail, return receipt requested.
NOTE

Authority cited: Sections 125.9, 148 and 2531.95, Business and Professions Code. Reference: Sections 125.9, 148 and 149, Business and Professions Code.
HISTORY

1. New section filed 5-20-77; effective thirtieth day thereafter (Register 77, No. 21). For prior history, see Register 76, No. 34.
2. Amendment of section title filed 4-20-79; effective thirtieth day thereafter (Register 79, No. 16).
3. Amendment filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
4. New subsection (b) filed 6-25-90; operative 6-25-90 (Register 90, No. 34).
5. Change without regulatory effect amending subsections (a) and (b)(3) filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 8).
6. Amendment of subsection (b) filed 10-4-93; operative 11-3-93 (Register 93, No. 41).
7. Change without regulatory effect amending subsections (a) and (b)(3) filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
8. Change without regulatory effect renumbering former section 1399.159 to section 1399.152.3 and renumbering former section 1399.195 to section 1399.159 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
9. Amendment of subsection (a) filed 3-29-2006; operative 4-28-2006 (Register 2006, No. 13).
§1399.159.01. Office Mediation.
Note     •     History

(a) Prior to issuing any citation, the executive officer shall provide notice of a probable violation and offer the individual who is the subject of the notice an opportunity to resolve the matter through office mediation.
(b) A request for office mediation must be made within fourteen (14) calendar days after the notice of probable violation was mailed.
(c) Within thirty (30) calendar days from the receipt of any such request, the executive officer shall conduct office mediation with the individual or his or her legal counsel or authorized representative.
(d) At or before the office mediation, the executive officer shall provide the individual or his or her representative with a notice informing him or her of the right to request copies of all relevant non-privileged documents pertaining to the matter. The notice will further inform the individual or his or her representative that these copies will be provided by the Board upon receipt of a written request. Disclosure of these documents shall not constitute a waiver of any exemption under the Public Records Act that permits the Board to withhold disclosure of these documents from inquiring members of the general public.
(e) Within fourteen (14) calendar days from the date of the office mediation, the executive officer will determine whether to proceed with the service of a citation pursuant to Section 1399.159.2. Alternately, the Executive Officer shall have the authority to enter into a settlement agreement with the individual.
(f) If no settlement agreement is reached and the executive officer decides to go forward with a formal citation, the person cited shall not waive the right to request a formal hearing under the Administrative Procedures Act pursuant to subdivision (b)(4) of Section 125.9 of the Business and Professions Code by virtue of the fact that he or she previously requested office mediation.
(g) In any settlement agreement entered into between the Board and the individual, the individual shall not be asked to waive or give up any future appeal rights he or she may have under the Administrative Procedures Act or any other law.
NOTE

Authority cited: Sections 125.9, 148 and 2531.95, Business and Professions Code. Reference: Sections 125.9, 148 and 149 Business and Professions Code.
HISTORY

1. New section filed 3-29-2006; operative 4-28-2006 (Register 2006, No. 13).
§1399.159.1. Violations and Fines.
Note     •     History

(a) The executive officer shall consider the factors listed in subdivision (b)(3) of section 125.9 of the code in determining the amount of the fine to be assessed or the terms of the order of abatement in any citation.
(b) The executive officer may, in his or her discretion, assess a fine not to exceed $5,000 for each investigation, and issue an order of abatement for any violation of the code or regulations governing the practices of speech-language pathology and audiology;
(c) Notwithstanding the administrative fine amount specified in subsection (b), a citation may include a fine between $2501 and $5,000 if one or more of the following circumstances apply:
(1) The citation involves a violation that has an immediate relationship to the health and safety of another person.
(2) The cited person has a history of two or more prior citations of the same or similar violations.
(3) The citation involves multiple violations that demonstrate willful disregard of the law.
(4) The citation involves a violation or violations perpetrated against a minor, a senior citizen, or disabled person.
NOTE

Authority cited: Sections 125.5, 148 and 2531.95, Business and Professions Code. Reference: Sections 125.9, 148 and 149, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.196 to section 1399.159.1 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
2. Amendment of subsection (b) and new subsections (c)-(c)(4) filed 3-29-2006; operative 4-28-2006 (Register 2006, No. 13).
§1399.159.2. Citations for Unlicensed Practice.
Note     •     History

(a) The executive officer of the board may issue citations, in accordance with section 148 of the code, against any person, partnership, corporation, association or other group however organized who is performing or who has performed services for which licensure is required under the act or regulations governing the practices of speech-language pathology or audiology.
(b) Each citation issued under this section shall contain an order of abatement.
(c) The executive officer, in his or her discretion, may assess a fine for the unlicensed activity in accordance with subdivision (b)(3) of section 125.9 of the code.
(d) Each citation shall be in writing and shall describe with particularity the nature and facts of each violation specified in the citation, including a reference to the statute or regulation alleged to have been violated.
(e) The citation shall be served upon the person personally or by certified mail, return receipt requested.
(f) The sanction authorized under this section shall be separate from and in addition to any other civil or criminal remedy.
NOTE

Authority cited: Sections 125.9, 148, and 2531.95, Business and Professions Code. Reference: Section 125.9, 148, and 149, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.197 to section 1399.159.2 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.159.3. Compliance with Citation/Order of Abatement.
Note     •     History

(a) Orders of abatement may be extended for good cause. If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his/her control after the exercise of reasonable diligence, then he/she may request from the executive officer an extension of time within which to complete the correction. Such a request shall be in writing and shall be made within the time set forth for abatement.
(b) If a citation is not contested, or if the citation is appealed and the person cited does not prevail, failure to abate the violation or to pay the assessed fine within the time allowed shall constitute a violation and a failure to comply with the citation or order of abatement.
(c) Failure to timely comply with an order of abatement or pay an assessed fine may result in disciplinary action being taken by the board or other appropriate judicial relief being taken against the person cited.
(d) If a fine is not paid after a citation has become final, the fine shall be added to the cited person's license renewal fee. A license shall not be renewed without payment of the renewal fee and fine.
NOTE

Authority cited: Section 125.9, 148 and 2531.95, Business and Professions Code. Reference: Section 125.9, 148, and 149, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.198 to section 1399.159.3 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.159.4. Contest of Citations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 125.9, 148 and 2531.95, Business and Professions Code. Reference: Sections 125.9, 148 and 149, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 1399.199 to section 1399.159.4 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
2. Repealer filed 3-29-2006; operative 4-28-2006 (Register 2006, No. 13).
Article 11. Continuing Professional Development
§1399.160. Definitions.
Note     •     History

As used in this article:
(a) A continuing professional development “course” means a form of systematic learning at least one hour (60 minutes) in length including, but not limited to, academic studies, extension studies, lectures, conferences, seminars, workshops, and self-study courses.
(b) A “self-study course” means a form of systematic learning performed at a licensee's residence, office, or other private location including, but not limited to, viewing or listening to recorded courses, or participating in “self-assessment testing” (open-book tests that are completed by the licensee, submitted to the provider, graded, and returned to the licensee with correct answers and an explanation of why the answer chosen by the provider was the correct answer). A self-study course does not mean a course taken at an accredited university towards a degree, nor does it include any interactive courses offered via electronic media where the course offering affords participants the opportunity to interact with an instructor and/or other course participants.
(c) A continuing professional development “provider” means an accredited institution of higher learning, a nonprofit education association, a nonprofit professional association, an individual, or other organization that offers continuing professional development courses and meets the requirements contained in this article.
(d) A “renewal period” means the two-year period that spans from a license's expiration date to the licensee's next expiration date.
(e) An “operational plan” means a detailed, written description which contains information that explains how the provider intends to conduct business, advertise its courses, provide educational services, and meet the minimum standards established in this article.
(f) “Professional development” shall have the same meaning and effect as the term “continuing education” when interpreting the provisions in this Article.
NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(b), (c)(1), (e) and (f), Business and Professions Code.
HISTORY

1. Repealer and new section filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Amendment filed 4-20-79; effective thirtieth day thereafter (Register 79, No. 16).
3. Change without regulatory effect amending subsections (a) and (b) and NOTE filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 8).
4. Amendment of subsections (a)-(b) filed 4-18-96; operative 5-18-96 (Register 96, No. 16).
5. Change without regulatory effect amending subsection (b) filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
6. Change without regulatory effect renumbering former section 1399.160 to section 1399.153 and renumbering former section 1399.199.1 to section 1399.160 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
7. Amendment of subsection (b) filed 12-28-2011; operative 12-28-2011 (Register 2011, No. 52).
§1399.160.1. License Renewal Requirements.
Note     •     History

(a) Except as provided in Section 1399.160.2, a licensee whose license expires in the year 2001, shall certify in writing, when applying for license renewal, by signing a statement under penalty of perjury that during the preceding renewal period the licensee has completed twelve (12) hours of continuing professional development courses.
(b) Except as provided in Section 1399.160.2, a licensee who holds both a speech-language pathology license and an audiology license that expire in the year 2001, shall certify in writing, when applying for license renewal, by signing a statement under penalty of perjury that during the preceding renewal period the licensee has completed eight (8) hours of continuing professional development courses for each license for a total of sixteen (16) hours.
(c) Except as provided in Section 1399.160.2, a licensee shall certify in writing, when applying for license renewal, by signing a statement under penalty of perjury that during the preceding renewal period the licensee has completed twenty-four (24) hours of continuing professional development courses.
(d) Except as provided in Section 1399.160.2, a licensee who holds both a speech-language pathology license and an audiology license, shall certify in writing, when applying for license renewal, by signing a statement under penalty of perjury that during the preceding renewal period the licensee has completed sixteen (16) hours of continuing professional development courses for each license for a total of thirty-two hours.
(e) A licensee who falsifies or makes a material misrepresentation of fact when applying for license renewal or who cannot verify the completion of the continuing professional development requirement by producing a record of course completion, upon request by the board, is subject the disciplinary action under Section 2533(e) of the Code.
NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Sections 2532.6(b), (c) (d) and 2533(e), Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 1399.199.2 to section 1399.160.1 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.160.2. Exemptions from Continuing Professional Development.
Note     •     History

(a) An initial licensee shall complete at least twelve (12) hours of continuing professional development, of which no more than four (4) hours may be earned through the following activities prior to his or her first license renewal:
(1) No more than (2) hours of self-study activities,
(2) No more than (2) hours from courses related to the discipline of speech-language pathology or audiology as defined in Section 1399.160.4(c)(4), or in indirect client care courses as defined in Section 1399.160.4(c)(3).
(b) A licensee is exempt from the continuing professional development requirement if his or her license is inactive pursuant to Sections 703 and 704 of the Code.
(c) A licensee may submit a written request for exemption from the continuing professional development requirement for any of the reasons listed below. The board will notify the licensee, within thirty (30) working days after receipt of the request for exemption, whether the exemption was granted. If the request for exemption is denied, the licensee is responsible for completing the full amount of continuing professional development required for license renewal. The board shall grant the exemption if the licensee can provide evidence, satisfactory to the board, that:
(1) For at least one year during the licensee's previous license renewal period the licensee was absent from California due to military service;
(2) For at least one year during the licensee's previous license renewal period the licensee resided in another country; or
(3) During the licensee's previous renewal period, the licensee or an immediate family member, where the licensee has primary responsibility for the care of that family member, was suffering from or suffered a disability. A disability is a physical or mental impairment that substantially limits one or more of the major life activities of an individual. The disability shall be verified by a licensed physician or psychologist with special expertise in the area of disability. Verification of the disability shall include:
(A) the nature and extent of the disability;
(B) an explanation of how the disability hinders the licensee from completing the continuing professional development requirement; and
(C) the name, title, address, telephone number, professional license or certification number, and original signature of the licensed physician or psychologist verifying the disability.
NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(d), Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.199.3 to section 1399.160.2 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
2. Amendment of subsection (a) and new subsections (a)(1)-(2) filed 3-23-2007; operative 4-22-2007 (Register 2007, No. 12).
§1399.160.3. Continuing Professional Development Requirements.
Note     •     History

(a) A licensee, whose license expires in the year 2001, shall accrue at least twelve (12) hours of continuing professional development courses as defined in Section 1399.160.4. A licensee may accrue no more than four (4) hours of continuing professional development courses through self-study courses during this renewal period.
(b) A licensee who holds both a speech-language pathology license and an audiology license that expire in the year 2001, shall accrue at least eight (8) hours of continuing professional development courses as defined in Section 1399.160.4 for each license. A licensee may accrue no more than two (2) hours of continuing professional development courses through self-study courses for each license.
(c) A licensee shall accrue at least twenty-four (24) hours during a single renewal period of continuing professional development courses as defined in Section 1399.160.4. A licensee may accrue no more than eight (8) hours of continuing professional development courses through the following activities during a single renewal period:
(1) No more than six (6) hours of self-study activities,
(2) No more than four (4) hours from courses related to the discipline of speech-language pathology or audiology, as defined in Section 1399.160.4(c)(4) or in indirect client care courses as defined in Section 1399.160.4(c)(3).
(3) Not more than  50% of the continuing professional development hours required of a licensed non-dispensing audiologist, may be in hearing aid courses, but shall not be obtained from courses where the content focuses on equipment, devices, or other products of a particular publisher, company or corporation.
(d) A licensee who holds both a speech-language pathology license and an audiology license, shall accrue at least sixteen (16) hours of continuing professional development courses as defined in Section 1399.160.4 for each license. A licensee may accrue no more than five (5) hours of continuing professional development through the following activities for each license:
(1) No more than two and one-half (2.5) hours of self-study activities,
(2) No more than two and one-half (2.5) hours from courses related to the discipline of speech-language pathology or audiology, as defined in Section 1399.160.4(c)(4) or in indirect client care courses as defined in Section 1399.160.4(c)(3).
(e) A licensed audiologist authorized to dispense hearing aids as provided by Section 2539.1 of the code shall accrue at least twelve (12) hours of continuing professional development as defined in Section 1399.160.4 annually. A licensed audiologist authorized to dispense hearing aids may accrue no more than (3) hours of continuing professional development courses through the following activities during a single renewal period:
(1) No more than one and a half (1.5) hours of self-study activities,
(2) No more than one and a half (1.5) hours from courses related to the discipline of audiology, as defined in Section 1399.160.4(c)(4) or in indirect client care courses as defined in Section 1399.160.4(c)(3).
(3) Exactly 50% of the continuing professional development hours required of a licensed audiologist authorized to dispense hearing aids, shall be obtained from courses related to hearing aid dispensing but shall not be obtained from courses where the content focuses on the equipment, devices, or other products of a particular manufacturer or company. The remaining 50% of the continuing professional development hours required of a dispensing audiologist shall be relevant to the practice of audiology as defined in Section 2530.2(k) and shall not be obtained from hearing aid dispensing courses as provided for in this section.
(f) A licensee who holds both a speech-language pathology license and a dispensing audiology license shall accrue: 
(1) At least sixteen (16) hours of continuing professional development courses in speech-language pathology biennially, of which no more than four (4) hours of the continuing professional development may be accrued through the following activities during a single renewal period: 
(A) No more than two and one-half (2.5) hours of self-study activities, 
(B) No more than two and one-half (2.5) hours from courses related to the discipline of speech-language pathology as defined in Section 1399.160.4(c)(4) or in indirect client care courses as defined in Section 1399.160.4(c)(3). 
(2) At least eight (8) hours of continuing professional development courses in dispensing audiology as defined in Section 1399.160.4 and 1399.160.3(e)(3) annually, of which no more than two (2) hours of continuing professional development courses may be accrued through the following activities during a single renewal period:
(A) No more than one (1) hour of self-study activities,
(B) No more than one (1) hour from courses related to the discipline of speech-language pathology as defined in Section 1399.160.4(c)(4) or in indirect client care courses as defined in Section 1399.160.4(c)(3).
(g) If a licensee teaches a course offered by a provider registered with the board or an entity listed in Section 2532.6 of the Code, the licensee may claim credit for the same course only once, receiving the same amount of hours of continuing professional development credit as a licensee who attended the course.
(h) A licensee may not claim credit for the same course more than once for hours of continuing professional development.
(i) A licensee who takes a course as a condition of probation resulting from disciplinary action by the board may not apply the course as credit towards the continuing professional development.
NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(b), (c) and (e), Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 1399.199.4 to section 1399.160.3 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
2. Amendment of subsection (c), new subsections (c)(1)-(3), amendment of subsection (d), new subsections (d)(1)-(2) and amendment of subsections (e)-(f) filed 3-23-2007; operative 4-22-2007 (Register 2007, No. 12).
3. Amendment of subsection (c)(2) filed 4-27-2010; operative 5-27-2010 (Register 2010, No. 18).
4. New subsections (e)-(e)(3) and subsection relettering filed 3-1-2011 as an emergency; operative 3-1-2011 (Register 2011, No. 9). A Certificate of Compliance must be transmitted to OAL by 8-29-2011 or emergency language will be repealed by operation of law on the following day.
5. New subsections (e)-(e)(3) and subsection relettering refiled 8-24-2011 as an emergency; operative 8-24-2011 (Register 2011, No. 34). A Certificate of Compliance must be transmitted to OAL by 11-23-2011 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 8-24-2011 order, including further amendment of section, transmitted to OAL 11-15-2011 and filed 12-28-2011 (Register 2011, No. 52).
§1399.160.4. Continuing Professional Development Course Content.
Note     •     History

(a) A licensed speech-language pathologist shall determine that the content and learning outcomes of a course are relevant to the practice of speech-language pathology as defined in Section 2530.2(d).
(b) A licensed audiologists shall determine that the content and learning outcomes of a course are relevant to the practice of audiology as defined in Section 2530.2(k).
(c) The content of a course shall pertain to direct, related, or indirect patient/client care.
(1) Examples of direct patient/client care courses for the practice of speech-language pathology include: fluency disorders, voice disorders, motor disorders of speech, dysphagia, speech science, oral and written language disorders, aphasia and neurogenic disorders of language and cognition, augmentative and alternative communication, phonological/articulatory disorders language science, and patient/client counseling to facilitate recovery from, or adjustment to, a communication disorder.
(2) Examples of direct patient/client care courses for the practice of audiology include auditory and vestibular assessment, auditory habilitation/rehabilitation, hearing assistive technology, industrial audiology/hearing conservation and hearing science.
(3) Indirect patient/client care courses cover pragmatic aspects of speech-language pathology or audiology practice (e.g., legal or ethical issues, consultation, record-keeping, office management, managed care issues, research obligations, technological applications related to assessment/diagnosis or intervention).
(4) Courses that are related to the discipline of speech-language pathology or audiology may cover general medical or educational offerings including, but not limited to, social interaction, cultural and linguistic diversity as it applies to service delivery for diverse populations, professional service delivery models, interdisciplinary case management issues, or medical pathologies related to neurological disorders that also result in communication difficulties.
(d) A provider shall ensure that a course has specific objectives that are measurable.
(e) Upon completion of a course, a licensee shall evaluate the course through some type of evaluation mechanism.
(f) Courses considered outside the scope of continuing professional development include, but are not limited to, those in the following areas:
(1) money management, the licensee's personal finances or personal business matters;
(2) general physical fitness or the licensee's personal health;
(3) presentations by political or public figures or other persons that do not deal primarily with the practice of either speech-language pathology or audiology;
(4) tort liability;
(5) courses that address increased office production or computerization, financial planning, employee benefits, marketing or motivational topics to increase productivity or profitability; and
(6) courses in which the primary beneficiary is the licensee, not the consumer.
NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(b), (c) and (e), Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.199.5 to section 1399.160.4 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
2. Amendment filed 3-23-2007; operative 4-22-2007 (Register 2007, No. 12).
3. Amendment of subsection (c)(3) filed 4-27-2010; operative 5-27-2010 (Register 2010, No. 18).
§1399.160.5. Hours of Continuing Professional Development.
Note     •     History

(a) One hour of instruction is equal to one hour of continuing professional development credit.
(b) One academic quarter unit is equal to ten (10) hours of continuing professional development credit.
(c) One academic semester unit is equal to fifteen (15) hours of continuing professional development credit.
(d) One academic trimester unit is equal to thirteen (13) hours of continuing professional development credit.
NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(b) and (c), Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.199.6 to section 1399.160.5 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
2. New subsection (d) filed 3-23-2007; operative 4-22-2007 (Register 2007, No. 12).
§1399.160.6. Continuing Professional Development Course Approval.
Note     •     History

(a) A licensee shall only be credited with continuing professional development hours if he or she takes a course from a board-approved provider with a valid, current approval as a provider or from an entity listed in Section 2532.6(e)(1) of the Code.
(b) Courses related to the dispensing of hearing aids as offered by hearing aid manufacturers or companies for the purposes of continuing professional development shall be reviewed by the Board prior to the offering of the course. The continuing professional development provider must submit such request for course approval to the Board according to the timeline in Section 1399.151.1(e). Such request shall include:
(1) The nature of the sponsoring institution, the Board issued professional development provider number (with the exception of those entities listed in Section 2532.6(e)(1)), the address, telephone number and contact person.
(2) Course title, date(s), location(s), and number of continuing professional development hours offered.
(3) Type and method of educational instruction and learner outcomes to be met.
(4) A course outline, course description, and instructor information and qualifications.
(5) If available, advertisements intended to be used by the provider to advertise the relevant course.
(c) A licensee or a continuing professional development provider may voluntarily petition Board consideration of any courses offered by an approved provider or an entity listed in Section 2532.6(e)(1) of the Code. The licensee or continuing professional development provider must submit such request for course approval to the Board according to the timeline in Section 1399.151.1(e). Such request shall include:
(1) The name of the sponsoring institution, the Board issued professional development provider number (with the exception of those entities listed in Section 2532.6(e)(1)), the address, telephone number and contact person.
(2) Course title, date(s), location(s), and number of continuing professional development hours offered.
(3) Type and method of educational instruction and learner outcomes to be met.
(4) A course outline, course description, and instructor information and qualifications.
(5) If available, advertisements intended to be used by the provider to advertise the relevant course.
NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(b), (e)(1) and (e)(2), Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.199.7 to section 1399.160.6 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
2. Amendment of section heading, section and Note filed 3-23-2007; operative 4-22-2007 (Register 2007, No. 12).
3. New subsections (b)-(b)(6) and subsection relettering filed 3-1-2011 as an emergency; operative 3-1-2011 (Register 2011, No. 9). A Certificate of Compliance must be transmitted to OAL by 8-29-2011 or emergency language will be repealed by operation of law on the following day.
4. New subsections (b)-(b)(6) and subsection relettering refiled 8-24-2011 as an emergency; operative 8-24-2011 (Register 2011, No. 34). A Certificate of Compliance must be transmitted to OAL by 11-23-2011 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-24-2011 order, including further amendment of subsection (b), transmitted to OAL 11-15-2011 and filed 12-28-2011 (Register 2011, No. 52).
§1399.160.7. Board-Approved Providers.
Note     •     History

(a) A continuing professional development provider shall meet the board's course content and instructor qualifications criteria, as provided under this article, to qualify to become a board-approved provider.
(b) An applicant for continuing professional development provider shall submit a completed Continuing Professional Development Provider Application (form no. 77A-50, new 1/99), hereby incorporated by reference, remit the appropriate fees, submit a complete operational plan, and obtain a continuing professional provider number from the board to become a board-approved provider.
(c) A provider approval issued under this section shall expire twenty-four months after the approval issue date. To renew an unexpired provider approval, the provider shall, on or before the expiration date of the approval, pay the biennial renewal fee set forth in Section 1399.157 of these regulations.
(d) A provider approval that is not renewed by the expiration date may not be renewed, restored, reinstated, or reissued thereafter, but the provider may apply for a new approval.
(e) Board-approved provider status is not transferable.
NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(e)(1) and (e)(2), Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 1399.199.8 to section 1399.160.7 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
2. Amendment of Note filed 3-23-2007; operative 4-22-2007 (Register 2007, No. 12).
§1399.160.8. Revocation and Denial of Board-Approved Provider Status.
Note     •     History

(a) The board may revoke its approval of a provider or deny a provider application for good cause. Good cause includes, but is not limited to, the following:
(1) a provider is convicted of a felony or misdemeanor offense substantially related to the activities of a board-approved provider;
(2) a provider, who is a licensee of the board, fails to comply with any provisions of the Speech-Language Pathologists and Audiologists Licensure Act (Business and Professions Code Sections 2530 et seq.) or Title 16, Division 13.4 of the California Code of Regulations (Sections 1399.150 et seq.); or
(3) a provider makes a material misrepresentation of fact in information submitted to the board.
(4) a provider fails to comply with any provisions of the Speech-Language Pathologists and Audiologists Licensure Act (Business and Professions Code Section 2530 et seq.) or Title 16, Division 13.4 of the California Code of Regulations; (Sections 1399.150 et seq.); applicable to continuing professional development providers.
(b) After a thorough case review, should the board decide to revoke or deny its approval of a provider, it shall give the provider written notice setting forth its reasons for revocation or denial. The provider may appeal the revocation or denial in writing, within fifteen (15) days after receipt of the revocation or denial notice, and request a hearing with the board's designee. The revocation is stayed at this point.
Should the board's designee decide to uphold the revocation or denial, the provider may appeal the decision of the board's designee in writing, within seven (7) days after receipt of the decision of the board's designee, and request a hearing with a continuing education appeals committee appointed by the board chairperson. The hearing will take place at the next regularly scheduled board meeting, provided the appeal is received before the meeting is noticed to the public. It is at the discretion of the board's designee whether to stay the revocation further.
The continuing professional development appeals committee shall contain three board members, one public board member and two members representing both license types regulated by the board. The decision of the continuing professional development appeals committee is final.
NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(e), Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.199.9 to section 1399.160.8 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.160.9. Course Advertisement.
Note     •     History

A provider shall ensure that information publicizing a continuing professional development course is accurate and includes the following:
(a) the provider's name;
(b) the provider's approval number from the board;
(c) the statement “Course meets the qualifications for    hours of continuing professional development credit for (Speech-Language Pathologists or Audiologists as the case may be) as required by the California Speech-Language Pathology and Audiology Board”;
(d) the provider's policy on refunds in cases of non-attendance by the registrant or cancellation by the provider;
(e) a clear, concise description of the course content and learning outcomes;
(f) a statement describing the level of the course content; and
(g) a personal disclosure statement if either the instructor or provider has a personal financial interest in the course content.
NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(e), Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.199.10 to section 1399.160.9 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
2. Amendment of subsection (e) filed 3-23-2007; operative 4-22-2007 (Register 2007, No. 12).
§1399.160.10. Course Instructor Qualifications.
Note     •     History

A provider shall ensure that an instructor teaching a course has at least two of the following minimum qualifications:
(a) a license, registration, or certificate in an area related to the subject matter of the course. The license, registration, or certificate shall be current, valid, and free from restrictions due to disciplinary action by this board or any other health care regulatory agency;
(b) a valid, current certification in the subject area issued by the American Speech-Language-Hearing Association or the American Board of Audiology;
(c) training, certification, or experience in teaching courses in the subject matter; or
(d) at least two years' experience in an area related to the subject matter of the course.
NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(e), Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.199.11 to section 1399.160.10 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
2. Amendment of subsection (b) filed 3-23-2007; operative 4-22-2007 (Register 2007, No. 12).
§1399.160.11. Records of Course Completion.
Note     •     History

Upon completion of a course, a provider shall issue a record of course completion to a licensee (e.g., letters of verification of attendance, certificates, gradeslips, transcripts) containing the following information:
(a) name of licensee and licensee's license number;
(b) course title;
(c) provider name and address;
(d) provider approval number;
(e) date of course;
(f) number of hours of continuing professional development credit; and
(g) signature of course instructor, provider, or provider designee.
NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(b), (c) and (e), Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.199.12 to section 1399.160.11 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.160.12. Licensee and Provider Course Records.
Note     •     History

(a) A licensee shall maintain records of course completion for a period of at least two (2) years from the date of license renewal for which the course was completed.
(b) A provider shall maintain records related to continuing professional development courses for a period of at least four (4) years. Records shall include:
(1) syllabi for all courses;
(2) the time and location of all courses;
(3) course advertisements;
(4) course instructor's vitaes or resumes;
(5) attendance rosters with the names and license numbers of licensees who attended the courses;
(6) sign-in sheets; and
(7) records of course completion issued to licensees who attended the courses.
(c) The board may audit the course records of a licensee or a provider to ensure compliance with the board's continuing professional development requirements.
NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(b), (c) and (e), Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.199.13 to section 1399.160.12 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.160.13. Continuing Professional Development for Out-of-State Applicants.
Note     •     History

Applicants for initial licensure who are licensed in another state and apply for licensure in this state are not required to complete any California continuing professional development hours until their first renewal.
NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(d), Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1399.199.14 to section 1399.160.13 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.161. Approved RPE. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.5 and 2532.2, Business and Professions Code.
HISTORY

1. Repealer and new section filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. New subsection (d) filed 2-28-80; effective thirtieth day thereafter (Register 80, No. 9).
3. Amendment filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
4. Amendment of subsection (b) filed 12-8-93; operative 1-7-94 (Register 93, No. 50).
5. Change without regulatory effect renumbering former section 1399.161 to section 1399.153.1 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.162. Application and Fees. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.5, 2532.1, 2532.2, Business and Professions Code.
HISTORY

1. Repealer and new section filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Amendment filed 6-17-77; effective thirtieth day thereafter (Register 77, No. 25).
3. Amendment filed 4-20-79; effective thirtieth day thereafter (Register 79, No. 16).
4. Amendment filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
5. Change without regulatory effect amending subsection (a) filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
6. Change without regulatory effect renumbering former section 1399.162 to section 1399.153.2 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.163. Responsibilities of RPE Supervisors. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Section 2532.2, Business and Professions Code.
HISTORY

1. Repealer and new section filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Amendment of subsection (d) filed 4-20-79; effective thirtieth day thereafter (Register 79, No. 16).
3. New subsection (f) filed 12-6-79 as an emergency; effective upon filing. Certificate of Compliance included (Register 79, No. 49).
4. Amendment of subsection (c) filed 2-28-80 effective thirtieth day thereafter (Register 80, No. 9).
5. Amendment filed 1-29-82; effective thirtieth day thereafter (Register 82, No. 5).
6. Amendment of subsection (e) filed 12-8-93; operative 1-7-94 (Register 93, No. 50).
7. Change without regulatory effect amending subsection (e) filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
8. Change without regulatory effect renumbering former section 1399.163 to section 1399.153.3 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.164. Maximum Number of RPE Applicants. [Renumbered]
History

HISTORY

1. Repealer and new section filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Change without regulatory effect amending section filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
3. Change without regulatory effect renumbering former section 1399.164 to section 1399.153.4 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.165. Multiple R.P.E. Supervisors. [Renumbered]
History

HISTORY

1. Renumbering of Section 1399.165 to Section 1399.175, and new Section 1399.165, filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Change without regulatory effect renumbering former section 1399.165 to section 1399.153.5 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.166. Compensation for R.P.E. Supervisor Prohibited. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.5 and 2532.2, Business and Professions Code.
HISTORY

1. Repealer and new section filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Amendment filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Change without regulatory effect renumbering former section 1399.166 to section 1399.153.6 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.167. Supervision by R.P.E. Applicant Prohibited. [Renumbered]
History

HISTORY

1. Renumbering of Section 1399.167 to Section 1399.176 and new Section 1399.167 filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Change without regulatory effect renumbering former section 1399.167 to section 1399.153.7 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.168. Final Evaluation of Experience. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Section 2532.2, Business and Professions Code.
HISTORY

1. Repealer and new section filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Amendment filed 1-29-82; effective thirtieth day thereafter (Register 82, No. 5).
3. Change without regulatory effect amending subsection (a) filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
4. Change without regulatory effect renumbering former section 1399.168 to section 1399.153.8 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.169. Termination of RPE. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Section 2532.2, Business and Professions Code.
HISTORY

1. Renumbering of Section 1399.169 to Section 1399.180 filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. New section filed 1-29-82; effective thirtieth day thereafter (Register 82, No. 5).
3. Change without regulatory effect amending section filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
4. Change without regulatory effect renumbering former section 1399.169 to section 1399.153.9 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
Article 12. Speech-Language Pathology Assistants
§1399.170. Definitions.
Note     •     History

As used in this article: 
(a) “Accountability” means being legally responsible and answerable for actions and inactions of self or others during the performance of a task by the speech-language pathology assistant. 
(b) “Client” shall have the same meaning and effect as the term “patient” and “student,” when referring to services provided in a school setting, for purposes of interpreting the provisions in this Article. 
(c) “Direct supervision” means on-site observation and guidance by the supervising speech-language pathologist while a clinical activity is performed by the speech-language pathology assistant. Direct supervision performed by the supervising speech-language pathologist may include, but is not limited to, the following: observation of a portion of the screening or treatment procedures performed by the speech-language pathology assistant, coaching the speech-language pathology assistant, and modeling for the assistant. 
(d) “Immediate supervision” means the supervising speech-language pathologist is physically present during services provided to the client by the speech-language pathology assistant. 
(e) “Indirect supervision” means the supervising speech-language pathologist is not at the same facility or in close proximity to the speech-language pathology assistant, but is available to provide supervision by electronic means. Indirect supervision activities performed by the supervising speech-language pathologist may include, but are not limited to, demonstration, record review, review and evaluation of audio or video-taped sessions, interactive television, and supervisory conferences that may be conducted by telephone or electronic mail. 
(f) “Medically fragile” is the term used to describe a client that is acutely ill and in an unstable condition and if treated by a speech-language pathology assistant, immediate supervision by a speech-language pathologist is required. 
(g) “Screening” is a pass-fail procedure to identify, without interpretation, clients who may require further assessment following specified screening protocols developed by the supervising speech-language pathologist. 
(h) “Supervision” for the purposes of this article, means the provision of direction and evaluation of the tasks assigned to a speech-language pathology assistant. Methods for providing supervision include direct supervision, immediate supervision, and indirect supervision. 
(i) “Support personnel” means individuals who, following academic and/or on-the-job training, perform tasks as prescribed, directed and supervised by a speech-language pathologist. There are different levels of support personnel based on training and scope of responsibilities. 
NOTE

Authority cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference: Section 2538.1(b), Business and Professions Code. 
HISTORY

1. New article 12 (sections 1399.170-1399.170.19) and section filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15). For prior history of section 1399.170, see Register 99, No. 50). 
§1399.170.1. Responsibilities, Duties, and Functions of a Speech-Language Pathology Assistant.
Note     •     History

(a) A speech-language pathology assistant shall be limited to the responsibilities, duties, and functions as provided in Section 2538.1 of the Code. 
(b) A speech-language pathology assistant shall disclose while working, his or her name and registration status, as granted by the state, on a name tag in at least 18-point type. 
NOTE

Authority cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference: Sections 2538.1(b)(3) and (4) and 2538.7(b), Business and Professions Code. 
HISTORY

1. New section filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15).
§1399.170.2. Types of Supervision Required for Duties Performed by a Speech-Language Pathology Assistant.
Note     •     History

(a) Duties performed by the speech-language pathology assistant that require immediate supervision may include, but are not limited to, any direct client activity involving medically fragile patients. In such instances, the speech-language pathology assistant shall act only under the direction of the supervisor. 
(b) Duties performed by the speech-language pathology assistant that require direct supervision may include, but are not limited to, any new screening or treatment activity that the assistant has been trained to perform by the supervisor, but has not yet been performed by the speech-language pathology assistant in direct client care. 
(c) Duties performed by the speech-language pathology assistant that require indirect supervision may include, but are not limited to, the following: 
(1) Screening or treatment activities where the supervisor has previously given instructions as to how to perform the task, has observed the assistant in the conduct of these activities, and is satisfied that the activities can be competently performed by the speech-language pathology assistant, i.e., repetitive drill exercises, generalization or carryover activities; 
(2) Clerical tasks such as record keeping, materials preparation, scheduling, equipment maintenance; and, 
(3) Other non-client care activities. 
NOTE

Authority cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference: Section 2538.1(b)(7), Business and Professions Code. 
HISTORY

1. New section filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15). 
§1399.170.3. Activities, Duties, and Functions Outside the Scope of Responsibilities of a Speech-Language Pathology Assistant.
Note     •     History

A speech-language pathology assistant may not conduct evaluations, interpret data, alter treatment plans, or perform any task without the express knowledge and approval of a supervising speech-language pathologist. The speech-language pathology assistant may not perform any of the following functions: 
(a) Participate in parent conferences, case conferences, or inter-disciplinary team conferences without the supervising speech-language pathologist or another speech-language pathologist being present; 
(b) Provide counseling or advice to a client or a client's parent or guardian which is beyond the scope of the client's treatment; 
(c) Sign any documents in lieu of the supervising speech-language pathologist, i.e., treatment plans, client reimbursement forms, or formal reports; 
(d) Discharge clients from services; 
(e) Make referrals for additional services; 
(f) Unless required by law, disclose confidential information either orally or in writing to anyone not designated by the supervising speech-language pathologist; 
(g) Represent himself or herself as a speech-language pathologist; and, 
(h) Perform procedures that require a high level of clinical acumen and technical skill, i.e., vocal tract prosthesis shaping or fitting, vocal tract imaging, and oropharyngeal swallow therapy with bolus material. 
NOTE

Authority cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference: Section 2538.1(b)(3), Business and Professions Code. 
HISTORY

1. New section filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15). 
§1399.170.4. Application for Approval of Speech-Language Pathology Assistant Training Programs.
Note     •     History

(a) To be eligible for approval by the Board as a speech-language pathology assistant training program (hereinafter referred to as “program”), the sponsoring institution shall be accredited by the Accrediting Commission for Community and Junior Colleges, Western Association of Schools and Colleges. 
(b) An educational institution seeking approval of a speech-language pathology assistant program shall: 
(1) Notify the Board in writing, by submitting a request from the officially designated representative of the sponsoring institution and the speech-language pathology assistant program director, of its intent to offer a new program. 
(2) No later than six (6) months prior to the enrollment of students, submit a formal proposal to the Board demonstrating how the program will meet the requirements of Sections 1399.170.5. through 1399.170.10. The Board, at its sole discretion, may retroactively approve programs that enrolled students prior to the effective date of the regulations. 
(c) The Board shall review the request and formal proposal and may thereafter grant or deny approval. The Board may request additional information to evaluate the request for approval and shall notify the program of its decision in writing within sixty (60) days from receipt of all requested documents. 
(d) A material misrepresentation by the program of any information required to be submitted to the Board may be grounds for denial of approval or removal of the program from the approved list. 
NOTE

Authority cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference: Section 2538.1(b)(2), Business and Professions Code. 
HISTORY

1. New section filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15).
§1399.170.5. Approval Requirements for Programs.
Note     •     History

(a) In order for the program to be approved by the Board or to retain its approval, it shall comply with all requirements set forth in this article. 
(b) The letter of approval shall be returned to the Board when the program's approval has been revoked. 
NOTE

Authority cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference: Section 2538.1(b)(2), Business and Professions Code. 
HISTORY

1. New section filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15).
§1399.170.6. Requirements of the Sponsoring Institution.
Note     •     History

(a) Responsibilities of the sponsoring institution and of each field work site shall be clearly established by formal agreement or memorandum of understanding. 
(b) The sponsoring institution shall assume primary responsibility for receiving and processing applications for student admissions, curriculum planning, selection of course content, coordination of classroom teaching and supervised field work, appointment of faculty, and granting the completion certificate or degree, or otherwise documenting satisfactory completion of the program. 
(c) Student records including admission, enrollment, academic performance directed observation, field work clock hours, and demonstration of field work competencies shall be maintained by the sponsoring institution according to its policies. Grades and credits for courses must be recorded on students' transcripts and shall be maintained by the sponsoring institution. Hours for field work experiences and supervision shall be recorded and documented by supervisory staff. 
(d) The program director of the sponsoring institution shall be responsible for ensuring that the scope of responsibilities delegated to students during field work experiences are appropriate to the training received and the clients assigned, and consistent with the American Speech-Language-Hearing Association's Guidelines for the Training, Credentialing, Use, and Supervision of Speech-Language Pathology Assistants (1996, Spring), incorporated herein by reference, and that all approved criteria for speech-language pathology assistant training has been met. 
NOTE

Authority cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference: Section 2538.1(b)(2), Business and Professions Code. 
HISTORY

1. New section filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15).
§1399.170.7. Administration and Organization of the Program.
Note     •     History

(a) There shall be a written statement of program objectives which serves as a basis for curriculum structure. Such statement shall be nondiscriminatory with respect to race, color, creed, gender, age, or disabling conditions. 
(b) The policy and procedures by which the program is administered shall be in writing, shall reflect the objectives of the program, and shall be provided to all applicants. The policy and procedures shall include all of the following: 
(1) Completion requirements that are accurately stated and published; 
(2) Procedures for processing student and faculty grievances; 
(3) Policies and procedures regarding student academic probation, field work suspension, and program dismissal; 
(4) Provisions for the health and safety of clients, students, and faculty associated with training activities. 
(5) Requirements to become registered by the Board as a speech-language pathology assistant. 
(c) The program shall have a written plan for evaluation of the effectiveness and outcomes of the program, including admission and selection procedures, attrition and retention of students, and measurements of student achievements. The results of the evaluation shall be reflected in the curricular changes and other modifications of the program. 
(d) The program shall have sufficient resources, including faculty, library, staff and support services, physical space and equipment to achieve the program's objectives. 
(e) The student/teacher ratio shall: 
(1) Permit the achievement of the stated objectives of the program; 
(2) Be compatible with accepted practices of the sponsoring institution; 
(3) Ensure student and client safety, and quality training in laboratory and field work experiences by adjustment of faulty/student ratios when required; and 
(4) Be consistent with available resources, i.e. faculty, field work sites, materials, and equipment. 
NOTE

Authority cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference: Section 2538.1(b)(2), Business and Professions Code. 
HISTORY

1. New section filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15). 
§1399.170.8. Field Work Experience.
Note     •     History

(a) A program shall not utilize agencies and/or community facilities for field work experience without prior program approval by the Board. Each program must submit evidence that it has complied with the requirements of subdivision (b) and (c) of this section. 
(b) A program that utilizes agencies and/or community facilities for field work experience shall maintain written objectives for students learning in such facilities, and shall assign students only to facilities that can provide the experience necessary to meet those objectives. 
(c) Each such program shall maintain written agreements with such facilities and such agreements shall include the following: 
(1) Assurance of the availability and appropriateness of the learning environment in relation to the program's written objectives; 
(2) Provision for orientation of faculty and students; 
(3) A specification of the responsibilities and authority of the facility's staff as related to the program and to the educational experience of the students; 
(4) Assurance that staff is adequate in number and quality to insure safe and continuous health care services to patients; 
(5) Provisions for continuing communication between the facility and the program; and 
(6) A description of the responsibilities of faculty assigned to the facility utilized by the program. 
NOTE

Authority cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference: Section 2538.1(b)(2), Business and Professions Code. 
HISTORY

1. New section filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15).
§1399.170.9. Compliance with Site Visits.
Note     •     History

(a) The Board may, through its Executive Officer, inspect all programs and their respective field work facilities in this state at such time as the Board shall deem necessary. 
(1) The program and/or institution shall fully cooperate with Board representatives during site visits, including but not limited to, providing access to all records which the Board deems necessary or appropriate to determine whether the program meets the standards of this chapter. 
(2) The program and/or institution shall facilitate the Board's onsite visit including the inspection of records, inspection of all facilities and equipment, observation of class sessions, or interviews with officers, administrators, faculty, or students. 
(b) Written reports of the Executive Officer's visits shall be made to the Board which shall thereupon approve the programs that meet the requirements defined in this Article. 
NOTE

Authority cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference: Section 2538.1(b)(2), Business and Professions Code. 
HISTORY

1. New section filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15). 
§1399.170.10. Required Curriculum.
Note     •     History

(a) A program's curriculum shall not be implemented or revised until it has been approved by the Board. 
(b) The curriculum shall be designed so that a speech-language pathology assistant who completes the program will have the knowledge and skills necessary to function in accordance with the minimum standards set forth in Section 2538.1(b)(3) of the Business and Professions Code. 
(c) The curriculum shall consist of not less than sixty (60) semester units or ninety (90) quarter units, which shall include the following: 
(1) Twenty (20) to thirty (30) semester units or thirty (30) to forty-five (45) quarter units in general education requirements, including but not limited to, basic communication skills, knowledge of mathematics, liberal arts, and biological, behavioral and heath sciences. 
(2) Thirty (30) to forty (40) semester units or forty-five (45) to sixty (60) quarter units in course work that satisfies the competencies defined in the American Speech-Language-Hearing Association's Guidelines for the Training, Credentialing, Use, and Supervision of Speech-Language Pathology Assistants Appendix C -- Speech-Language Pathology Assistant Suggested Competencies (1996, Spring) including the following observation and field work experiences: 
(A) A minimum of fifteen (15) clock hours of directed observation; and 
(B) A minimum of seventy (70) clock hours of field work experience. 
(d) The course of instruction shall be presented in semester or quarter units under the following formula: 
(1) One (1) hour of instruction in theory each week throughout a semester or quarter equals one (1) unit. 
(2) Three (3) hours of field work practice each week throughout a semester or quarter equals one (1) unit. 
NOTE

Authority cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference: Section 2538.1(b)(2), Business and Professions Code. 
HISTORY

1. New section filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15). 
§1399.170.11. Qualifications for Registration as a Speech-Language Pathology Assistant.
Note     •     History

To be eligible for registration by the Board as a speech-language pathology assistant, the applicant must possess at least one of the following qualifications: 
(a) An associate of arts or sciences degree from a speech-language pathology assistant program accredited by the Accrediting Commission for Community and Junior Colleges, Western Association of Schools and Colleges, and approved by the Board; or 
(b) Evidence of completion of a bachelor's degree program in speech-language pathology or communication disorders from an institution listed in the “Accredited Institutions of Postsecondary Education” handbook issued by the American Council on Education, and completion of the field work experience as required in Section 1399.170.10(c)(2)(B) from a Board-approved program, or completion of a minimum of seventy (70) hours of field work experience or clinical experience equivalent to that required in Section 1399.170.10(c)(2)(B) in a bachelor's degree program as recognized in this subsection.
(1) The equivalent field work hours or clinical experience completed in a bachelor's degree program in speech-language pathology or communication disorders shall be evaluated for verification by the current training program director.
(2) In the event that the field work experience or clinical experience completed in the bachelor's degree program is deemed deficient by the authorized representative of a board-approved speech-language pathology assistant training program, the applicant may petition the Board for reconsideration.
(3) In lieu of completion of the seventy (70) hours of field work experience or clinical experience in a bachelor's degree program as defined in subsection (b) above, the Board may consider the completion of nine months of full-time work experience performing the duties of a speech-language pathology assistant enumerated in paragraph (4) of subsection (b) of Section 2538.1 of the Business and Professions Code as equivalent to the required clinical training.
(c) Evidence of completion of an equivalent speech-language pathology assistant associate of arts or science degree program, which includes the competencies listed in the American Speech-Language-Hearing Association's Guidelines for the Training, Credentialing, Use, and Supervision of Speech-Language Pathology Assistants, Appendix C -- Speech-Language Pathology Assistant Suggested Competencies (1996, Spring). 
NOTE

Authority cited: Sections 2531.95 and 2538.1, Business and Professions Code. Reference: Section 2538.1(b)(2) and 2538.3(a), Business and Professions Code. 
HISTORY

1. New section filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15). 
2. Amendment of subsection (b), new subsections (c)-(c)(2) and subsection relettering filed 9-9-2005; operative 10-9-2005 (Register 2005, No. 36).
3. Amendment filed 6-22-2007; operative 7-22-2007 (Register 2007, No. 25).
§1399.170.13. Application and Fees.
Note     •     History

(a) Each person desiring registration as a speech-language pathology assistant shall file application forms (77A-60 New 08/01 and, if applicable, 77A-61 New 12/99) and any required supporting documentation with the Board as provided in Section 1399.151.1. Upon receipt of the speech-language pathology assistant application, the Board will review the application for registration and notify the applicant of its approval or disapproval. 
(b) All applicants shall submit at the time of filing the speech-language pathology assistant application, a non-refundable fee of $50.00, which includes a non-refundable $25.00 application fee and a non-refundable $25.00 registration fee pursuant to Section 2534.2 of the Code. 
NOTE

Authority cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference: Sections 2534.2(e) and (f) and 2538.1(b)(1), Business and Professions Code. 
HISTORY

1. New section filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15). 
2. Amendment of subsection (a) filed 9-7-2001; operative 9-7-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 36).
§1399.170.14. Requirements for Renewal.
Note     •     History

(a) The renewal fee for registration as a speech-language pathology assistant is $75.00 every two years pursuant to Section 2534.2 of the Code. 
(b) When applying for renewal, a speech-language pathology assistant shall certify in writing, by signing a statement under penalty of perjury that, during the preceding two years, the speech-language pathology assistant has completed twelve (12) hours of continuing professional development through state or regional conferences, workshops, formal in-service presentations, independent study programs, or any combination of these concerning communication disorders. 
NOTE

Authority cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference: Sections 2534.2(f), 2538.1(b)(1) and (5), Business and Professions Code. 
HISTORY

1. New section filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15).
§1399.170.15. Requirements for the Supervision of the Speech-Language Pathology Assistant.
Note     •     History

(a) The supervising speech-language pathologist is responsible for designing and implementing a supervisory plan that protects client care and maintains the highest possible standards of quality. The amount and type of supervision required should be consistent with the skills and experience of the speech-language pathology assistant, the needs of the clients, the service setting, the tasks assigned, and the laws and regulations that govern speech-language pathology assistants. Treatment of the client remains the responsibility of the supervisor. 
(b) Any person supervising a speech-language pathology assistant registered with the Board on or after April 10, 2001, (hereinafter called “supervisor”) shall submit, within thirty (30) days of the commencement of such supervision, the “Responsibility Statement for Supervision of a Speech-Language Pathology Assistant” (77S-60, New 12/99), which requires that: 
(1) The supervisor shall possess and maintain a current valid California license as a speech-language pathologist as required in Section 2532 of the Code and Section 1399.160.3 of California Code of Regulations or may hold a valid and current professional clear, clear, or life clinical or rehabilitative services credential in language, speech and hearing issued by the California Commission on Teacher Credentialing. 
(2) The supervisor shall immediately notify the assistant of any disciplinary action, including revocation, suspension (even if stayed), probation terms, inactive license, or lapse in licensure, that affects the supervisor's ability or right to supervise. 
(3) The supervisor shall ensure that the extent, kind and quality of the clinical work performed is consistent with the training and experience of the person being supervised, and shall be accountable for the assigned tasks performed by the speech-language pathology assistant. The supervisor shall review client/patient records, monitor and evaluate assessment and treatment decisions of the speech-language pathology assistant, and monitor and evaluate the ability of the assistant to provide services at the site(s) where he or she will be practicing and to the particular clientele being treated, and ensure compliance with all laws and regulations governing the practice of speech-language pathology. 
(4) The supervisor shall complete not less than six (6) hours of continuing professional development in supervision training in the initial two year period from the commencement of supervision, and three (3) hours in supervision training of continuing professional development every two years thereafter. Continuing professional development training obtained by a Board-approved provider that meets the course content listed below, may be applied towards the continuing professional development requirement for licensees set forth in Section 1399.160.3 of the California Code of Regulations. The content of such training shall include, but is not limited to: 
(A) Familiarity with supervision literature through reading assignments specified by course instructors; and 
(B) Improving knowledge and understanding of the relationship between the speech-language pathologist and the assistant, and the relationship between the speech-language pathologist and the client. 
(C) Structuring to maximize supervision, including times and conditions of supervision sessions, problem solving ability, and implementing supervisor interventions within a range of supervisory modalities including live, videotape, audiotape, and case report methods; 
(D) Knowledge of contextual variables such as culture, gender, ethnicity, and economic issues; and 
(E) The practice of clinical speech-language pathology including the mandated reporting laws and knowledge of ethical and legal issues. 
(5) The supervisor shall maintain records of course completion for a period of two years from the speech-language pathology assistant's renewal date. 
(6) The supervisor knows and understands the laws and regulations pertaining to supervision of speech-language pathology assistants. 
(7) As the professional development advisor, the supervisor shall assist in the development of a plan for the speech-language pathology assistant to complete twelve (12) hours of continuing professional development every two years through state or regional conferences, workshops, formal in-service presentations, independent study programs, or any combination of these concerning communication disorders. 
(8) The supervisor shall communicate to the speech-language pathology assistant the manner in which emergencies will be handled. 
(9) Upon written request of the Board, the supervisor shall provide the Board with any documentation which verifies the supervisor's compliance with the requirements set forth in this article. 
NOTE

Authority cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference: Sections 2530.2(f), 2538.1(b)(5), (6), (7) and (9), Business and Professions Code. 
HISTORY

1. New section filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15). 
§1399.170.16. Maximum Number of Support Personnel.
Note     •     History

A supervisor shall not supervise more than three (3) support personnel, not more than two of which hold the title of speech-language pathology assistant. Support personnel includes speech-language pathology assistants and speech-language pathology aides. 
NOTE

Authority cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference: Section 2538.1(b)(8), Business and Professions Code. 
HISTORY

1. New section filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15).
§1399.170.17. Multiple Supervision.
Note     •     History

If a speech-language pathology assistant has more than one supervisor, each supervisor shall submit a Supervisor Responsibility Statement. Of the multiple supervisors, one shall be designated as the lead supervisor for purposes of assisting the speech-language pathology assistant in his or her compliance with the continuing professional development requirement. 
NOTE

Authority cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference: Sections 2530.2(f) and 2538.1(b)(5)-(9), Business and Professions Code. 
HISTORY

1. New section filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15).
§1399.170.18. Notice of Termination.
Note     •     History

At the time of termination of supervision, the supervisor shall complete the “Termination of Supervision” form (77S-61 New 12/99) . This original signed form shall be submitted to the Board by the supervisor within fourteen (14) days of termination of supervision. 
NOTE

Authority cited: Sections 2531.95 and 2538.1(a), Business and Professions Code. Reference: Sections 2530.2(f) and 2538.1(b)(5-9), Business and Professions Code. 
HISTORY

1. New section filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15). 
§1399.170.19. Discipline of a Speech-Language Pathology Assistant Registration.
Note     •     History

(a) Every registrant, including a registrant whose registration has expired or been placed in an inactive status, may be disciplined as provided in this article. The proceedings under this article shall be conducted in accordance with Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code, and the Board shall have all the powers granted herein. 
(b) The Board may deny an application for a speech-language pathology assistant or take disciplinary action against a speech-language pathology assistant for any of the following: 
(1) Unprofessional conduct, which includes, but is not limited to, the following: 
(A) Incompetence or gross negligence in performing speech-language pathology assistant functions, 
(B) Denial of licensure, voluntary surrender, revocation, suspension, restriction, or any other disciplinary action against a health care professional license, certificate, or registration by another state or territory of the United States, by any other government agency, or by another California health care professional licensing board. A certified copy of the decision or judgment shall be conclusive evidence of that action. 
(2) Procuring a license, certificate or registration by fraud, misrepresentation, or mistake. 
(3) Making or giving any false statement or information in connection with the application as a speech-language pathology assistant. 
(4) Conviction of a misdemeanor or felony substantially related to the qualifications, functions, and duties of a speech-language pathology assistant, in which event a copy of the record of conviction shall be conclusive evidence thereof. 
(5) Impersonating another speech-language pathology assistant or licensed health care professional, or permitting or allowing another person to use his or her registration for the purpose of practicing or holding himself or herself out as a speech-language pathology assistant. 
(6) Administering to himself or herself any controlled substance or using of dangerous drug specified in Section 4022 of the Code, or any alcoholic beverage to the extent, or in a manner, as to be dangerous or injurious to the person applying for or holding a registration to conduct with safety to the public the practice authorized by the registration or the conviction of a misdemeanor or felony involving the use, consumption, or self-administration of any of the substances referred to in this subdivision, or any combination thereof. 
(7) Violating or conspiring to violate or aiding or abetting any person to violate the provisions of this article or any regulation adopted by the Board. 
(8) Misrepresentation as to the type or status of a registration held by the person, or otherwise misrepresenting or permitting misrepresentation of his or her education, professional qualifications, or professional affiliation to any person or entity. 
(9) Intentionally or recklessly causing physical or emotional harm to any client. 
(10) The commission of any dishonest, corrupt, or fraudulent act substantially related to the qualifications, functions, or duties of a speech-language pathology assistant. 
(11) Engaging in sexual relations with a client, or if the client is a minor, the client's parent. 
(12) Failure to maintain confidentiality, except as otherwise required or permitted by law, of all information that has been received from a client in confidence during the course of treatment and all information about the client which is obtained from tests or other means. 
(13) Advertising in a manner that is false, misleading, or deceptive. 
(c) The Board may refuse to issue any registration whenever it appears that an applicant may be unable to practice his or her profession safely due to mental illness or chemical dependency. The procedures set forth in Article 12.5 (commencing with Section 820) of Chapter 1 of the Code shall apply to any denial of a registration pursuant to this section. 
(d) The Board may place a registration on probation under the following circumstances: 
(1) In lieu of, or in addition to, any order of the Board suspending or revoking the license or registration of any registrant. 
(2) Upon the issuance of a registration to an individual who has been guilty of unprofessional conduct, but who had otherwise completed all education and training and experience required for registration. 
(3) As a condition upon the reissuance or reinstatement of any registration that has been suspended or revoked by the Board. 
(e) The cost of probation or monitoring may be ordered to be paid by the registrant or applicant. 
(f) The Board, in its discretion, may require any registrant who has been placed on probation, or whose registration has been suspended, to obtain additional professional training including, but not limited to, education, clinical work, or field work. 
NOTE

Authority cited: Sections 481, 2531.95 and 2538.1(a), Business and Professions Code. Reference: Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code; and Sections 820, 822, 2538.7 and 4022, Business and Professions Code. 
HISTORY

1. New section filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15).
§1399.170.20.1. Notice of Cancellation Upon Issuance of a Speech-Language Pathology License.
Note     •     History

(a) A speech-language pathology assistant registration shall be automatically cancelled upon the issuance of a speech-language pathology license to the same individual.
(b) At the time the Board issues the speech-language pathology license, it shall also issue a notice to the individual that his or her registration as a speech-language pathology assistant has been cancelled.
(c) A notice of cancellation sent by certified mail to the address of record of the speech-language pathology assistant is presumed to be received as a matter of law.
NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2538.1 and 2538.7, Business and Professions Code.
HISTORY

1. New section filed 11-16-2006; operative 12-16-2006 (Register 2006, No. 46).
§1399.171. Registration of Aides.
Note     •     History

NOTE

Authority cited: Section 2531.25, Business and Professions Code. Reference: Sections 2530.2, 2530.6 and 2532.4, Business and Professions Code.
HISTORY

1. Repealer and new section filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Amendment filed 4-20-79; effective thirtieth day thereafter (Register 79, No. 16).
3. Amendment filed 6-20-89; operative 7-20-89 (Register 89, No. 25).
4. Change without regulatory effect amending section filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 8).
5. Change without regulatory effect amending section filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
6. Change without regulatory effect renumbering former section 1399.171 to section 1399.154.1 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.172. Responsibilities of Aide's Supervisor.
Note     •     History

NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.2 and 2530.6, Business and Professions Code.
HISTORY

1. New section filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Amendment filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Amendment filed 6-20-89; operative 7-20-89 (Register 89, No. 25).
4. Change without regulatory effect amending section filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 8).
5. Change without regulatory effect amending subsections (c) and (e) filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
6. Change without regulatory effect renumbering former section 1399.172 to section 1399.154.2 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.173. Maximum Number of Aides.
History

HISTORY

1. New section filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Change without regulatory effect amending section filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 8).
3. Change without regulatory effect amending section filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
4. Change without regulatory effect renumbering former section 1399.173 to section 1399.154.3 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.174. Training of Aides.
Note     •     History

NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.2 and 2530.6, Business and Professions Code.
HISTORY

1. New section filed 6-20-89; operative 7-20-89 (Register 89, No. 25).
2. Change without regulatory effect amending section filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 8).
3. Change without regulatory effect renumbering former section 1399.174 to section 1399.154.4 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.175. Notice of Termination.
Note     •     History

NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2530.2 and 2530.6, Business and Professions Code.
HISTORY

1. Renumbering from section 1399.165 to section 1399.175 filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Amendment filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Amendment filed 6-20-89; operative 7-20-89 (Register 89, No. 25).
4. Change without regulatory effect amending section filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 8).
5. Change without regulatory effect amending section filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
6. Change without regulatory effect renumbering former section 1399.175 to section 1399.154.5 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.176. Noncompliance with Article.
Note     •     History

NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Section 2530.6, Business and Professions Code.
HISTORY

1. Renumbering from Section 1399.167 to Section 1399.176 filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Amendment filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Change without regulatory effect renumbering former section 1399.176 to section 1399.154.6 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.177. Aide Experience Not Applicable to Qualifications for Licensure.
History

HISTORY

1. New section filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Change without regulatory effect amending section filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 8).
3. Change without regulatory effect renumbering former section 1399.177 to section 1399.154.7 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.178. Disciplinary Guidelines.
Note     •     History

NOTE

Authority cited: Sections 2531.95, Business and Professions Code; and Sections 11400.20 and 11400.21, Government Code. Reference: Sections 2533 and 2533.1, Business and Professions Code; and Sections 11400.20 and 11425.50(e), Government Code.
HISTORY

1. New section filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Repealer filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Change without regulatory effect amending section heading filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 8).
4. Amendment of article and section headings, new section and amendment of Note filed 1-14-98; operative 2-13-98 (Register 98, No. 3).
5. Editorial correction of section heading (Register 98, No. 9).
6. Change without regulatory effect amending section filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
7. Change without regulatory effect renumbering former section 1399.178 to section 1399.155 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.179. Audiologists--Screening Tests.
Note     •     History

NOTE

Authority cited: Section 2531.95, Business and Professions Code.
HISTORY

1. New section filed 8-19-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Repealer filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Change without regulatory effect renumbering former section 1399.179 to section 1399.155.1 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
Article 13. Information Disclosure
§1399.180. Statement of Policy.
Note     •     History

(a) It is the policy of the Speech-Language Pathology and Audiology Board to permit the maximum public access to information in its possession consistent with the requirements of the California Public Records Act (Govt. Code § 6250 et seq.), the Information Practices Act (Civ. Code § 1798 et seq.), and the individual's right of privacy guaranteed by the California Constitution (Art. I, § 1). 
(b) In addition, because protection of the public is the highest priority for the Speech-Language Pathology and Audiology Board, and because its licensees provide vital services that have a direct impact on the health and well-being of the general public, the Board has determined as a matter of general policy that information pertaining to consumer complaints has a direct and immediate relationship to the health and safety of the public. 
(c) The information regarding speech-language pathologists and audiologists which the Board will disclose under the public information system set forth in this Article does not constitute an exclusive list of information regarding licensees which may be available to the public. In the event of a request for other or additional records, the Board will consider that request in accordance with the California Public Records Act, the Information Practices Act, and any other applicable law. 
(d) In disclosing information under this Article, the Board will omit personal information in the event disclosure would violate the Information Practices Act or any other applicable law. 
NOTE

Authority cited: Sections 129 and 2531.95, Business and Professions Code; and Section 6253, Government Code. Reference: Section 2531.02, Business and Professions Code; and Sections 6250, 6252 and 6253, Government Code. 
HISTORY

1. New article 13 (sections 1399.180-1399.187) and section filed 8-1-2006; operative 8-31-2006 (Register 2006, No. 31). For prior history, see Register 99, No. 50.
§1399.181. Status of Licensees.
Note     •     History

The Board shall use the categorical description “good standing” when referring to licensed speech-language pathologists or audiologists either in response to public inquiries or in posting information on its website. 
(a) A licensed speech-language pathologist or audiologist is not considered to be in “good standing” if he or she: 
(1) Is subject to an order issued by the Board or any other civil, criminal or administrative court or agency that limits or in any way restricts his or her practice. 
(2) Has entered into a settlement with either the Board, any other administrative agency, the Attorney General, or any civil or criminal prosecutor which in any way limits or restricts his or her practice. 
(3) Has been disciplined or suspended following conviction of a crime substantially related to the qualifications, functions, and duties of a speech-language pathologist or audiologist as described in Sections 2533 and 2533.1 of the Business and Professions Code and Section 1399.156.1 of these regulations. 
(b) Any licensed speech-language pathologist or audiologist who does not have a “good standing” designation may petition the Board to have this designation changed. The petition shall be heard before an administrative law judge designated in Section 11371 of the Government Code and pursuant to the provisions of the Administrative Procedure Act (Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code). 
NOTE

Authority cited: Sections 129 and 2531.95, Business and Professions Code; and Section 6253, Government Code. Reference: Sections 2533 and 2533.1, Business and Professions Code; and Sections 6250, 6252, 6253 and 11504, Government Code. 
HISTORY

1. New section filed 8-1-2006; operative 8-31-2006 (Register 2006, No. 31).
§1399.182. Requirements for Information Disclosure.
Note     •     History

The Speech-Language Pathology and Audiology Board will disclose the following information, if known, upon any request regarding any speech-language pathologist or audiologist licensed in California: 
(a) Current status of a license, issuance and expiration date of a license, and the identity and date of all undergraduate and graduate degrees awarded. 
(b) Any public action or administrative decision against any speech-language pathologist or audiologist, and any disposition thereof, taken by the Board, another state or the Federal Government including, but not limited to: 
(1) the filing of an accusation; 
(2) licensure revocations; 
(3) denial of an application for licensure; 
(4) temporary restraining orders; 
(5) interim suspension orders; 
(6) citations, infractions, or fines imposed; 
(7) limitations on practice ordered by the Board including those made part of a probationary order or stipulated agreement; and 
(8) public letters of reprimand. 
The following disclaimer shall be included with these disclosures: 
“Any adverse judgment or administrative order is subject to appeal or challenge by the speech-language pathologist or audiologist. For example, if an order revoking the license of a speech-language pathologist or audiologist is adopted by the Board, he or she can challenge that order by filing a petition for a writ of mandamus in superior court. If this court determines the order was issued contrary to law, it can vacate the Board's action and order that the speech-language pathologist or audiologist be reinstated.”
(c) Accusations which have been filed and later withdrawn shall be retained in the Board's files for a period of one year after the accusation is withdrawn. 
(d) Civil judgments in any amount of a claim or action for damages for death or personal injury caused by the negligence, error, or omission in practice by a speech-language pathologist or audiologist, or by his or her rendering unauthorized professional services, whether or not vacated by a settlement after entry of the judgment, that have not been reversed on appeal, including the date and amount of judgment, the court and case number, a brief summary of the circumstances as provided by the court, plus any information the Board possesses pertaining to the disposition of the case following entry of judgment. The Board shall also include the following disclaimer with such disclosures: 
“Any civil judgment is subject to appeal by the losing party. For example, if a judgment is entered against a speech-language pathologist or audiologist, he or she can appeal to a higher court. If this court determines the judgment was entered in error, it can either vacate it or reduce the amount of any money damages awarded against the speech-language pathologist or audiologist.”
(e) Arbitration awards in any amount of a claim or action for damages for death or personal injury caused by the negligence, error, or omission in practice of the speech-language pathologist or audiologist or by his or her rendering unauthorized professional services. 
(f) California felony convictions reported to the Board on or after January 1, 1991, including the nature of the conviction, the date of conviction, the sentence, if known, the court of jurisdiction, and an appropriate disclaimer including, but not limited to, the accuracy of the information provided. 
(g) Summaries of any disciplinary actions taken at a hospital or any other type of health care facility that result in the termination or revocation of staff privileges of a speech-language pathologist or audiologist for medical disciplinary cause or reason. 
(h) Matters that have been referred to the Attorney General for the filing of an accusation or statement of issues; provided that: 
(1) The matter has not been rejected by the Attorney General; and 
(2) The following disclaimer accompanies the disclosure: 
“Referral of a matter to the Attorney General for the filing of an accusation or statement of issues only occurs after an investigation has been conducted by the Board and a determination has been made that the actions of the speech-language pathologist or audiologist are of a nature that should warrant disciplinary action. In some instances, however, the Attorney General may determine that disciplinary action is not warranted. Such cases will normally not result in the filing of a formal accusation. When an accusation is filed, the speech-language pathologist or audiologist will be given notice and the right to request a hearing before an independent administrative law judge. At such a hearing, the Board has the burden of proving the allegations contained in the accusation. Unless a legal determination is made that the Board has sustained this burden, no disciplinary action may be taken against the speech-language pathologist or audiologist.” 
NOTE

Authority cited: Sections 129 and 2531.95, Business and Professions Code; and Section 6253, Government Code. Reference: Section 129, Business and Professions Code; and Sections 6250, 6252 and 6253, Government Code. 
HISTORY

1. New section filed 8-1-2006; operative 8-31-2006 (Register 2006, No. 31). For prior history, see Register 99, No. 50.
§1399.183. Disclosure of Complaint History.
Note     •     History

The Board shall maintain records showing the complaints received against speech-language pathologists or audiologists and, with respect to such complaints, shall make available to inquiring members of the public the following information: 
(a) The nature of all complaints on file which have been investigated by the Board and referred for legal action to the Attorney General, including: 
(1) The date of the complaint; 
(2) A brief summary of the nature of the complaint; and 
(3) Its disposition. 
(b) Under no circumstances shall the name, identity, or information that might lead to the discovery of the identity of the complainant, patient, or client be disclosed. 
(c) Information concerning the complaint shall be accompanied by the disclaimer set out in Section 1399.182(h)(2). If no action is taken by the Attorney General, records of the complaint shall be deleted from the Board's complaint disclosure system no later than one year after receipt of the decision by the Attorney General to take no action. 
(d) If a complaint results in legal action and is subsequently determined by the Board, the Attorney General, or a court of competent jurisdiction not to have merit, it shall be deleted from the complaint disclosure system. 
(e) If a complaint results in a criminal prosecution, the Board will disclose the current status of the prosecution and any sentence imposed. If the prosecution results in an acquittal or is dismissed, the information described in this subdivision, including the existence of the complaint, shall be deleted from the complaint disclosure system. 
(f) Information about a complaint shall not be disclosed in the complaint history report if: 
(1) The disclosure might compromise an investigation or prosecution; or 
(2) The disclosure might endanger or injure the complainant or a third party. 
NOTE

Authority cited: Sections 129 and 2531.95, Business and Professions Code; and Section 6253, Government Code. Reference: Section 129, Business and Professions Code; Section 1798.24, Civil Code; and Sections 6250, 6252, 6253 and 6254, Government Code. 
HISTORY

1. New section filed 8-1-2006; operative 8-31-2006 (Register 2006, No. 31). For prior history, see Register 99, No. 50.
§1399.184. Disclosure of Complaint Information to Licensee Who Is the Subject of the Complaint.
Note     •     History

With respect to a licensed individual inquiring about his or her own complaint history, the Board will provide a summary of all complaints in its possession but not disclose the source or identity of the complainant. 
NOTE

Authority cited: Sections 129 and 2531.95, Business and Professions Code; and Section 6253, Government Code. Reference: Section 129, Business and Professions Code; Sections 1798.24, 1798.32 and 1798.38, Civil Code; and Sections 6250, 6252 and 6253, Government Code. 
HISTORY

1. New section filed 8-1-2006; operative 8-31-2006 (Register 2006, No. 31). For prior history, see Register 99, No. 50.
§1399.185. Disclosure of Citations.
Note     •     History

Every citation that is issued by the Board shall be disclosed to an inquiring member of the public. Citations that have been resolved, by payment of the administrative fine or compliance with the order of abatement, shall be purged from the Board's records five (5) years from the date of resolution. A citation that has been withdrawn or dismissed shall be purged from the Board's records immediately upon being withdrawn or dismissed. 
NOTE

Authority cited: Sections 129 and 2531.95, Business and Professions Code; and Section 6253 Government Code. Reference: Sections 6250, 6252 and 6253, Government Code. 
HISTORY

1. New section filed 8-1-2006; operative 8-31-2006 (Register 2006, No. 31). For prior history, see Register 99, No. 50.
§1399.186. Disclosure of Civil Settlements.
Note     •     History

Upon request, the Board will disclose the following information which is in its possession concerning settlements of civil actions in an amount of $30,000 or more seeking recovery of damages for death or personal injury caused by the professional negligence, errors, or omissions of a speech-language pathologist or audiologist or his or her unauthorized practice: 
(a) The date and amount of the settlement; 
(b) The case number, court and parties to the civil action; and 
(c) The following disclaimer: 
“Settlement of a claim may occur for a variety of reasons that do not necessarily reflect negatively on the professional competence or conduct of the speech-language pathologist or audiologist. A payment in settlement of a professional malpractice action or claim should not be construed as creating a presumption that professional malpractice in fact occurred.” 
NOTE

Authority cited: Sections 129 and 2531.95, Business and Professions Code; and Section 6253 Government Code. Reference: Sections 6250, 6252 and 6253, Government Code 
HISTORY

1. New section filed 8-1-2006; operative 8-31-2006 (Register 2006, No. 31). For prior history, see Register 99, No. 50.
§1399.187. Disclosure of Information Concerning Licensed Speech-Language Pathologists or Audiologists on the Board's Website.
Note     •     History

For each licensed speech-language pathologist or audiologist, the Board will maintain on its website all of the information described in subdivision (a) of Section 1399.182 of these regulations as well as information on whether the speech-language pathologist or audiologist is in “good standing” as that term is used in Section 1399.181. If the speech-language pathologist or audiologist is not in good standing, the website shall indicate what restrictions, legal actions, orders, or discipline are currently pending. 
NOTE

Authority cited: Sections 129 and 2531.95, Business and Professions Code; and Section 6253, Government Code. Reference: Section 129, Business and Professions Code; and Sections 6250, 6252 and 6253, Government Code.
HISTORY

1. New section filed 8-1-2006; operative 8-31-2006 (Register 2006, No. 31). For prior history, see Register 99, No. 50.
§1399.189. Filing of Change of Address.
Note     •     History

NOTE

Authority cited: Section 2531.95, Business and Professions Code. Reference: Sections 2532.1, 2535.1 and 2536.3, Business and Professions Code.
HISTORY

1. New section filed 4-20-79; effective thirtieth day thereafter (Register 79, No. 16).
2. Amendment filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Amendment filed 4-18-96; operative 5-18-96 (Register 96, No. 16).
4. Change without regulatory effect amending section filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
5. Change without regulatory effect renumbering former section 1399.189 to section 1399.157.2 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.190. Citation.
Note     •     History

NOTE

Authority cited: Sections 2531.95 and 3125, Business and Professions Code. Reference: Section 2539, Business and Professions Code.
HISTORY

1. New article 9 (sections 1399.190-1399.198) filed 6-17-77; effective thirtieth day thereafter (Register 77, No. 25).
2. Amendment filed 4-20-79; effective thirtieth day thereafter (Register 79, No. 16).
3. Amendment filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
4. Change without regulatory effect amending section heading and text filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 8).
5. Change without regulatory effect renumbering former section 1399.190 to section 1399.158 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.191. Requirements for Professional Corporations.
Note     •     History

NOTE

Authority cited: Sections 2531.95 and 2539, Business and Professions Code. Reference: Sections 2536 and 2536.1, Business and Professions Code; and Sections 13401, 13401.5, 13403, 13405 and 13406, Corporations Code.
HISTORY

1. Repealer filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
2. Change without regulatory effect renumbering former section 1399.194 to section 1399.191 filed 3-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13). For prior history see Register 92, No. 8.
3. Change without regulatory effect renumbering former section 1399.191 to section 1399.158.1 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.192. Shares: Ownership and Transfer.
Note     •     History

NOTE

Authority cited: Sections 2531.95 and 2599, Business and Professions Code. Reference: Section 2539, Business and Professions Code; and Sections 13401, 13403, 13406 and 13407, Corporations Code.
HISTORY

1. Amendment filed 4-20-79; effective thirtieth day thereafter (Register 79. No. 16).
2. Repealer filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Change without regulatory effect renumbering former section 1399.195 to section 1399.192 filed 3-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13). For prior history see Register 92, No. 8.
4. Change without regulatory effect renumbering former section 1399.192 to section 1399.158.2 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.193. Corporate Activities.
Note     •     History

NOTE

Authority cited: Sections 2531.95 and 2539, Business and Professions Code.
HISTORY

1. Amendment filed 4-20-79; effective thirtieth day thereafter (Register 79, No. 16).
2. Repealer filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Change without regulatory effect renumbering former section 1399.197 to section 1399.193 filed 3-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13). For prior history see Register 92, No. 8.
4. Change without regulatory effect renumbering former section 1399.193 to section 1399.158.3 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.194. Requirements for Professional Corporations.
Note     •     History

NOTE

Authority cited: Sections 2531.95 and 2539, Business and Professions Code. Reference: Sections 2536 and 2536.1, Business and Professions Code; and Sections 13401, 13401.5, 13403, 13405 and 13406, Corporations Code.
HISTORY

1. Repealer and new subsection (e) filed 4-20-79; effective thirtieth day thereafter (Register 79, No. 16).
2. Amendment filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
3. Change without regulatory effect amending subsections (b) and (c) filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 8).
4. Change without regulatory effect renumbering former section 1399.194 to section 1399.191 filed 3-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
5. Change without regulatory effect renumbering former section 1399.194 to section 1399.158.4 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.195. Citations--Content and Service.
Note     •     History

NOTE

Authority cited: Sections 125.9, 148, and 2531.95, Business and Professions Code. Reference: Section 125.9, 148, and 149, Business and Professions Code.
HISTORY

1. Amendment filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
2. Change without regulatory effect amending section filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 8).
3. Change without regulatory effect renumbering former section 1399.195 to section 1399.192 filed 3-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Repositioning of article 10 heading from preceding section 1399.198 to preceding section 1399.195, new section heading, section and Note filed 4-18-96; operative 5-18-96 (Register 96, No. 16).
5. Change without regulatory effect amending first paragraph filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
6. Change without regulatory effect renumbering former section 1399.195 to section 1399.159 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.196. Violations and Fines.
Note     •     History

NOTE

Authority cited: Section 129.5, 148, and 2531.95, Business and Professions Code. Reference: Section 125.9, 148, and 149 Business and Professions Code.
HISTORY

1. Amendment filed 4-20-79; effective thirtieth day thereafter (Register 79, No. 16).
2. Repealer filed 8-9-83; effective thirtieth day thereafter (Register 83, No. 33).
3. New section heading, section and Note filed 4-18-96; operative 5-18-96 (Register 96, No. 16).
4. Amendment filed 1-15-99; operative 2-14-99 (Register 99, No. 3).
5. Change without regulatory effect renumbering former section 1399.196 to section 1399.159.1 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.197. Citations for Unlicensed Practice.
Note     •     History

NOTE

Authority cited: Sections 125.9, 148, and 2531.95, Business and Professions Code. Reference: Section 125.9, 148, and 149, Business and Professions Code.
HISTORY

1. Change without regulatory effect amending section filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 8).
2. Change without regulatory effect renumbering former section 1399.197 to section 1399.193 filed 3-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
3. New section heading, section and Note filed 4-18-96; operative 5-18-96 (Register 96, No. 16).
4. Change without regulatory effect amending subsection (a) filed 4-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
5. Amendment of subsection (a) filed 1-15-99; operative 2-14-99 (Register 99, No. 3).
6. Change without regulatory effect renumbering former section 1399.197 to section 1399.159.2 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.198. Compliance with Citation/Order of Abatement.
Note     •     History

NOTE

Authority cited: Section 125.9, 148 and 2531.95, Business and Professions Code. Reference: Section 125.9, 148, and 149, Business and Professions Code.
HISTORY

1. New section filed 12-21-90; operative 1-20-91 (Register 91, No. 6).
2. Repositioning of article 10 heading from preceding section 1399.198 to preceding section 1399.195, repealer of section and new section heading, section and Note filed 4-18-96; operative 5-18-96 (Register 96, No. 16).
3. Change without regulatory effect renumbering former section 1399.198 to section 1399.159.3 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.199. Contest of Citations.
History

HISTORY

1. New section filed 12-21-90; operative 1-20-91 (Register 91, No. 6).
2. Amendment of section and Note filed 4-18-96; operative 5-18-96 (Register 96, No. 16).
3. Change without regulatory effect renumbering former section 1399.199 to section 1399.159.4 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.199.1. Definitions.
Note     •     History

NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(b), (c)(1), (e) and (f), Business and Professions Code.
HISTORY

1. New article 11 (sections 1399.199.1-1399.199.14) and section filed 4-7-99 as an emergency; operative 4-7-99 (Register 99, No. 7). A Certificate of Compliance must be transmitted to OAL by 8-5-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-7-99 order, including amendment of subsection (b), transmitted to OAL 8-4-99 and filed 9-2-99 (Register 99, No. 36).
3. Change without regulatory effect renumbering former section 1399.199.1 to section 1399.160 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.199.2. License Renewal Requirements.
Note     •     History

NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Sections 2532.6(b), (c) (d) and 2533(e), Business and Professions Code.
HISTORY

1. New section filed 4-7-99 as an emergency; operative 4-7-99 (Register 99, No. 7). A Certificate of Compliance must be transmitted to OAL by 8-5-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-7-99 order, including new subsections (a), (b) and (d), subsection relettering, and amendment of newly designated subsection (c), transmitted to OAL 8-4-99 and filed 9-2-99 (Register 99, No. 36).
3. Change without regulatory effect renumbering former section 1399.199.2 to section 1399.160.1 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.199.3. Exemptions from Continuing Professional Development.
Note     •     History

NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(d), Business and Professions Code.
HISTORY

1. New section filed 4-7-99 as an emergency; operative 4-7-99 (Register 99, No. 7). A Certificate of Compliance must be transmitted to OAL by 8-5-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-7-99 order transmitted to OAL 8-4-99 and filed 9-2-99 (Register 99, No. 36).
3. Change without regulatory effect renumbering former section 1399.199.3 to section 1399.160.2 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.199.4. Continuing Professional Development Requirements.
Note     •     History

NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(b), (c) and (e), Business and Professions Code.
HISTORY

1. New section filed 4-7-99 as an emergency; operative 4-7-99 (Register 99, No. 7). A Certificate of Compliance must be transmitted to OAL by 8-5-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-7-99 order, including new subsections (a), (b) and (d), subsection relettering, and amendment of newly designated subsection (c), transmitted to OAL 8-4-99 and filed 9-2-99 (Register 99, No. 36).
3. Change without regulatory effect renumbering former section 1399.199.4 to section 1399.160.3 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.199.5. Continuing Professional Development Course Content.
Note     •     History

NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(b), (c) and (e), Business and Professions Code.
HISTORY

1. New section filed 4-7-99 as an emergency; operative 4-7-99 (Register 99, No. 7). A Certificate of Compliance must be transmitted to OAL by 8-5-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-7-99 order transmitted to OAL 8-4-99 and filed 9-2-99 (Register 99, No. 36).
3. Change without regulatory effect renumbering former section 1399.199.5 to section 1399.160.4 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.199.6. Hours of Continuing Professional Development.
Note     •     History

NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(b) and (c), Business and Professions Code.
HISTORY

1. New section filed 4-7-99 as an emergency; operative 4-7-99 (Register 99, No. 7). A Certificate of Compliance must be transmitted to OAL by 8-5-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-7-99 order transmitted to OAL 8-4-99 and filed 9-2-99 (Register 99, No. 36).
3. Change without regulatory effect renumbering former section 1399.199.6 to section 1399.160.5 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.199.7. Continuing Professional Development Providers.
Note     •     History

NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(b) and (e), Business and Professions Code.
HISTORY

1. New section filed 4-7-99 as an emergency; operative 4-7-99 (Register 99, No. 7). A Certificate of Compliance must be transmitted to OAL by 8-5-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-7-99 order transmitted to OAL 8-4-99 and filed 9-2-99 (Register 99, No. 36).
3. Change without regulatory effect renumbering former section 1399.199.7 to section 1399.160.6 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.199.8. Board-Approved Providers.
Note     •     History

NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(e), Business and Professions Code.
HISTORY

1. New section filed 4-7-99 as an emergency; operative 4-7-99 (Register 99, No. 7). A Certificate of Compliance must be transmitted to OAL by 8-5-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-7-99 order transmitted to OAL 8-4-99 and filed 9-2-99 (Register 99, No. 36).
3. Change without regulatory effect renumbering former section 1399.199.8 to section 1399.160.7 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.199.9. Revocation and Denial of Board-Approved Provider Status.
Note     •     History

NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(e), Business and Professions Code.
HISTORY

1. New section filed 4-7-99 as an emergency; operative 4-7-99 (Register 99, No. 7). A Certificate of Compliance must be transmitted to OAL by 8-5-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-7-99 order, including new subsection (a)(4), transmitted to OAL 8-4-99 and filed 9-2-99 (Register 99, No. 36).
3. Change without regulatory effect renumbering former section 1399.199.9 to section 1399.160.8 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.199.10. Course Advertisement.
Note     •     History

NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(e), Business and Professions Code.
HISTORY

1. New section filed 4-7-99 as an emergency; operative 4-7-99 (Register 99, No. 7). A Certificate of Compliance must be transmitted to OAL by 8-5-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-7-99 order, including amendment of subsection (c), transmitted to OAL 8-4-99 and filed 9-2-99 (Register 99, No. 36).
3. Change without regulatory effect renumbering former section 1399.199.10 to section 1399.160.9 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.199.11. Course Instructor Qualifications.
Note     •     History

NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(e), Business and Professions Code.
HISTORY

1. New section filed 4-7-99 as an emergency; operative 4-7-99 (Register 99, No. 7). A Certificate of Compliance must be transmitted to OAL by 8-5-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-7-99 order transmitted to OAL 8-4-99 and filed 9-2-99 (Register 99, No. 36).
3. Change without regulatory effect renumbering former section 1399.199.11 to section 1399.160.10 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.199.12. Records of Course Completion.
Note     •     History

NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(b), (c) and (e), Business and Professions Code.
HISTORY

1. New section filed 4-7-99 as an emergency; operative 4-7-99 (Register 99, No. 7). A Certificate of Compliance must be transmitted to OAL by 8-5-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-7-99 order, including amendment of first paragraph, transmitted to OAL 8-4-99 and filed 9-2-99 (Register 99, No. 36).
3. Change without regulatory effect renumbering former section 1399.199.12 to section 1399.160.11 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.199.13. Licensee and Provider Course Records.
Note     •     History

NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(b), (c) and (e), Business and Professions Code.
HISTORY

1. New section filed 4-7-99 as an emergency; operative 4-7-99 (Register 99, No. 7). A Certificate of Compliance must be transmitted to OAL by 8-5-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-7-99 order, including amendment of subsection (c), transmitted to OAL 8-4-99 and filed 9-2-99 (Register 99, No. 36).
3. Change without regulatory effect renumbering former section 1399.199.13 to section 1399.160.12 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
§1399.199.14. Continuing Professional Development for Out-of-State Applicants.
Note     •     History

NOTE

Authority cited: Sections 2531.95 and 2532.6(a), Business and Professions Code. Reference: Section 2532.6(d), Business and Professions Code.
HISTORY

1. New section filed 4-7-99 as an emergency; operative 4-7-99 (Register 99, No. 7). A Certificate of Compliance must be transmitted to OAL by 8-5-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-7-99 order transmitted to OAL 8-4-99 and filed 9-2-99 (Register 99, No. 36).
3. Change without regulatory effect renumbering former section 1399.199.14 to section 1399.160.13 filed 12-6-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 50).
Division 13.5. Registered Dispensing Opticians of the Medical Board of California
Article 1. General Provisions
§1399.200. Citation.
Note     •     History

This chapter may be cited and referred to as the “Registered Dispensing Optician Regulations.”
NOTE

Authority and reference cited: Section 2558, Business and Professions Code.
HISTORY

1. New section filed 4-12-79; effective thirtieth day thereafter (Register 79, No. 15).
2. Repealer of Chapter 13.5 (Articles 1-10, Sections 1399.200-1399.355, not consecutive), and new Chapter 13.5 (Articles 1-8, Sections 1399.200-1399.285, not consecutive) filed 8-3-83; effective thirtieth day thereafter (Register 83, No. 32). For prior history, see Registers 83, No. 18; 83, No. 8; 82, No. 17; 80, No. 6; 79, No. 15; 78, No. 33; 77, No. 51; 76, No. 49; and 75, No. 11.
3. Change without regulatory effect amending division heading filed 2-26-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 9).
§1399.201. Location of Principal Office.
Note     •     History

The principal office of the Medical Board of California for the purpose of the administration of the registered dispensing optician program is located at 1430 Howe Avenue, Sacramento, California 95825.
NOTE

Authority cited: Section 2558, Business and Professions Code. Reference: Section 2554, Business and Professions Code.
HISTORY

1. Change without regulatory effect amending section filed 11-24-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 48).
§1399.203. Definitions.
Note     •     History

For the purposes of the regulations contained in this Chapter, the term:
(a) “Board” means the Medical Board of California.
(b) “Division” means the Division of Licensing of the Medical Board of California.
(c) “Code” means the Business and Professions Code.
(d) “Engaging in the business of a dispensing optician” means the filling of prescriptions of licensed physicians and surgeons or optometrists for prescription lenses, and as incidental to the filling of such prescriptions:
(1) Using a keratometer to measure the curvature of the cornea of the eye;
(2) Converting a compounded prescription for spectacle lens by means of an algebraic formula in order to (a) compensate for the different vertex distance between the eye and the refractionist's test lens and between the eye and lens actually dispensed or, (b) to determine the appropriate power of contact lenses in accordance with such prescription;
(3) Taking facial measurements, fitting and adjusting prescription lenses, and fitting and adjusting spectacle frames.
(f) “Personal knowledge,” as used in Section 2552(b) of the code, means knowledge of the affiant which is not based on hearsay.
(g) “Physician and Surgeon” means a physician and surgeon, holding a valid certificate issued by the board to practice medicine in the State of California.
(h) “Prescription,” as used in Chapter 5.5, Division 2 of the code, means:
(1) A written order from a physician and surgeon or optometrist for spectacle or contact lenses, or
(2) An oral order from a physician and surgeon or optometrist for spectacle or contact lenses if such order is reduced to writing and a copy of such writing is sent to the prescribing physician or optometrist prior to the delivery of the lenses to the patient.
NOTE

Authority cited: Section 2558, Business and Professions Code. Reference: Sections 2550, 2552 and 2558, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing subsection (e) filed 8-22-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 34).
2. Change without regulatory effect amending section filed 11-24-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 48).
§1399.204. Delegation of Functions.
Note     •     History

Except for those powers reserved exclusively to the “agency itself” under the Administrative Procedure Act (Section 11500 et seq. of the Government Code), the division delegates and confers upon the executive director of the board, or in his or her absence, the chief of licensing, or his or her designee, all functions necessary to the dispatch of business of the division in connection with investigative and administrative proceedings under the jurisdiction of the division.
NOTE

Authority cited: Section 2558, Business and Professions Code. Reference: Section 2555, Business and Professions Code; and 11500, Government Code.
HISTORY

1. Change without regulatory effect amending section filed 11-24-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 48).
2. Change without regulatory effect amending section filed 2-26-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 9).
Article 2. Applications
§1399.220. Applications for Registration.
Note     •     History

All applications shall be submitted on a form provided by the division, accompanied by such evidence, statements or documents as therein required, and filed with the division at its principal office with the required fee.
NOTE

Authority cited: Section 2558, Business and Professions Code. Reference: Section 2555, Business and Professions Code; and 11500, Government Code.
HISTORY

1. Change without regulatory effect amending section filed 8-16-90 pursuant to section 100 title 1, California Code of Regulations (Register 90, No. 42).
§1399.221. Denial of Applications.
Note

In the event an application is denied pursuant to Section 2552 or 2553.6 of the code, the division shall notify the applicant in writing within thirty days of the deficiencies or reasons for denial, and of the procedure for requesting a hearing on the denial.
NOTE

Authority cited: Section 2558, Business and Professions Code. Reference: Sections 2552, 2553 and 2553.6, Business and Professions Code.
§1399.222. Renewal Applications.
Note

A renewal application will be submitted on a form provided by the division accompanied by the renewal fee and filed with the division at its office in Sacramento prior to the expiration date of the registration.
NOTE

Authority cited: Section 2558, Business and Professions Code. Reference: Section 2554, Business and Professions Code.
§1399.223. Abandonment of Application.
Note

An applicant shall be deemed to have abandoned an application if he or she does not complete the requirements for registration within one year from the date on which the application was filed. An application submitted subsequent to an abandoned application shall be treated as a new application.
NOTE

Authority cited: Section 2558, Business and Professions Code. Reference: Section 2551, Business and Professions Code.
Article 3. Prescriptions for Ophthalmic Devices
§1399.230. Oral Prescriptions.
Note

If an oral prescription or order is received for lenses the order shall be reduced to writing and a copy of such writing sent to the prescribing physician or optometrist prior to the delivery of the lenses to the patient.
NOTE

Authority cited: Section 2558, Business and Professions Code. Reference: Section 2550, Business and Professions Code.
§1399.231. Retention of Records.
Note

All written prescriptions or oral prescriptions which have been reduced to writing shall be retained for three years after the dates such prescriptions have been filed.
NOTE

Authority cited: Section 2558, Business and Professions Code. Reference: Sections 2550, 2555 and 2556, Business and Professions Code.
§1399.232. Ophthalmic Devices.
Note

The minimum quality standards for prescription ophthalmic devices sold, dispensed or furnished by registered dispensing opticians are the current standards of the American National Standard Institute Z80.1 and Z80.2.
NOTE

Authority cited: Section 2541.3, Business and Professions Code. Reference: Section 2541.3, Business and Professions Code.
§1399.233. Evaluation of Contact Lenses.
Note     •     History

In accordance with Section 2562 of the Code, a registered contact lens dispenser shall ensure that a written statement is enclosed with each contact lens container which directs the person named in the contact lens prescription to return to the prescribing physician or optometrist for an evaluation within 60 days.
NOTE

Authority cited: Section 2558, Business and Professions Code. Reference: Section 2562, Business and Professions Code.
HISTORY

1. New section filed 5-17-95; operative 6-16-95 (Register 95, No. 20).
Article 4. Changes of Business Name, Business Address, or Ownership
§1399.240. Change of Business Name or Address.
Note

A registrant shall report to the division in writing within ten working days any change of the business name or address. The division shall change its records accordingly, and shall notify the registrant in writing of the change. There is no fee for recording such a change.
NOTE

Authority cited: Section 2558, Business and Professions Code. Reference: Sections 2553 and 2554, Business and Professions Code.
§1399.242. Change of Ownership.
Note

The division shall be promptly notified by the registrant when there is a change in the ownership of the registrant, and the certificate of registration shall immediately be returned to the division for cancellation. No new certificate of registration shall be issued until the previous certificate is cancelled. If there is such a change, the new registrant shall file a new application and pay the prescribed application and initial registration fees.
NOTE

Authority cited: Section 2558, Business and Professions Code. Reference: Sections 2551 and 2553, Business and Professions Code.
Article 5. Advertising
§1399.250. Advertising.
Note

A registered dispensing optician may advertise the provision of any ophthalmic goods or services authorized to be provided by such registration in a manner authorized by Section 651 of the code so long as such advertising does not promote the excessive or unnecessary use of such services.
NOTE

Authority cited: Sections 651 and 2558, Business and Professions Code. Reference: Sections 651, 2556 and 17500, Business and Professions Code.
§1399.251. Advertisement for Eye Examination.
Note

It is unprofessional conduct for a registered dispensing optician to advertise a price or fee for a visual eye examination or a complete medical eye examination or to otherwise advertise the furnishing of the services of an optometrist or a physician and surgeon.
NOTE

Authority cited: Sections 651 and 2558, Business and Professions Code. Reference: Sections 651, 2540, 2556 and 17500, Business and Professions Code.
§1399.252. Advertising Requirements.
Note

Registered dispensing opticians shall include the names under which they are registered in all advertising in connection with the business of dispensing optician. For purposes of this chapter, advertising includes classified directories and solicitations to the public.
NOTE

Authority cited: Sections 651 and 2558, Business and Professions Code. Reference: Sections 651, 2556 and 2558, Business and Professions Code.
Article 6. Fees
§1399.260. Registered Dispensing Optician Fees.
Note     •     History

(a) The initial registration fee shall be $75.00.
(b) The renewal fee shall be $75.00.
NOTE

Authority cited: Section 2558, Business and Professions Code. Reference: Section 2565, Business and Professions Code.
HISTORY

1. Amendment of section heading and section filed 11-28-2000; operative 12-28-2000 (Register 2000, No. 48).
§1399.261. Contact Lens Dispenser Fees.
Note     •     History

(a) The initial registration fee shall be $75.00.
(b) The biennial renewal fee shall be $75.00.
NOTE

Authority cited: Section 2558, Business and Professions Code. Reference: Section 2566, Business and Professions Code.
HISTORY

1. Amendment filed 11-28-2000; operative 12-28-2000 (Register 2000, No. 48).
§1399.262. Refund of Application Fee.
Note

Any applicant for registration as a contact lens dispenser who does not meet the requirements for registration shall be refunded $50.00 upon written request.
NOTE

Authority cited: Section 2558, Business and Professions Code. Reference: Section 2566, Business and Professions Code.
§1399.263. Spectacle Lens Dispenser Fees.
Note     •     History

(a) The initial registration fee shall be $75.00.
(b) The renewal fee shall be $75.00.
NOTE

Authority cited: Section 2558, Business and Professions Code. Reference: Section 2566.1, Business and Professions Code.
HISTORY

1. New section filed 11-28-2000; operative 12-28-2000 (Register 2000, No. 48).
Article 7. Enforcement
§1399.270. Substantial Relationship Criteria.
Note

For the purpose of denial, suspension, or revocation of the registration of a dispensing optician pursuant to Division 1.5 (commencing with Section 475) of the code, a crime or act shall be considered substantially related to the qualifications, functions, and duties of a dispensing optician if to a substantial degree it evidences present or potential unfitness of a dispensing optician to perform the functions authorized by his registration in a manner consistent with the public health, safety, or welfare. Such crimes or acts shall include, but not be limited to, those involving the following:
(a) Any violation of the provisions of Article 6, Chapter 1, Division 2 of the code relating to dispensing opticians.
(b) Any violation of the provisions of Chapter 5.4, Division 2 of the code.
(c) Any violation of the provisions of Chapter 5.5, Division 2, of the code.
NOTE

Authority cited: Sections 481 and 2558, Business and Professions Code. Reference: Sections 481, 2555.1 and 2556, Business and Professions Code.
§1399.271. Criteria for Denial and Reinstatement of Registration.
Note

When considering the denial of a registration under Section 480 of the code, or a petition for reinstatement under Section 11522 of the code, the division in evaluating the rehabilitation of the applicant and his or her present eligibility for registration, shall consider the following criteria:
(a) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(b) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the Business and Professions Code.
(c) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (a) or (b).
(d) In the case of a denial or revocation based upon the conviction of a crime, the criteria set forth in Section 1399.272.
(e) Evidence, if any, of rehabilitation submitted by the applicant.
NOTE

Authority cited: Sections 482 and 2558, Business and Professions Code. Reference: Sections 482, 2555.1 and 2556, Business and Professions Code.
§1399.272. Rehabilitation Criteria for Suspensions and Revocations.
Note

When considering the suspension or revocation of a registration on the grounds that the registrant has been convicted of a crime, the division, in evaluating the rehabilitation of such person and his or her present eligibility for a registration, shall consider the following criteria:
(a) Nature and severity of the act(s) or offense(s).
(b) Total criminal record.
(c) Extent of time that has elapsed since commission of the act(s) or offense(s).
(d) Whether the registrant has complied with any or all terms of parole, probation, restitution or any other sanctions lawfully imposed against the registrant.
(e) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(f) Evidence, if any, of rehabilitation submitted by the registrant.
NOTE

Authority cited: Sections 482 and 2558, Business and Professions Code. Reference: Sections 482, 2555.1 and 2556, Business and Professions Code.
§1399.274. Definitions.
Note     •     History

As used in Sections 1399.275 through 1399.279, inclusive.
(a) “Chief of licensing” means the chief of the licensing program, or his or her designee, for the division.
(b) “Optician” means a registered dispensing optician, and a registered spectacle lens dispenser or a registered contact lens dispenser, as applicable.
NOTE

Authority cited: Sections 125.9 and 2558, Business and Professions Code. Reference: Sections 2550 and 2550.1, Business and Professions Code.
HISTORY

1. New section filed 6-12-89; operative 7-12-89 (Register 89, No. 25).
2. Change without regulatory effect amending subsection (a) and Note filed 2-26-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 9).
§1399.275. Citations and Fines.
Note     •     History

(a) The chief of licensing is authorized to issue citations containing orders of abatement and fines for violations by opticians of the provisions of law referred to in this section.
(b) A citation shall be issued whenever any fine is levied or any order of abatement is issued. Each citation shall be in writing and shall describe with particularity the nature and facts of the violation, including a reference to the statute or regulations alleged to have been violated. The citation shall be served upon the individual personally or by certified mail.
NOTE

Authority cited: Sections 125.9 and 2558, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 6-12-89; operative 7-12-89 (Register 89, No. 25).
2. Change without regulatory effect amending subsection (a) and Note filed 2-26-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 9).
§1399.276. Amount of Fines.
Note     •     History

The amount of any fine to be levied by the chief of licensing shall take into consideration the factors listed in subdivision (b) (3) of Section 125.9 of the code and shall be within the range set forth in each subsection below.
(a) The fine for a violation of the following provisions shall be from $1100 to $2500:
(1) Business and Professions Code Section 810;
(2) Business and Professions Code Section 2542;
(3) Business and Professions Code Section 2553;
(4) Business and Professions Code Section 2556.5;
(5) Business and Professions Code Section 2559.1;
(6) Business and Professions Code Section 2559.2(e);
(7) Business and Professions Code Section 2560.
(b) The fine for a violation of the following provisions shall be from $100 to $1000:
(1) Business and Professions Code Section 650;
(2) Business and Professions Code Section 651;
(3) Business and Professions Code Section 654;
(4) Business and Professions Code Section 655;
(5) Business and Professions Code Section 2540;
(6) Business and Professions Code Section 2541.3;
(7) Business and Professions Code Section 2543;
(8) Business and Professions Code Section 2553.6;
(9) Business and Professions Code Section 2554;
(10) Business and Professions Code Section 2556;
(11) Business and Professions Code Section 2562;
(12) Business and Professions Code Section 2564.5;
(13) Title 16 Cal. Code Reg. Section 1399.230;
(14) Title 16 Cal. Code Reg. Section 1399.231;
(15) Title 16 Cal. Code Reg. Section 1399.232;
(16) Title 16 Cal. Code Reg. Section 1399.240;
(17) Title 16 Cal. Code Reg. Section 1399.242;
(18) Title 16 Cal. Code Reg. Section 1399.251;
(19) Title 16 Cal. Code Reg. Section 1399.252.
(c) In her or his discretion, the chief of licensing may issue an order of abatement without levying a fine for the first violation of any provision set forth in subsection (b).
(d) The sanctions authorized under this section shall be separate from and in addition to any other civil or criminal remedies.
NOTE

Authority cited: Sections 125.9 and 2558, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 6-12-89; operative 7-12-89 (Register 89, No. 25).
2. New subsections (a)(3)-(4), subsection renumbering, and new subsection (a)(6) and subsection renumbering filed 3-11-96; operative 4-10-96 (Register 96, No. 11).
3. Change without regulatory effect amending first paragraph, subsection (c) and Note filed 2-26-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 9).
§1399.277. Compliance with Orders of Abatement.
Note     •     History

(a) If a cited optician who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, the person cited may request an extension of time from the chief of licensing in which to complete the correction. Such a request shall be in writing and shall be made within the time set forth for abatement.
(b) When an order of abatement is not contested or if the order is appealed and the optician cited does not prevail, failure to abate the violation charged within the time allowed shall constitute a violation and failure to comply with the order of abatement. An order of abatement shall either be personally served or mailed by certified mail, return receipt requested. The time allowed for the abatement of a violation shall begin the first day after the order of abatement has been served or received. Such failure may result in disciplinary action being taken by the division or other appropriate judicial relief being taken against the optician cited.
NOTE

Authority cited: Sections 125.9 and 2558, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 6-12-89; operative 7-12-89 (Register 89, No. 25).
2. Change without regulatory effect amending subsection (a) and Note filed 2-26-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 9).
§1399.278. Citations for Unlicensed Practice.
Note     •     History

The chief of licensing is authorized to issue citations containing orders of abatement and fines against persons, partnerships, corporations or associations who are performing or who have performed services for which registration as an optician is required under Chapters 5.4 and 5.5 of Division 2 of the Code. Each citation issued shall contain an order of abatement. Where appropriate the chief of licensing shall levy a fine for such unlicensed activity in accordance with subdivision (b) (3) of Section 125.9 of the code. The provisions of Sections 1399.275 and 1399.277 shall apply to the issuance of citations for unlicensed activity under this subsection. The sanctions authorized under this section shall be separate from and in addition to any other civil or criminal remedies.
NOTE

Authority cited: Sections 125.9 and 2558, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 6-12-89; operative 7-12-89 (Register 89, No. 25).
2. Change without regulatory effect amending section and Note filed 2-26-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 9).
§1399.279. Contest of Citations.
Note     •     History

(a) In addition to requesting a hearing provided for in subdivision (b) (4) of Section 125.9 of the code, the optician cited may, within ten (10) days after service or receipt of the citation, notify the chief of licensing in writing of his or her request for an informal conference with the chief of licensing regarding the acts charged in the citation. The time allowed for the request shall begin the first day after the citation has been served or received.
(b) The chief of licensing shall hold, within 30 days from the receipt of the request, an informal conference with the optician cited for his or her legal counsel or authorized representative. At the conclusion of the informal conference the chief of licensing may affirm, modify or dismiss the citation, including any fine levied or order of abatement issued. The chief of licensing shall state in writing the reasons for his or her action and serve or mail, as provided in subsection (b) of Section 1399.277, a copy of his or her findings and decision to the optician cited within ten days from the date of the informal conference. This decision shall be deemed to be a final order with regard to the citation issued, including the fine levied and the order of abatement.
(c) The optician cited does not waive his or her request for a hearing to contest a citation by requesting an informal conference after which the citation is affirmed by the chief of licensing. If the citation is dismissed after the informal conference, the request for a hearing on the matter of the citation shall be deemed to be withdrawn. If the citation, including any fine levied or order of abatement, is modified, the citation originally issued shall be considered withdrawn and new citation issued. If a hearing is requested for the subsequent citation, it shall be requested within 30 days in accordance with subdivision (b) (4) of Section 125.9.
NOTE

Authority cited: Sections 125.9 and 2558, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 6-12-89; operative 7-12-89 (Register 89, No. 25).
2. Change without regulatory effect amending section and Note filed 2-26-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 9).
Article 8. Optical Dispensing Educational Programs
§1399.280. Substitute for Experience.
Note     •     History

NOTE

Authority cited: Section 2558, Business and Professions Code. Reference: Section 2553, Business and Professions Code; and 11500, Government Code.
HISTORY

1. Change without regulatory effect repealing section filed 8-16-90 pursuant to section 100, title 1, California Code of Regulations (Register 90, No. 42).
§1399.281. Definition.
Note     •     History

NOTE

Authority cited: Section 2558, Business and Professions Code. Reference: Section 2553, Business and Professions Code; and 11500, Government Code.
HISTORY

1. Change without regulatory effect repealing section filed 8-16-90 pursuant to section 100, title 1, California Code of Regulations (Register 90, No. 42).
§1399.282. Requirements for Approval of a Program.
Note     •     History

NOTE

Authority cited: Section 2558, Business and Professions Code. Reference: Section 2552, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 8-16-90 pursuant to section 100, title 1, California Code of Regulations (Register 90, No. 42).
2. Editorial correction deleting text and adding History 1 (Register 94, No. 32).
§1399.283. Documentation Required for Approval.
Note     •     History

NOTE

Authority cited: Section 2558, Business and Professions Code. Reference: Section 2552, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 8-16-90 pursuant to section 100, title 1, California Code of Regulations (Register 90, No. 42).
§1399.284. Notification of Program Changes.
Note     •     History

NOTE

Authority cited: Section 2558, Business and Professions Code. Reference: Section 2552, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 8-16-90 pursuant to section 100, title 1, California Code of Regulations (Register 90, No. 42).
§1399.285. Suspension or Revocation of Approval.
Note     •     History

NOTE

Authority cited: Section 2558, Business and Professions Code. Reference: Section 2552, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 8-16-90 pursuant to section 100, title 1, California Code of Regulations (Register 90, No. 42).
Division 13.6. Respiratory Care Board of California
Article 1. General Provisions
§1399.300. Citation.
Note     •     History

These regulations shall be cited and referred to as the “Respiratory Care Regulations.”
NOTE

Authority cited: Section 3722, Business and Professions Code. Reference: Section 3722, Business and Professions Code.
HISTORY

1. Renumbering of former Chapter 13.6 (Sections 1399.400-1399.480, not consecutive) to Chapter 13.7 and new Chapter 13.6 (Sections 1399.300-1399.380, not consecutive) filed 12-14-84; effective thirtieth day thereafter (Register 84, No. 50). For history of former Chapter 13.6, see Register 84, No. 5.
2. Editorial correction of Division 13.6 heading (Register 95, No. 48).
3. Amendment filed 6-9-97; operative 7-9-97 (Register 97, No. 24).
§1399.301. Location of Office.
Note     •     History

The principal office of the Respiratory Care Board of California is located at 444 North 3rd Street, Suite 270, Sacramento, CA 95814.
NOTE

Authority cited: Section 3722, Business and Professions Code. Reference: Section 3722, Business and Professions Code.
HISTORY

1. Amendment filed 12-17-91; operative 1-16-92 (Register 92, No. 10).
2. Change without regulatory effect amending section filed 11-30-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 48).
3. Amendment filed 4-22-2004; operative 5-22-2004 (Register 2004, No. 17).
§1399.302. Definitions.
Note     •     History

Unless the context otherwise requires, the following definitions shall apply:
(a) “Board” means the Respiratory Care Board of California.
(b) “B&PC” means the Business and Professions Code.
(c) “Act” means the Respiratory Care Practice Act.
(d) “Direct Supervision” means assigned to a currently licensed respiratory care practitioner who is on duty and immediately available in the assigned patient area.
(e) “Employer” means any company, corporation, partnership, health maintenance organization, or any other entity or person that employs or contracts with, one or more respiratory care practitioners or unlicensed personnel to provide respiratory care services as provided in the Act.
(f) “Licensed Home Care Employer” means a Home Medical Device Retail Facility, Home Health Agency, or any home care provider licensed by the Department of Health Services or its successor.
(g) “Regulations” means Division 13.6 of Title 16 of the California Code of Regulations.
(h) “Unlicensed Personnel” means an individual not otherwise authorized or exempt to provide respiratory care services except as provided for in Article 6.
NOTE

Authority cited: Sections 3704 and 3722, Business and Professions Code. Reference: Sections 3704 and 3722, Business and Professions Code.
HISTORY

1. Change without regulatory effect amending subsection (a) filed 10-22-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 43).
2. Change without regulatory effect amending section filed 11-30-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 48).
3. Amendment of subsection (b) and new subsection (d) filed 6-9-97; operative 7-9-97 (Register 97, No. 24).
4. New subsections (e) and (f) filed 4-21-2003; operative 5-21-2003 (Register 2003, No. 17).
5. Amendment of subsection (e), new subsection (f), subsection relettering and new subsection (h) filed 2-14-2007; operative 3-16-2007 (Register 2007, No. 7).
§1399.303. Delegation of Authority.
Note     •     History

(a) Except for those powers reserved exclusively for the “agency itself” under the Administrative Procedure Act (Section 11500 et seq. of the Government Code), the board delegates and confers upon the executive officer of the board, or in his or her absence, the president of the board, the power and discretion to receive and file accusations; issue notices of hearings, statements to respondents and statements of issues; receive and file notices of defense; determine the time and place of hearings under Section 11508 of the Government Code; issue subpoenas and subpoenas duces tecum; calendar cases for hearing and perform other functions necessary to the businesslike dispatch of the business of the board in connection with proceedings under the provisions of Sections 11500 through 11528 of the Government Code, prior to the hearing of such proceedings; and the certification and delivery or mailing of copies of decisions under Section 11518 of said code.
(b) The executive officer is further authorized, subject to the approval of the board, to investigate and evaluate each applicant for licensure under the Act, and to issue or deny a license in conformance with the provisions of the B&PC, the Act, this chapter, and disciplinary guidelines.
NOTE

Authority cited: Section 3722, Business and Professions Code. Reference: Sections 3716 and 3753, Business and Professions Code.
HISTORY

1. New section filed 9-9-85; effective thirtieth day thereafter (Register 85, No. 37).
2. Change without regulatory effect amending section filed 11-30-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 48).
3. Amendment of subsection (b) filed 11-25-97; operative 11-25-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 48).
§1399.304. Filing of Address.
Note     •     History

Each person holding a license as a respiratory care practitioner or any person with an application for licensure pending, shall file, in writing, with the board his or her proper and current mailing address, and shall give written notice within 14 days, to the board at its Sacramento office of any and all changes of address, giving both the old and new address.
NOTE

Authority cited: Section 3722, Business and Professions Code. Reference: Section 3774, Business and Professions Code.
HISTORY

1. Amendment filed 12-17-91; operative 1-16-92 (Register 92, No. 10).
2. Change without regulatory effect amending section filed 11-30-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 48).
3. Amendment filed 6-9-97; operative 7-9-97 (Register 97, No. 24).
§1399.305. Officers.
Note     •     History

(a) The election of a president and vice president shall be held annually at the last regularly-scheduled meeting of the board during the calendar year. The newly-elected officers shall assume office on the first day of the calendar year following the election.
(b) In the case of a vacancy occurring in either of the offices, the vacancy may be filled at any regular or specially-called meeting. The member filling the vacancy shall serve the remainder of the one year term.
NOTE

Authority cited: Section 3722, Business and Professions Code. Reference: Section 3712, Business and Professions Code.
HISTORY

1. New section filed 9-30-85; effective thirtieth day thereafter (Register 85, No. 40).
2. Change without regulatory effect amending section filed 11-30-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 48).
Article 2. Applications
§1399.320. Applications.
Note     •     History

(a) Documentation related to the initial application process shall not be submitted more than 30 days prior to the receipt of an initial application. If an application is not received within 30 days, the submitted material will be destroyed.
NOTE

Authority cited: Section 3730, Business and Professions Code. Reference: Sections 3732, 3733, 3735, 3735.3, 3735.5 and 3740, Business and Professions Code.
HISTORY

1. Notice of Erroneous Filing filed 10-10-85 by OAL; purported adoption of Section 1399.320 filed in error on 9-30-85 is null and void (Register 85, No. 44).
2. New section filed 6-9-97; operative 7-9-97 (Register 97, No. 24).
§1399.321. Abandonment of Applications.
Note     •     History

Each applicant shall have one year from the time his or her initial application is received by the Board to meet licensure requirements and complete the application and initial licensure process. If the application and initial licensure process is not completed within the one-year period, the application shall be deemed abandoned.
NOTE

Authority cited: Sections 3722 and 3730, Business and Professions Code. Reference: Sections 3730, 3732, 3735, 3735.3, 3735.5 and 3740, Business and Professions Code.
HISTORY

1. Notice of Erroneous Filing filed 10-10-85 by OAL; purported adoption of Section 1399.321 filed in error on 9-30-85 is null and void (Register 85, No. 44).
2. New section filed 6-9-97; operative 7-9-97 (Register 97, No. 24).
3. Amendment of section and Note filed 4-22-2004; operative 5-22-2004 (Register 2004, No. 17).
§1399.327. Satisfactory Completion of Law and Professional Ethics Course Prerequisite to License.
Note     •     History

Every applicant shall successfully complete a course in law and professional ethics as provided in section 1399.352.7 of this division, prior to initial licensure.
NOTE

Authority cited: Sections 3719.5 and 3722, Business and Professions Code. Reference: Sections 3719.5 and 3730, Business and Professions Code.
HISTORY

1. New section filed 7-18-2005; operative 8-17-2005 (Register 2005, No. 29).
Article 3. Education and Experience
§1399.330. Education Waiver Criteria.
Note     •     History

(a) The board may waive the education requirements in section 3740 of the B&PC if an applicant for licensure
(1) Either successfully completed a minimum of a one-year respiratory care program supported by the Committee on Accreditation for Respiratory Care or its predecessor, prior to July 1, 2004 or previously held a license in good standing issued by the board and
(A) Holds a current valid license in good standing in another state, United States territory or Canadian province and has practiced respiratory care in that jurisdiction for a minimum of two years full time within the three years immediately preceding filing an application for licensure in this state; or
(B) Has practiced respiratory care in another state or United States territory, for a minimum of three years full time within the four years immediately preceding filing an application for licensure in this state, and that state or territory does not regulate the practice of respiratory care at the time the application for licensure is filed.
(2) Has not completed a respiratory care program described in subdivision (1) above but either
(A) Holds a current valid license in good standing in another state, United States territory or Canadian province and has competently practiced respiratory care in that state, United States territory or Canadian province for a minimum of four years full time within the five years immediately preceding filing an application for licensure in this state; or
(B) Has practiced respiratory care in another state or United States territory, for a minimum of five years full time within the six years immediately preceding filing an application for licensure in this state, and that state or territory does not license the practice of respiratory care at the time the application for licensure is filed.
(b) As used in this section, “good standing” means the applicant
(1) is not currently under investigation;
(2) has not been charged with an offense for any act substantially related to the practice of respiratory care by any public agency;
(3) has not entered into any consent agreement or been subject to an administrative disciplinary decision including any voluntary surrender of license; and
(4) has not been the subject of an adverse judgment or arbitration award resulting from a claim or action for damages for death or personal injury caused by that person's negligence, error or omission in the practice of respiratory care.
(c) An applicant must provide sufficient documentary evidence to establish to the satisfaction of the board, that the applicant meets each requirement in the pathway under which the applicant is attempting to qualify. An applicant shall sign a release authorizing the board to obtain copies of personnel records or any other documentation that establishes the applicant's qualifications for a waiver of the educational requirements.
(d) This section shall not be construed to require the board to waive education requirements.
NOTE

Authority cited: Sections 3722 and 3740, Business and Professions Code. Reference: Section 3740, Business and Professions Code.
HISTORY

1. New section filed 12-11-97; operative 1-10-98 (Register 97, No. 50).
2. Amendment of section heading and repealer and new section filed 4-22-2004; operative 5-22-2004 (Register 2004, No. 17).
§1399.331. License Applicants--Education Requirements.
Note     •     History

NOTE

Authority cited: Sections 3722 and 3740, Business and Professions Code. Reference: Section 3740, Business and Professions Code.
HISTORY

1. New section filed 12-11-97; operative 1-10-98 (Register 97, No. 50).
2. Repealer filed 4-22-2004; operative 5-22-2004 (Register 2004, No. 17).
§1399.333. Educational Grade Requirements.
Note     •     History

NOTE

Authority cited: Sections 3722, 3733 and 3740, Business and Professions Code. Reference: Sections 3733 and 3740, Business and Professions Code.
HISTORY

1. New section filed 1-23-97; operative 2-22-97 (Register 97, No. 4).
2. Repealer filed 4-22-2004; operative 5-22-2004 (Register 2004, No. 17).
Article 4. Examinations
§1399.340. Failure on Examinations.
Note     •     History

For purposes of B&PC section 3739, the “next available examination” shall mean the board's state licensing examination, or the National Board for Respiratory Care, Inc. entry level certification examination for respiratory therapy. Failure of either examination, or failure to take either examination as scheduled except for due cause, shall result in termination of the privilege to work as a “respiratory care practitioner applicant”.
NOTE

Authority cited: Section 3722, Business and Professions Code. Reference: Section 3739, Business and Professions Code.
HISTORY

1. New section filed 8-21-92; operative 9-21-92 (Register 92, No. 34).
2. Change without regulatory effect amending section filed 11-30-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 48).
3. Amendment filed 6-9-97; operative 7-9-97 (Register 97, No. 24).
Article 5. Continuing Education
§1399.349. Continuing Education Defined.
Note     •     History

“Continuing Education” means the variety of forms of learning experiences, including, but not limited to, lectures, conferences, academic studies, in-service education, institutes, seminars, home study, internet courses, and workshops, taken by respiratory care practitioners for licensure renewal. These learning experiences are meant to enhance the knowledge of the respiratory care practitioner in the practice of respiratory care in direct and indirect patient care. Continuing education does not include basic education or training needed to become a licensed RCP.
NOTE

Authority cited: Sections 3719 and 3722, Business and Professions Code. Reference: Sections 3719 and 3740, Business and Professions Code.
HISTORY

1. New section filed 4-22-2004; operative 5-22-2004 (Register 2004, No. 17).
§1399.350. Continuing Education Required.
Note     •     History

(a) Each respiratory care practitioner (RCP) is required to complete 15 hours of approved continuing education (CE) every 2 years. At least two-thirds of the required CE hours shall be directly related to clinical practice.
(b) To renew the license, each RCP shall report compliance with the CE requirement. Supporting documentation, showing evidence of compliance with each requirement under this Article, shall be submitted if requested by the board.
(c) CE supporting documentation shall be retained by the licensee for a period of four years.
NOTE

Authority cited: Sections 3719 and 3722, Business and Professions Code. Reference: Section 3719, Business and Professions Code.
HISTORY

1. New article 5 (sections 1399.350-1399.355) filed 5-8-86; effective thirtieth day thereafter (Register 86, No. 19).
2. Amendment of subsection (b) filed 2-23-89; operative 3-25-89 (Register 89, No. 9).
3. Change without regulatory effect amending subsection (b) filed 10-22-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 43).
4. Change without regulatory effect amending subsection (b) filed 11-30-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 48).
5. New subsection (c) filed 6-9-97; operative 7-9-97 (Register 97, No. 24).
6. Amendment of subsections (a) and (b) filed 4-22-2004; operative 5-22-2004 (Register 2004, No. 17).
§1399.350.5. Law and Professional Ethics Course.
Note     •     History

(a) As part of required continuing education, every person licensed under this chapter shall successfully complete a course in law and professional ethics as provided in section 1399.352.7 of this division, during every other license renewal cycle.
(b) Continuing education units earned in accordance with this section shall represent three units toward the non-clinical practice requirements set forth in section 1399.350(a). However, the course may be taken for continuing education credit only once during any renewal period.
NOTE

Authority cited: Sections 3719.5 and 3722, Business and Professions Code. Reference: Sections 3719 and 3719.5, Business and Professions Code.
HISTORY

1. New section filed 7-18-2005; operative 8-17-2005 (Register 2005, No. 29).
§1399.351. Approved CE Programs.
Note     •     History

(a) Any course or program meeting the criteria set forth in this Article will be accepted by the board for CE credit.
(b) Passing an official credentialling or proctored self-evaluation examination shall be approved for CE as follows:
(1) Registered Respiratory Therapist (RRT) - 15 CE hours if not taken for licensure;
(2) Certified Pulmonary Function Technologist (CPFT) - 15 CE hours;
(3) Registered Pulmonary Function Technologist (RPFT) - 15 CE hours;
(4) Neonatal/Pediatric Respiratory Care Specialist (NPS) - 15 CE hours;
(5) Advanced Cardiac Life Support (ACLS) - number of CE hours to be designated by the provider;
(6) Neonatal Resuscitation Program (NRP); - number of CE hours to be designated by the provider; and
(7) Pediatrics Advanced Life Support (PALS) - number of CE hours to be designated by the provider.
(8) Advanced Trauma Life Support (ATLS) - number of CE hours to be designated by the provider.
(c) Examinations listed in subdivisions (b)(1) through (b)(4) of this section shall be those offered by the National Board for Respiratory Care and each successfully completed examination may be counted only once for credit.
(d) Successful completion of each examination listed in subdivisions (b)(5) through (b)(8) of this section may be counted only once for credit and must be for the initial certification. See section 1399.352 for re-certification CE. These programs and examinations shall be provided by an approved entity listed in subdivision (h) of Section 1399.352.
(e) The board shall have the authority to audit programs offering CE for compliance with the criteria set forth in this Article.
NOTE

Authority cited: Sections 3719 and 3722, Business and Professions Code. Reference: Section 3719, Business and Professions Code.
HISTORY

1. Amendment of subsections (a) and (c) filed 2-23-89; operative 3-25-89 (Register 89, No. 9).
2. Change without regulatory effect amending section filed 11-30-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 48).
3. Amendment of subsection (b), new subsections (b)(1)-(c) and subsection relettering filed 6-9-97; operative 7-9-97 (Register 97, No. 24).
4. Amendment filed 4-22-2004; operative 5-22-2004 (Register 2004, No. 17).
§1399.352. Criteria for Acceptability of Courses.
Note     •     History

Acceptable courses and programs shall meet the following criteria:
(a) The content of the course or program shall be relevant to the scope of practice of respiratory care. Credit may be given for a course that is not directly related to clinical practice if the content of the course or program relates to any of the following:
(1) Those activities relevant to specialized aspects of respiratory care, which activities include education, supervision, and management.
(2) Health care cost containment or cost management.
(3) Preventative health services and health promotion.
(4) Required abuse reporting.
(5) Other subject matter which is directed by legislation to be included in CE for licensed healing arts practitioners.
(6) Re-certification for ACLS, NRP, PALS, and ATLS.
(7) Review and/or preparation courses for credentialing examinations provided by the National Board for Respiratory Care, excluding those courses for entry-level respiratory therapy certification.
(b) The faculty shall be knowledgeable in the subject matter as evidenced by:
(1) A degree from an accredited college or university and verifiable experience in the subject matter, or
(2) Teaching and/or clinical experience in the same or similar subject matter.
(c) Educational objectives shall be listed.
(d) The teaching methods shall be described, e.g., lecture, seminar, audio-visual, simulation.
(e) Evaluation methods shall document that the objectives have been met.
(f) Each course must be provided in accordance with this Article.
(g) Each course or provider shall hold approval from one of the entities listed in subdivision (h) from the time the course is distributed or instruction is given through the completion of the course.
(h) Each course must be provided or approved by one of the following entities. Courses that are provided by one of the following entities must be approved by the entity's president, director, or other appropriate personnel:
(1) Any post-secondary institution accredited by a regional accreditation agency or association recognized by the United States Department of Education.
(2) A hospital or health-care facility licensed by the California Department of Health Services.
(3) The American Association for Respiratory Care.
(4) The California Society for Respiratory Care (and all other state societies directly affiliated with the American Association for Respiratory Care).
(5) The American Medical Association.
(6) The California Medical Association.
(7) The California Thoracic Society.
(8) The American College of Surgeons.
(9) The American College of Chest Physicians.
(10) Any entity approved or accredited by the California Board of Registered Nursing or the Accreditation Council for Continuing Medical Education.
(i) Course organizers shall maintain a record of attendance of participants, documentation of participant's completion, and evidence of course approval for four years.
(j) All program information by providers of CE shall state: “This course meets the requirements for CE for RCPs in California.”
(k) All course providers shall provide documentation to course participants that includes participant name, RCP number, course title, course approval identifying information, number of hours of CE, date(s), and name and address of course provider.
(l) For quarter or semester-long courses (or their equivalent) completed at any post-secondary institution accredited by a regional accreditation agency or association recognized by the United States Department of Education, an official transcript showing successful completion of the course accompanied by the catalog's course description shall fulfill the requirements in subdivisions (i), (j) and (k).
(m) The board may audit providers offering CE for compliance with the criteria set forth in this Article.
NOTE

Authority cited: Sections 3719 and 3722, Business and Professions Code. Reference: Section 3719, Business and Professions Code.
HISTORY

1. Amendment filed 2-23-89; operative 3-25-89 (Register 89, No. 9).
2. Amendment of subsection (a) and new subsection (i) filed 6-9-97; operative 7-9-97 (Register 97, No. 24).
3. Amendment filed 4-22-2004; operative 5-22-2004 (Register 2004, No. 17).
§1399.352.5. CE Hours.
Note     •     History

The board will accept hours of approved CE as follows:
(a) The number of hours designated by those entities identified in subdivision (h) of Section 1399.352 as it pertains to their own course or a course approved by them.
(b) Notwithstanding subdivision (a), one (1) academic quarter unit is equal to ten (10) CE hours and one (1) academic semester unit is equal to fifteen (15) CE hours.
(c) Providers may not grant partial credit for any CE course. Partial credit is defined as any time segment less than the total designated course duration or time period.
NOTE

Authority cited: Sections 3719 and 3722, Business and Professions Code. Reference: Section 3719, Business and Professions Code.
HISTORY

1. New section filed 4-22-2004; operative 5-22-2004 (Register 2004, No. 17).
§1399.352.7. Law and Professional Ethics Course Criteria.
Note     •     History

An acceptable course in law and professional ethics shall meet the following criteria and be approved by the board:
(a) The course shall be provided by the American Association for Respiratory Care or the California Society for Respiratory Care.
(b) The course shall be three hours in length.
(c) The content of the course shall consist of the following subject areas:
(1) Obligations of licensed respiratory care practitioners to patients under their care;
(2) Responsibilities of respiratory care practitioners to report illegal activities occurring in the work place; and
(3) Acts that jeopardize licensure and licensure status.
(d) One hour of instruction shall consist of not less than 50 minutes of actual classroom time or actual time spent by the licensee completing the coursework on the internet.
NOTE

Authority cited: Sections 3719.5 and 3722, Business and Professions Code. Reference: Section 3719.5, Business and Professions Code.
HISTORY

1. New section filed 7-18-2005; operative 8-17-2005 (Register 2005, No. 29).
§1399.353. Audit and Sanctions for Noncompliance.
Note     •     History

(a) The board shall audit a random sample of RCPs for compliance with the CE requirements.
(b) If documentation of the CE requirement is improper or inadequate, or the licensee fails to provide the requested documentation within 30 days, the license becomes inactive. The practice of respiratory care, or representation that one is an RCP, is prohibited while the license is inactive. Practice on an inactive license shall constitute grounds for appropriate disciplinary action pursuant to the B&PC.
(c) Notwithstanding subdivision (b), if the Board determines that through no fault of the licensee the CE completed does not meet the criteria set forth in this Article, the Board may grant an extension, not to exceed six months, for the licensee to complete approved CE.
(d) Misrepresentation of compliance shall constitute grounds for disciplinary action.
(e) Documentation supporting compliance with CE requirements shall be available to the board upon request during the four year period following relicensure.
NOTE

Authority cited: Sections 3719 and 3722, Business and Professions Code. Reference: Sections 3719 and 3750, Business and Professions Code.
HISTORY

1. Change without regulatory effect amending subsections (b) and (d) filed 10-22-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 43).
2. Change without regulatory effect amending subsections (a) and (d) filed 11-30-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 48).
3. Amendment of subsections (b) and (d) filed 6-9-97; operative 7-9-97 (Register 97, No. 24).
4. Amendment of subsection (b), new subsection (c) and subsection relettering filed 4-22-2004; operative 5-22-2004 (Register 2004, No. 17).
§1399.354. Waiver of Requirements.
Note     •     History

At the time of making application for renewal of a license, an RCP may request a waiver from completion of the CE requirements. The board shall grant a waiver only if the RCP verifies in writing that, during the two year period immediately prior to the expiration date of the license, he or she:
(a) Has been absent from California for at least one year because of military service reasonably preventing completion of the CE requirements; or
(b) Has been prevented from completing the CE requirements for reasons of health or other good cause which includes:
(1) Total medical disability of the RCP for at least one year; or
(2) Total medical disability of an immediate family member for at least one year where the RCP has total responsibility for the care of that family member.
Verification of the disability under subsection (b) shall be verified in writing by a licensed physician and surgeon.
NOTE

Authority cited: Sections 3719 and 3722, Business and Professions Code. Reference: Section 3719, Business and Professions Code.
HISTORY

1. Amendment filed 2-23-89; operative 3-25-89 (Register 89, No. 9).
2. Change without regulatory effect amending first paragraph filed 10-22-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 43).
3. Amendment of subsections (c)(1)-(2) filed 5-24-93; operative 6-23-93 (Register 93, No. 22).
4. Change without regulatory effect amending opening paragraph filed 11-30-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 48).
5. Amendment filed 6-9-97; operative 7-9-97 (Register 97, No. 24).
§1399.355. Renewal After Inactive or Delinquent Status.
Note     •     History

(a) For the renewal of an expired license more than two years and within three years of the date of expiration, the applicant shall provide documentation of completion of the required 30 hours of CE during the four-year period preceding the application for renewal.
(b) For the renewal of an expired license two years or less from the expiration date, the applicant shall provide documentation of completion of the required 15 hours of CE during the two-year period preceding the application for renewal.
(c) After a license has been expired for three years, it will be cancelled and the applicant must make application just as for an initial license and meet all the current criteria required for licensure.
NOTE

Authority cited: Sections 3719 and 3722, Business and Professions Code. Reference: Sections 3719 and 3774, Business and Professions Code.
HISTORY

1. Amendment adding paragraph designators filed 12-17-91; operative 1-16-92 (Register 92, No. 10).
2. Change without regulatory effect amending subsections (a) and (b) filed 10-22-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 43).
3. Amendment of subsection (b) and Note filed 5-24-93; operative 6-23-93 (Register 93, No. 22).
4. Amendment filed 6-9-97; operative 7-9-97 (Register 97, No. 24).
§1399.356. License Status.
Note     •     History

A licensee may request, in writing, to change the status of his/her license as follows:
(a) To change the status of a license from active to inactive, the licensee shall make application to the board for such a change.
(b) To change the status of a license from inactive to active, the licensee shall request such in writing, pay all current, delinquent and accrued renewal fees, and provide documentation of completion of 15 hours of CE during the two-year period preceding the request for active status.
NOTE

Authority cited: Sections 701, 704, 3719 and 3722, Business and Professions Code. Reference: Sections 3719, 3774 and 3775, Business and Professions Code.
HISTORY

1. New section filed 6-9-97; operative 7-9-97 (Register 97, No. 24).
2. Amendment of section and Note filed 4-22-2004; operative 5-22-2004 (Register 2004, No. 17).
Article 6. Scope of Practice
§1399.360. Unlicensed Personnel Services; Home Care.
Note     •     History

(a) Unlicensed personnel (UP) may perform limited and basic respiratory care or respiratory care related services identified in subdivisions (b) and (c) in the home setting or for the purposes of patient transfer to the home setting, provided the following conditions are met: 
(1) The UP is providing services through his or her employment with a Licensed Home Care Employer (LHCE); 
(2) The UP has been provided initial training, ongoing in-service education, and periodic competency testing specific to each service and equipment-type by either a California licensed respiratory care practitioner (RCP) or other qualified licensed personnel, in accordance with his or her scope of practice, and documentation of such training, education and testing is maintained by the LHCE for a period of four years, and 
(3) The LHCE ensures that the patient, the patient's family, or the patient's caregiver(s) are advised prior to or at the time equipment or supplies are delivered, that a RCP or other qualified licensed personnel, in accordance with his or her scope of practice, shall provide follow up checks, by telephone or in-person as appropriate, at the request of the patient or the patient's family, caregiver, or physician, or any person who has had contact with the patient, or as otherwise directed by a plan of care, and such services are provided accordingly. 
(b) In accordance with this section and as it relates to: 
· positive airway pressure (with or without a back-up rate) devices and supplies; 
· intermittent positive pressure breathing devices and supplies; 
· ventilatory devices and supplies; 
· nasotracheal or tracheal suctioning devices and supplies; 
· apnea monitors and alarms and supplies; 
· tracheostomy care devices and supplies; 
· respiratory diagnostic testing devices and supplies, including but not limited to pulse oximetry, CO2 monitoring, and spirometry devices and supplies; 
· pulse-dose type or demand conserving oxygen delivery devices or high flow oxygen systems beyond the capabilities of a simple mask or cannula or requiring particulate or molecular therapy in conjunction with oxygen, and 
· any other respiratory care equipment and supplies not identified in subdivisions (b) and (c), 
(1) UP may: 
(A) Deliver equipment and supplies; 
(B) Instruct the patient, the patient's family or the patient's caregiver(s) on how to order equipment and supplies and the telephone number to call 24 hours a day, 7 days a week, in case of emergency in which a live person will be available to respond; 
(C) Set up equipment to the extent that the set-up is not dependent upon or influenced by any written or oral communication with the patient or the patient's family, caregiver(s) or physician (with the exception of identifying a physical location in the home for set-up), and 
(D) Provide instruction to the patient, the patient's family or the patient's caregiver(s) limited to the mechanical operation of the equipment (e.g. switch, knob, and dial locations) or the general use of equipment or supplies. 
(2) UP are prohibited from: 
(A) Setting up equipment to an extent that it constitutes patient care such as applying any device to the patient or making any adjustment or taking any action that requires or is dependent upon or influenced by any written or oral communication with the patient or the patient's family, caregiver(s) or physician; 
(B) Providing any instruction to an extent that it constitutes patient care,  such as instruction in the operation or use of the equipment for the purpose of deriving an intended medical benefit or instruction in the clinical application of equipment and/or supplies; 
(C) Performing any level of clinical assessment of the patient; 
(D) Directly engaging in any discussion of clinical care plans, therapy, prescriptions, or clinical application; 
(E) Touching the patient for the purposes of making an assessment or placing any device upon the patient, and 
(F) Providing any service that is not expressly authorized by this section. 
(c) In accordance with this section and as it relates to oxygen delivery systems and prefilled cylinders, with the exception of pulse-dose or demand conserving oxygen systems and high flow oxygen systems beyond the capabilities of a simple mask or cannula or requiring particulate or molecular therapy in conjunction with oxygen, 
(1) UP may: 
(A) Deliver equipment and supplies; 
(B) Instruct the patient, the patient's family or the patient's caregiver(s) on how to order oxygen equipment and supplies and the telephone number to call 24 hours a day, 7 days a week, in case of emergency in which a live person will be available to respond; 
(C) Instruct the patient, the patient's family or the patient's caregiver(s) in the proper and safe operation of oxygen equipment including: 
(i) equipment set-up for the purpose of making the equipment patient-ready; 
(ii) connecting disposable tubing, cannulas, and masks; 
(iii) verification of oxygen flow; 
(iv) demonstration to the patient of prescribed flow rate(s); 
(v) connection and cleaning of oxygen humidifying equipment and devices; 
(vi) use of portable back-up oxygen cylinders and equipment, and 
(vii) removal and disposition of disposable tubing, cannulas, and masks, and 
(D) Use a mock, self-demonstration as a method of instruction for subdivision (c)(1)(C). 
(E) Conduct regular in-home evaluations and gather information from the patient and home setting pertaining to the set-up, instruction, and provision of information as described in this subdivision for the use of the prescribing physician. 
(2) UP are prohibited from: 
(A) Direct administration of home oxygen; 
(B) Handling or adjusting home oxygen equipment while it is in use by the patient or on the patient; 
(C) Touching the patient or placing any device upon the patient while engaged in the set-up and instruction of equipment, including, but not limited to, applying a cannula or performing an oximetry evaluation or oxygen saturation test, and 
(D) Directly engaging in any discussion of clinical care plans, oxygen therapy or any modifications of physician prescribe equipment, dosages, or instructions or clinical applications. 
NOTE

Authority cited: Sections 3722 and 3765, Business and Professions Code. Reference: Sections 3701, 3702, 3703, 3704, 3717 and 3760,  Business and Professions Code; and Sections 109948.1 and 111656.3, Health and Safety Code.
HISTORY

1. New article 6 (section 1399.360) and section filed 2-14-2007; operative 3-16-2007 (Register 2007, No. 7).
Article 7. Miscellaneous
§1399.370. Substantial Relationship Criteria.
Note     •     History

For the purposes of denial, suspension, or revocation of a license, a crime or act shall be considered to be substantially related to the qualifications, functions or duties of a respiratory care practitioner, if it evidences present or potential unfitness of a licensee to perform the functions authorized by his or her license or in a manner inconsistent with the public health, safety, or welfare. Such crimes or acts include but are not limited to those involving the following:
(a) Violating or attempting to violate, directly or indirectly, or assisting or abetting the violation of or conspiring to violate any provision or term of the Act.
(b) Conviction of a crime involving fiscal dishonesty theft, or larceny.
(c) Conviction of a crime involving driving under the influence or reckless driving while under the influence.
(d) Conviction of a crime involving harassment or stalking as defined by the Penal Code.
(e) Conviction of a crime involving lewd conduct, prostitution or solicitation thereof, or pandering and/or indecent exposure, as defined by the Penal Code.
NOTE

Authority cited: Section 481, Business and Professions Code. Reference: Sections 481, 3750, 3750.5, 3752.5, 3752.6 and 3752.7, Business and Professions Code; and Sections 266, 288, 314, 646.9, 647, 1203.097, 11414, 13519.6 and 13519.7, Penal Code.
HISTORY

1. New Article 7 (Sections 1399.370-1399.372) filed 9-9-85; effective thirtieth day thereafter (Register 85, No. 37).
2. Amendment of section and Note filed 6-9-97; operative 7-9-97 (Register 97, No. 24).
3. Amendment of first paragraph filed 4-21-2003; operative 5-21-2003 (Register 2003, No. 17).
§1399.371. Rehabilitation Criteria for Denials and Reinstatements.
Note     •     History

NOTE

Authority cited: Sections 480, 482 and 3722, Business and Professions Code. Reference: Sections 480, 482, 3751 and 3753, Business and Professions Code.
HISTORY

1. Change without regulatory effect amending opening paragraph filed 11-30-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 48).
2. Repealer filed 6-9-97; operative 7-9-97 (Register 97, No. 24).
§1399.372. Rehabilitation Criteria for Suspensions or Revocations.
Note     •     History

When considering the denial, petition for reinstatement, modification of probation, suspension or revocation of an RCP license, the board will consider the following criteria in evaluating the rehabilitation of such person and his or her eligibility for a license:
(a) The nature and severity of the act(s) or offense(s).
(b) The total criminal record.
(c) The time that has elapsed since the commission of the act(s) or offense(s).
(d) Compliance with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against such person.
(e) Evidence of any subsequent act(s) or crime(s) committed.
(f) Any other evidence of rehabilitation submitted that is acceptable to the board, including:
(1) Successful completion of respiratory care courses with a “C” or better, as determined by the institution;
(2) Active continued attendance or successful completion or rehabilitative programs such as 12-step recovery programs or psychotherapy counseling;
(3) Letters relating to the quality of practice signed under penalty of perjury from licensed health care providers responsible for the supervision of his/her work.
(g) Statements, letters, attestations of good moral character, or references relating to character, reputation, personality, marital/family status, or habits shall not be considered rehabilitation unless they relate to quality of practice as listed in section (f).
NOTE

Authority cited: Sections 482 and 3722, Business and Professions Code. Reference: Sections 482, 3750, 3751 and 3753, Business and Professions Code.
HISTORY

1. Change without regulatory effect amending opening paragraph filed 11-30-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 48).
2. Amendment of first paragraph and subsections (d)-(f), new subsections (f)(1)-(g) and amendment of Note filed 6-9-97; operative 7-9-97 (Register 97, No. 24).
§1399.372.5. Satisfactory Completion of a Law and Professional Ethics Course Prerequisite to Reinstatement.
Note     •     History

Every petitioner for reinstatement shall successfully complete a course in law and professional ethics as provided in section 1399.352.7 of this division, within 6 months prior to the date a petition for reinstatement is filed with the board.
NOTE

Authority cited: Sections 3719.5 and 3722, Business and Professions Code. Reference: Sections 3719.5 and 3751, Business and Professions Code.
HISTORY

1. New section filed 7-18-2005; operative 8-17-2005 (Register 2005, No. 29).
§1399.373. Permit Processing Times.
Note     •     History

“Permit” as defined by the Permit Reform Act of 1981 means any license, registration permit or any other form of authorization required by a state agency to engage in a particular activity or act. Processing times for the board's respiratory care practitioner program are set forth below. The actual processing times apply to those applicants who have passed all appropriate examinations.

	
		 Maximum time for notifying the		ACTUAL PROCESSING TIMES
		 applicant, in writing, that  the application  	Maximum time after 	 FOR ISSUANCE OF A LICENSE
		 is complete and accepted for filing, or that  	receipt of a complete	 BASED ON PRIOR TWO YEARS	

		the application is deficient and what	application to issue		

	              Program	 specific information is required	or deny license	Minimum	Median	Maximum

	Respiratory Care Practitioner	30 days	150 days	70 days	242 days	344 days	
NOTE

Authority cited: Section 3722, Business and Professions Code; Section 15376, Government Code. Reference: Section 15376, Government Code.
HISTORY

1. New section filed 2-26-92; operative 3-27-92 (Register 92, No. 13).
2. Change without regulatory effect amending first paragraph filed 10-22-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 43).
3. Change without regulatory effect amending opening paragraph filed 11-30-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 48).
§1399.374. Disciplinary Guidelines.
Note     •     History

In reaching a decision on the disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), the board shall consider the disciplinary guidelines entitled “Disciplinary Guidelines” [3/02 Edition] which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the board in its sole discretion determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Sections 3718, 3722 and 3750, Business and Professions Code; and Sections 11400.20 and 11400.21, Government Code. Reference: Sections 11400.20 and 11425.50(e), Government Code.
HISTORY

1. New section filed 6-26-97; operative 7-1-97 (Register 97, No. 26). This interim regulation is exempt from most of the procedural requirements of the Administrative Procedure Act (specifically, from Articles 5 and 6 of Chapter 3.5, Division 3, Title 2, Government Code) and from review by the Office of Administrative Law pursuant to Government Code sections 11400.20 and 11400.21 and will expire on December 31, 1998, unless earlier terminated or replaced by, or readopted as, permanent following the procedures of the Administrative Procedure Act. 
2. Permanent regulation pursuant to Government Code sections 11400.20 and 11400.21 with amendment to incorporated material filed 11-19-97; operative 11-19-97 (Register 97, No. 47).
3. Amendment filed 4-21-2003; operative 5-21-2003 (Register 2003, No. 17).
§1399.375. Citation and Fine.
Note     •     History

NOTE

Authority cited: Section 3722, Business and Professions Code. Reference: Sections 3731, 3760 and 3761, Business and Professions Code.
HISTORY

1. New section filed 11-1-96; operative 12-1-96 (Register 96, No. 44).
2. Amendment of subsections (a), (c) and (e) filed 6-9-97; operative 7-9-97 (Register 97, No. 24).
3. Repealer filed 4-21-2003; operative 5-21-2003 (Register 2003, No. 17).
Article 8. Citations and Fines
§1399.376. Citation Review.
Note     •     History

(a) The person cited may, within 30 calendar days after the date of service of the citation, notify the Executive Officer, in writing, of his or her request for a citation review by the executive officer or a designated committee of the Board regarding the acts charged in the citation. Notification shall be through the United States Postal Service by certified or registered mail.
(b) The executive officer or committee shall hold, within 240 calendar days from the receipt of the request, a citation review with the person cited or his or her legal counsel or other authorized representative. At the conclusion of the citation review, the committee may affirm, modify or dismiss the citation, including any fine levied. The executive officer or committee shall state in writing the reasons for the action and serve a copy of its findings and decision on the person cited within 30 calendar days of the date of the citation review. This decision shall be deemed to be a final order of the Board with regard to the citation issued, including the fine levied.
NOTE

Authority cited: Section 3722, Business and Professions Code. Reference: Section 3761, Business and Professions Code.
HISTORY

1. New section filed 11-1-96; operative 12-1-96 (Register 96, No. 44).
2. Amendment filed 4-21-2003; operative 5-21-2003 (Register 2003, No. 17).
3. New article 8 heading filed 4-22-2004; operative 5-22-2004 (Register 2004, No. 17).
§1399.380. Citations.
Note     •     History

(a) The executive officer of the board or his or her designee is authorized to issue a citation to any person who holds a permit, certificate or license from the board for a violation of any provision of the Act or any regulation adopted by the board. 
(b) Each citation shall be in writing and shall describe with particularity the nature and facts of each violation specified in the citation, including a reference to the statute or regulation alleged to have been violated. 
(c) Each citation may contain an assessment of an administrative fine, payable within a time period designated by the board, not to exceed 365 days, an order of abatement fixing a reasonable time for abatement of the violation, or both, for each alleged violation. 
(d) Each citation shall inform the cited person of his or her right to a hearing and that such a request for a hearing be made in writing within 30 calendar days from the issuance date of the citation. 
(e) Each citation shall be served upon the individual by certified mail at the last address of record. 
(f) In assessing an administrative fine or issuing an order of correction or abatement, due consideration shall be given to the following factors: 
(1) the gravity of the violation 
(2) the good or bad faith exhibited by the cited person 
(3) the history of previous violations 
(4) the extent to which the cited person has cooperated with the board's investigation 
(g) The sanctions authorized under this section shall be separate from and in addition to any other administrative discipline, civil remedies, or criminal penalties. 
(h) Every citation that is issued pursuant to this article is a public record. 
(i) Once a fine is paid to satisfy an assessment based on the finding of a violation, the payment of the fine becomes public record. 
NOTE

Authority cited: Sections 125.9 and 3722, Business and Professions Code. Reference: Section 125.9, Business and Professions Code. 
HISTORY

1. Repealer and new section filed 12-17-91; operative 1-16-92 (Register 92, No. 10).
2. Repealer of subsections (c) and (e), subsection relettering and amendment of subsections (a)-(d) filed 5-24-93; operative 6-23-93 (Register 93, No. 22).
3. Amendment of subsection (c), repealer of subsection (d), subsection relettering, amendment of newly designated subsections (d), (f), (h) and (i), and amendment of Note filed 5-22-95; operative 6-21-95 (Register 95, No. 21).
4. Amendment of subsections (a)-(c), (e) and (j) filed 5-28-96; operative 5-28-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 22).
5. Amendment of first paragraph and subsections (c), (f), (g) and (j) filed 6-9-97; operative 7-9-97 (Register 97, No. 24).
6. Renumbering of former section 1399.380 to section 1399.395 and new section 1399.380 filed 4-21-2003; operative 5-21-2003 (Register 2003, No. 17).
7. Repealer of article 8 heading filed 4-22-2004; operative 5-22-2004 (Register 2004, No. 17).
§1399.381. Fines.
Note     •     History

(a) Fines shall be assessed in accordance with the following schedule, provided, however, in no case shall the total exceed $2,500 for each violation.  

B&PC	Description	Range of Fines  

480	Grounds for denial of an application 
	for licensure/certificate	$100 to $2,500
3731	Title Used by Licensee	$25 to $2,500
3739	Practice During License Process	$100 to $2,500
3750(a)	Advertising	$250 to $2,500
3750(b)	Fraud in the procurement of any license	$1,000 to $2,500
3750(c)	Knowingly employing unlicensed persons	$100 to $2,500
3750(d)	Conviction of Crime	$100 to $500
3750(e)	Impersonating an applicant in any 
	examination	$1,500 to $2,500
3750(f)	Negligence	$100 to $2,500
3750(g)	Conviction of a violation of any 
	provision of Division 2	$100 to $2,500
3750(h)	Aiding/Abetting person to violate this 
	chapter	$1000 to $2,500
3750(i)	Aiding/abetting person to engage in 
	unlawful practice	$1000 to $2,500
3750(j)	Commission of any fraudulent, dishonest 
	or corrupt act	$100 to $2,500
3750(k)	Falsifying/ incorrect/ inconsistent entries
	in record 	$500 to $2,500
3750(l)	Changing prescription/falsifying orders 
	for treatment	$1000 to $2,500
3750(m)	Discipline taken by another agency	$100 to $2,500

B&PC	Description	Range of Fines  

3750(n)	Knowing failure to protect 
	patients--infection control	$1000 to $2,500
3750(o)	Incompetence	$500 to $2,500
3750(p)	Pattern of substandard care	$1000 to $2,500
3750.5	Obtained/Possessed/Use of Drugs	$100 to $2,500
3750.6	Production of Work Permit or 
	Pocket License for Inspection	$25 to $100
3753.1	Probation Monitoring Costs 	Actual +$25 to
		$500
3753.5	Cost Recovery 	Actual +$25 to
		$500
3754.5	Licensee who obtains license by fraud
	or misrepresentation	$1000 to $2,500
3755	Unprofessional Conduct	$250 to $2,500
3758.5	RCP to report any known violation made 
	by other RCP	$250 to $2,500
3760(a)	Practice without a License	$50 to $2,500
3761(a)	Misrepresentation in claim of license to
	practice	$100 to $1,000
3761(b)	Knowingly employ unlicensed personnel	$100 to $2,500
3773(a)	License renewal - notice of conviction	$100 to $2,500
3773(b)	License renewal - identification of current
	employer(s)	$100 to $2,500

Regulations	Description	Range of Fines

1399.304	Current address	$25 to $250
1399.350	CE requirements	$50 to $1,500 
(b) Administrative fines collected pursuant to this section shall be deposited into the board's special fund. 
NOTE

Authority cited: Sections 125.9 and 3722, Business and Professions Code. Reference: Sections 125.9, 136, 480, 3731, 3739, 3750, 3750.5, 3750.6, 3753.1, 3753.5, 3754.5, 3755, 3758.5, 3758.6, 3760 and 3773, Business and Professions Code; and Sections 1399.304 and 1399.350, Title 16, California Code of Regulations. 
HISTORY

1. New section filed 4-21-2003; operative 5-21-2003 (Register 2003, No. 17).
§1399.382. Appeals.
Note     •     History

(a) Any person served with a citation may contest the citation by appealing to the board in writing, within 30 calendar days of the issuance of the citation. 
(b) If the cited person fails to notify the board of his or her intent to contest the citation, the citation shall be deemed a final order of the board. 
(c) If a cited person notifies the board that he or she intends to contest a citation, the board shall afford an opportunity for a citation review in accordance with section 1399.376 of the board's regulations or a hearing in accordance with the provisions of Chapter 5 (commencing with section 11500) of Part 1 of Division 3 of Title 2 of the Government Code. 
(d) The failure of a cited person who has appealed to the board to appear at the time and place of the citation review or hearing shall be deemed a withdrawal of his or her appeal, and the citation shall constitute a final order of the board. 
NOTE

Authority cited: Sections 125.9 and 3722, Business and Professions Code. Reference: Section 125.9, Business and Professions Code; Section 1399.376, Title 16, California Code of Regulations; and Sections 11500, et seq., Government Code. 
HISTORY

1. New section filed 4-21-2003; operative 5-21-2003 (Register 2003, No. 17).
§1399.383. Failure to Comply with Citation.
Note     •     History

The failure to comply with a citation containing an assessment of an administrative fine or an order of abatement or both after the citation is final and has been properly served shall result in one or more of the following: 
(a) the non renewal of a license. 
(b) referral to collection entities to collect the fine. 
(c) the pursuit of further legal action by the board to collect the fine. 
NOTE

Authority cited: Sections 125.9 and 3722, Business and Professions Code. Reference: Section 125.9, Business and Professions Code. 
HISTORY

1. New section filed 4-21-2003; operative 5-21-2003 (Register 2003, No. 17).
§1399.384. Licensee Reporting.
Note     •     History

Information required to be disclosed by any person issued a license to practice respiratory care, whether that license is valid or invalid, as provided in Section 3758.5 of the B&PC shall be disclosed to the board within 10 calendar days from the date the person knows or should have reasonably known of a violation or probable violation has occurred. 
NOTE

Authority cited: Sections 3722 and 3758, Business and Professions Code. Reference: Section 3758, Business and Professions Code. 
HISTORY

1. New section filed 4-21-2003; operative 5-21-2003 (Register 2003, No. 17).
§1399.385. Employer Reporting.
Note     •     History

Information required to be disclosed by any employer of a respiratory care practitioner as provided in Sections 3758 and 3758.6 of the B&PC shall be disclosed to the board within 10 calendar days from the date of suspension or termination, whichever occurs first. 
NOTE

Authority cited: Sections 3722 and 3758, Business and Professions Code. Reference: Section 3758, Business and Professions Code. 
HISTORY

1. New section filed 4-21-2003; operative 5-21-2003 (Register 2003, No. 17).
§1399.387. Citations--Employer.
Note     •     History

(a) The executive officer of the board or his or her designee is authorized to issue a citation to any employer for a violation of sections 3717, 3758 and 3758.6 of the B&PC or Section 1399.385 of the regulations. 
(b) Each citation shall be in writing and shall describe with particularity the nature and facts of each violation specified in the citation, including a reference to the statute or regulation alleged to have been violated. 
(c) Each citation may contain an assessment of an administrative fine, payable within a time period designated by the board, not to exceed 365 days, an order of abatement fixing a reasonable time for abatement of the violation, or both, for each alleged violation. 
(d) Each citation shall inform the cited employer of its right to a hearing and that such a request for a hearing be made in writing within 30 days from the issuance date of the citation. 
(e) Each citation shall be served upon the employer by certified mail at the last address of record. 
(f) In assessing an administrative fine or issuing an order of correction or abatement, due consideration shall be given to the following factors: 
(1) the gravity of the violation 
(2) the good or bad faith exhibited by the employer 
(3) the history of previous violations 
(4) the extent to which the employer has cooperated with the board's investigation 
(g) The sanctions authorized under this section shall be separate from and in addition to any other administrative discipline, civil remedies, or criminal penalties. 
(h) Every citation that is issued pursuant to this article is a public record. 
(i) Once a fine is paid to satisfy an assessment based on the finding of a violation, the payment of the fine becomes a public record. 
NOTE

Authority cited: Sections 125.9, 3722, 3758 and 3758.6, Business and Professions Code. Reference: Sections 125.9, 3717, 3758 and 3758.6, Business and Professions Code. 
HISTORY

1. New section filed 4-21-2003; operative 5-21-2003 (Register 2003, No. 17).
§1399.388. Fines--Employer.
Note     •     History

(a) Failure of an employer to provide reports or records or allow inspections as required by Section 3717 of the B&PC shall be punishable by an administrative fine ranging from $250 to $2,500. 
(b) Failure of an employer to make a report required by Section 3758 of the B&PC shall be punishable by an administrative fine ranging from $2,500 to $10,000. 
(c) Failure of an employer to make a report as required by Section 3758.6 of the B&PC shall be punishable by an administrative fine ranging from $500 to $2,500. 
(d) Administrative fines collected pursuant to this section shall be deposited into the board's special fund. 
NOTE

Authority cited: Sections 3722 and 3758, Business and Professions Code. Reference: Sections 3717, 3758 and 3758.6, Business and Professions Code. 
HISTORY

1. New section filed 4-21-2003; operative 5-21-2003 (Register 2003, No. 17).
§1399.389. Appeals--Employer.
Note     •     History

(a) Any employer served with a citation, may contest the citation by appealing to the board in writing, within 30 calendar days of the issuance of the citation. 
(b) If the cited employer fails to notify the board of his or her intent to contest the citation, the citation shall be deemed a final order of the board and shall not be subject to administrative review. 
(c) If a cited employer notifies the board that it intends to contest a citation, the board shall afford an opportunity for a hearing. The board shall thereafter issue a decision based on findings of fact, affirming, modifying or vacating the citation or penalty or both, or directing other appropriate relief. The proceedings under this section shall be conducted in accordance with the provisions of Chapter 5 (commencing with section 11500) of Part 1 of Division 3 of Title 2 of the Government Code. 
(d) The failure of a cited employer that has appealed to the board to appear at the time and place of the hearing shall be deemed a withdrawal of its appeal, and the citation shall constitute a final order of the board and shall not be subject to administrative review. 
NOTE

Authority cited: Sections 125.9 and 3722, Business and Professions Code. Reference: Section 125.9, Business and Professions Code; and Section 11500, et seq., Government Code. 
HISTORY

1. New section filed 4-21-2003; operative 5-21-2003 (Register 2003, No. 17).
§1399.390. Failure to Comply with Citation--Employer.
Note     •     History

The failure to comply with a citation containing an assessment of an administrative fine or an order of abatement or both after the citation is final and has been properly served shall result in the pursuit of further action by the board to collect the fine. 
NOTE

Authority cited: Sections 3722 and 3758, Business and Professions Code. Reference: Section 3758, Business and Professions Code.
HISTORY

1. New section filed 4-21-2003; operative 5-21-2003 (Register 2003, No. 17).
§1399.391. Citation and Fine -- Unlicensed Personnel.
Note     •     History

(a) The executive officer or his or her designee is authorized to determine when and against whom a citation will be issued and to issue a citation to any person, or employer of a person, who acts in the capacity of or engages in the business of a respiratory care practitioner in this state without having a license in good standing pursuant to the Act and who is not otherwise exempted from the provisions of the Act. Each citation for unlicensed activity shall contain an order of abatement, and shall be in writing and state with particularity the basis of the citation. “Employer,” as used in this section, means any entity or person that employs or contracts with one or more persons who are acting in the capacity of, or engaged in the business of, a respiratory care practitioner, including but not limited to, any person, facility, company, corporation, partnership, organization or health maintenance organization.
(b) An administrative fine shall be paid within the time period designated in the citation, not to exceed 365 days. The amount of an administrative fine shall be separate from section 1399.381 and in accordance with section 3767(b)(2) of the B&PC.
(c) A citation shall inform the cited person or employer of his or her right to a hearing and that such a request for a hearing be made in writing within 15 calendar days after service of the citation. A citation shall be served upon the individual or employer by certified mail.
(d) In assessing an administrative fine and issuing an order of abatement, due consideration shall be given to the following factors for each violation:
(1) the gravity of the violation;
(2) the good or bad faith exhibited by the cited person or employer;
(3) the history of previous violations;
(4) the extent to which the cited person or employer has cooperated with the board's investigation.
(e) A cited person or employer who wishes to contest the citation may serve a written appeal on the board, within 15 calendar days after service of the citation, through the United States Postal Service by certified or registered mail.
(f) If the cited person or employer notifies the board that he/she/it intends to contest a citation, the board shall afford an opportunity for a hearing. The board shall thereafter issue a decision based on findings of fact, affirming, modifying or vacating the citation with its fine or order of abatement, or directing other appropriate relief. The proceedings under this section shall be conducted in accordance with the provisions of Chapter 5 (commencing with section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
(g) The failure of a cited person or employer to appear at the time and place of the hearing shall be deemed a withdrawal of the appeal, and the citation shall constitute a final order of the board and shall not be subject to further administrative review.
NOTE

Authority cited: Sections 3722, 3760, 3761, 3766 and 3767, Business and Professions Code. Reference: Sections 3760, 3761, 3766 and 3767, Business and Professions Code.
HISTORY

1. New section filed 9-7-2006; operative 10-7-2006 (Register 2006, No. 36).
Article 9. Fees
§1399.395. Fee Schedule.
Note     •     History

The following schedule of fees is hereby adopted pursuant to Sections 3775 and 3775.5 of the B&PC:

(a) 	Application fee	$200
(b)	Application fee [pursuant to Section 3740(c)]	$250
(c)	Examination fee	$190
(d)	Re-examination fee	$150
(e)	Initial license fee	$200
	(This fee is prorated based on the length of the initial license period)
(f)	Renewal fee for licenses expiring on or after January 1, 2002	$230
(g) 	Delinquency fee (not more than 2 years after expiration)	$230
(h)	Delinquency fee (after 2 years but not more than 3 years after 
	expiration)	$460
(i) 	Inactive license fee	$230
(j) 	Duplicate license fee	$25
(k) 	Endorsement fee	$75
NOTE

Authority cited: Sections 3722, 3775 and 3775.5, Business and Professions Code. Reference: Sections 3775 and 3775.5, Business and Professions Code.
HISTORY

1. Renumbering of former section 1399.380 to section 1399.395 filed 4-21-2003; operative 5-21-2003 (Register 2003, No. 17).
2. New article 9 heading and amendment of section and Note filed 4-22-2004; operative 5-22-2004 (Register 2004, No. 17).
Division 13.7. Acupuncture Examining Committee of the Board of Medical Quality Assurance
Article 1. General Provisions
§1399.400. Citation.
Note     •     History

This chapter may be cited and referred to as the “Acupuncture Regulations.”
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Section 4933, Business and Professions Code.
HISTORY

1. New Chapter 13.6 (Sections 1399.400-1399.461, not consecutive) filed 12-20-76 as an emergency; effective upon filing (Register 76, No. 52).
2. Certificate of Compliance filed 4-18-77 (Register 77, No. 17).
3. Amendment of NOTE filed 4-26-79; effective thirtieth day thereafter (Register 79, No. 17).
4. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
5. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
6. Renumbering of Chapter 13.6 (Sections 1399.400-1399.480, not consecutive) to Chapter 13.7 filed 12-14-84; effective thirtieth day thereafter (Register 84, No. 50).
7. Amendment of Chapter 13.7 heading filed 3-8-85; effective thirtieth day thereafter (Register 85, No. 10).
§1399.401. Location of Offices.
Note     •     History

NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Section 4927, 4933 and 2015, Business and Professions Code.
HISTORY

1. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
2. Amendment filed 7-2-92; operative 7-2-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 28).
3. Repealer filed 3-19-96; operative 3-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 12).
§1399.402. Tenses, Gender and Number.
Note     •     History

NOTE

Authority cited: Section 4933, Business and Professions Code.
HISTORY

1. Repealer filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
§1399.403. Definitions.
Note     •     History

For the purpose of the regulations contained in this chapter, the terms
(a) “Board” shall mean the Acupuncture Board.
(b) “Code” shall mean the Business and Professions Code.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4927 and 4933, Business and Professions Code.
HISTORY

1. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
2. Amendment of subsections (a) and (c) filed 7-2-92; operative 7-2-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 28).
3. Repealer of subsection (b), subsection relettering, and amendment of Note filed 3-19-96; operative 3-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 12).
4. Change without regulatory effect repealing subsection (a), relettering subsections, and amending newly designated subsection (a) and amending Note filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
§1399.404. Administration of Chapter.
Note     •     History

NOTE

Authority cited: Section 4933, Business and Professions Code.
HISTORY

1. Repealer filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
§1399.405. Delegation of Functions.
Note     •     History

Except for those powers reserved exclusively to the “agency itself” under the Administrative Procedure Act Section 11500, et seq. of the Government Code, the board delegates and confers upon the executive officer of the board, or in his or her absence, the executive director of the board, all functions necessary to the dispatch of business of the board in connection with investigative and administrative proceedings under the jurisdiction of the board.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4955 and 4960, Business and Professions Code; and Section 11500, Government Code.
HISTORY

1. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
3. Change without regulatory effect amending section filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
§1399.406. Filing of Addresses.
Note     •     History

Each person holding a license, registration, approval or any other authority issued under this chapter shall file his or her proper and current mailing address with the board, and shall notify the board, in writing, within thirty (30) days of any and all changes of mailing address, giving both the old and new address.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4925, 4927, 4955 and 4960, Business and Professions Code.
HISTORY

1. New section filed 4-26-79; effective thirtieth day thereafter (Register 79, No. 17).
2. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
3. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
4. Amendment of section and Note filed 3-19-96; operative 3-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 12).
5. Change without regulatory effect amending section filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
Article 2. Applications Generally
§1399.410. Verification.
Note     •     History

All statements submitted by or on behalf of an applicant shall be made under penalty of perjury.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4938 and 4944, Business and Professions Code.
HISTORY

1. Renumbering of Article 2, Sections 1399.415-1399.423 to Sections 1399.410-1399.418 filed 2-8-80; effective thirtieth day thereafter (Register 80, No. 6). For prior history, see Registers 79, No. 17; 78, No. 6; 77, No. 51 and 77, No. 35.
2. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
§1399.411. Certification of Documentation.
Note     •     History

Documentation submitted by or on behalf of the applicant shall be certified by the appropriate official or governmental seal or authority. The board in its discretion may waive this requirement when it is determined that it cannot be obtained through the exercise of due diligence.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Section 4938 and 4944, Business and Professions Code.
HISTORY

1. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
2. Change without regulatory effect amending section filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
§1399.412. Translation Required.

All documentation submitted in a language other than English shall be accompanied by a translation into English certified by a translator other than the applicant who shall attest to the accuracy of such translation under penalty of perjury.
§1399.413. Application Deadline.
Note     •     History

(a) All new applications for examination shall be submitted on a form provided by the board, accompanied by such statements and documents as required. All such applications shall be received in the board's Sacramento office at least 120 calendar  days prior to the date of the examination for which the application is made.
(b) All applications for re-examination shall be submitted on a form provided by the board (“Application Update for Examination/Licensure”, revised 3/96), accompanied by such statements and documents as required. All such applications shall be received in the board's office at least 30 calendar days prior to the date of the examination for which the application is made.
(c) All transcripts and supporting documents from qualifying educational institutions or tutorial supervisors shall be received in the board's office at least 30 calendar days prior to the date of examination for which an application was made.
(d) The board may waive the foregoing filing dates if there are difficulties with the administration of the examination or other circumstances warrant.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4938, 4939, 4940, 4941 and 4944, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
3. Amendment filed 4-4-94; operative 5-4-94  (Register 94, No. 14).
4. Amendment of newly designated subsection (a), new subsections (b)-(d), and amendment of Note filed 3-19-96; operative 3-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 12).
5. Amendment of subsections (a), (b) and (c) filed 7-29-98; operative 8-28-98 (Register 98, No. 31).
6. Change without regulatory effect amending section filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
§1399.414. Denial of Applications.
Note     •     History

(a) Any applicant whose application is denied, may submit within fifteen (15) calendar days from the date of rejection, a request in writing that his or her application be presented to the board for further evaluation.
(b) If the board determines that an applicant has met the requirements for acupuncture licensure, it shall schedule the applicant for examination.
(c) Nothing in this section shall be constructed to deprive an applicant of his or her rights of appeal as afforded by other provisions of law.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4938 and 4944, Business and Professions Code.
HISTORY

1. Amendment of subsection (b) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
3. Amendment filed 12-11-84; effective thirtieth day thereafter (Register 84, No. 50).
4. Amendment of subsection (a) filed 7-2-92; operative 7-2-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 28).
5. Repealer of subsection (b), subsection relettering, and amendment of newly designated subsection (b) filed 7-29-98; operative 8-28-98 (Register 98, No. 31).
6. Change without regulatory effect amending subsections (a) and (b) filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
§1399.415. Documentation of Training.
Note     •     History

(a) Each applicant shall have completed the education or tutorial requirements set forth in these regulations as documented by the registrar of each school from which the applicant attended or from the applicant's tutor, in the case of a tutorial program.
(b)(1) All applicants for examination who are enrolled in an approved acupuncture and Oriental medicine educational training program prior to January 1, 2005, shall have completed the coursework and training set forth in Section 1399.436.
(2) All applicants for examination who are enrolled in an approved acupuncture and Oriental medicine educational training program on or after January 1, 2005, shall have completed the coursework and training set forth in Section 1399.434.
(c) All applicants applying for examination shall meet the minimum educational or tutorial requirements set forth in these regulations at least thirty (30) days prior to the date of the examination for which the application has been made.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4938, 4939, 4940, 4941 and 4944, Business and Professions Code.
HISTORY

1. New section filed 5-16-85; effective thirtieth day thereafter (Register 85, No. 20). For history of former Section 1399.415, see Registers 84, No. 50; 83, No. 42 and 81, No. 32.
2. Amendment of subsection (b), new subsection (c), and amendment of Note filed 3-19-96; operative 3-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 12).
3. Amendment filed 10-5-2004; operative 11-4-2004 (Register 2004, No. 41).
§1399.416. Equivalent Training and Clinical Experience Qualifying for Licensure.
Note     •     History

In order for documented educational training and clinical experience to qualify for licensure under Section 4938, subdivision (b)(3) of the Code, the applicant shall document that such education and experience meets the requirements of Section 1399.436, subsections (a), (b), and (c) or, if applicable, Section 1399.434. All foreign trained applicants shall submit documentation of his or her education to a credentials evaluation service that is a member of the National Association of Credentials Evaluation Services, Inc. for review and a report to the board. This report shall be filed by the applicant with his or her application for examination.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4925, 4938, 4939, 4940, 4941 and 4944, Business and Professions Code.
HISTORY

1. New section filed 2-17-87; effective thirtieth day thereafter (Register 87, No. 16). For history of former Section, see Register 83, No. 42.
2. Amendment of section heading, section and Note filed 3-19-96; operative 3-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 12).
3. Amendment filed 7-29-98; operative 8-28-98 (Register 98, No. 31).
4. Amendment filed 10-5-2004; operative 11-4-2004 (Register 2004, No. 41).
§1399.417. Abandonment of Applications.
Note     •     History

(a) An application for examination shall be deemed to have been abandoned and the applicant's fee forfeited in any of the following circumstances:
1. The applicant fails to complete his or her application within 180 calendar days after it has been filed. An application shall be deemed complete when all documents and information required to determine eligibility for examination have been submitted to the board.
2. The applicant fails to take the licensing examination within two years after the date that he or she is notified by the board of his/her eligibility to take the examination, unless prior to the application being deemed abandoned, the applicant submits a written explanation to the board, of his or her inability to appear for the examination. The board may extend the applicant's eligibility to take the examination for two more consecutive administrations of the examination.
3. The applicant, after failing the examination, fails to take a re-examination within two years after the date the applicant was notified of such failure, unless prior to the application being deemed abandoned, the applicant submits a written explanation to the board, of his or her inability to appear for the examination. The board may extend the applicant's eligibility to take the examination for two more consecutive administrations of the examination.
(b) An application submitted after the abandonment of a former application for examination shall be treated as a new application.
(c) An applicant who, after passing the examination, fails to submit a complete application for licensure within three years after the date he or she is notified of his or her eligibility for licensure shall be deemed to have abandoned his or her application for licensure. An application submitted after the abandonment for a former application for licensure shall be treated as a new application and the applicant shall take and pass the examination, if any, which would be required of him or her if an initial application for licensure was being made.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4933, 4938 and 4944, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
3. Repealer and new section filed 7-25-97; operative 8-24-97 (Register 97, No. 30).
4. Amendment of subsection (a)1. filed 7-29-98; operative 8-28-98 (Register 98, No. 31).
5. Change without regulatory effect amending subsections (a)1.-3. filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
6. Change without regulatory effect amending subsection (c) filed 6-20-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 25).
§1399.418. Failure to Appear for Examination--Withdrawal of Application. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4933 and 4944, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
3. Amendment of first paragraph filed 7-2-92; operative 7-2-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 28).
4. Repealer filed 7-25-97; operative 8-24-97 (Register 97, No. 30).
§1399.419. Review and Processing of Exam Applications.
Note     •     History

(a) Within forty-five (45) calendar days after receipt of an application for examination, the board shall inform the applicant whether the application is complete and accepted for filing or that it is deficient and what specific information or documentation is required to complete the application.
(b) Within forty-five (45) calendar days of receipt of a completed application, the applicant will be notified as to his/her eligibility for the written examination.
(c) Within thirty (30) calendar days from the date the written examination is administered, candidates will be notified of their results, and if passed, will be offered, upon payment of the specified fee, a license to practice acupuncture.
(d) The minimum, median and maximum processing times for examination  results from the time of receipt of a complete application until the board makes a decision is set forth below.

	Minimum	-- 130 calendar days
	Median	-- 155 calendar days
	Maximum	-- 180 calendar days
These processing times apply to those candidates who take and pass the first available examination and who submit a complete application by the first available application deadline.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Section 15376, Government Code; and Sections 4938 and 4944, Business and Professions Code.
HISTORY

1. New section filed 7-2-92; operative 7-2-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 28).
2. Amendment of section and Note filed 7-29-98; operative 8-28-98 (Register 98, No. 31).
3. Change without regulatory effect amending subsections (a) and (e) filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
4. Change without regulatory effect amending subsection (c), repealing subsection (d) and relettering subsections filed 6-20-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 25).
§1399.419.1. Response to Board Inquiry.
Note     •     History

If the board or its designee asks a licensee to provide criminal history information, a licensee shall respond to that request within 30 days. The licensee shall make available all documents and other records requested and shall respond with accurate information. 
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 144, 4928.1, 4955 and 4965, Business and Professions Code; and Section 11105, Penal Code.
HISTORY

1. New section filed 9-23-2010; operative 10-23-2010 (Register 2010, No. 39).
§1399.419.2. Fingerprint and Disclosure Requirements for Renewal of License.
Note     •     History

(a) As a condition of renewal for a license that expires on or after January 1, 2011, a licensee who was initially licensed prior to January 1, 2001, or for whom an electronic record of the submission of fingerprints no longer exists, shall furnish to the Department of Justice a full set of fingerprints for the purpose of conducting a criminal history record check and to undergo a state and federal level criminal offender record information search conducted through the Department of Justice. 
(1) The licensee shall pay any costs for furnishing the fingerprints and conducting the searches. 
(2) A licensee shall certify when applying for renewal whether his or her fingerprints have been furnished to the Department of Justice in compliance with this section. 
(3) This requirement is waived if the licensee is renewed in an inactive status, or is actively serving in the military outside the United States. 
(4) A licensee shall retain, for at least three years from the renewal date, either a receipt showing the electronic transmission of his or her fingerprints to the Department of Justice or a receipt evidencing that the licensee's fingerprints were taken. 
(b) As a condition of renewal, a licensee shall disclose whether, since the licensee last applied for renewal, he or she has been convicted of any violation of the law of this or any other state, the United States, or other country, omitting traffic infractions under $300 not involving alcohol, dangerous drugs as defined in Section 4022 of the Code, or controlled substances. 
(c) As a condition of renewal, a licensee shall disclose whether, since the licensee last applied for renewal, he or she has been denied a license or had a license disciplined by another licensing authority of this state, of another state, of any agency of the federal government, or of another country. 
(d) Failure to comply with the requirements of this section renders any application for renewal incomplete and the license may not be renewed until the licensee demonstrates compliance with all requirements. 
(e) Failure to furnish a full set of fingerprints to the Department of Justice as required by this section on or before the date required for renewal of a license is grounds for discipline by the Board. 
(f) Before a license in inactive status may be activated, the licensee shall comply with this section. A licensee who is serving in the military outside of the United States shall immediately comply with this section upon his or her return to the United States unless the return is for less than thirty days. 
NOTE

Authority cited: Sections 144 and 4933, Business and Professions Code. Reference: Sections 4928.1, 4955 and 4965, Business and Professions Code; and Section 11105, Penal Code. 
HISTORY

1. New section filed 9-23-2010; operative 10-23-2010 (Register 2010, No. 39).
Article 3. Acupuncture Tutorials
§1399.420. Citation and Reference.
Note     •     History

This article shall be cited and referred to as the “Acupuncture Tutorial Regulations.”
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference cited: Sections 4939, 4940 and 4941, Business and Professions Code.
HISTORY

1. New Article 3 (Sections 1399.420-432) filed 2-8-80; effective thirtieth day thereafter (Register 80, No. 6). For history of former Article 3, see Registers 79, No. 17; 78, No. 51; 78, No. 43 and 77, No. 35.
2. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
3. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
§1399.421. Definitions.
Note     •     History

As used in these regulations:
(a) “Acupuncture tutorial” means an acupuncture tutorial program which is approved by the board pursuant to Sections 4939 and 4940 of the code which when successfully completed meets the requirements of Section 4938 of the code for licensure as an acupuncturist.
(b) “Supervising acupuncturist” or “supervisor” means a licensed acupuncturist who is approved by the board to provide an acupuncture tutorial to a trainee who is registered with the board pursuant to Section 4940 of the code and these regulations. Pursuant to Section 4940 no physician, podiatrist or dentist may be a supervising acupuncturist unless he or she is a licensed acupuncturist.
(c) “Trainee” means a person who is registered with the board in order to participate in an acupuncture tutorial under a supervising acupuncturist.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference cited: Sections 4925, 4938, 4939 and 4940, Business and Professions Code.
HISTORY

1. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
3. Amendment of subsections (a) and (b) and amendment of Note filed 7-25-97; operative 8-24-97 (Register 97, No. 30).
4. Change without regulatory effect amending section filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
§1399.422. Prior Approval to Practice as an Acupuncture Trainee.
Note     •     History

No person shall practice acupuncture in tutorial without the prior approval of the board.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference cited: Sections 4939 and 4940, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
3. Change without regulatory effect amending section filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
§1399.423. Prior Approval to Supervise an Acupuncture Trainee.
Note     •     History

No acupuncturist shall supervise any person in an acupuncture tutorial without the prior approval of the board.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference cited: Sections 4939 and 4940, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 10-14-83, effective thirtieth day thereafter (Register 83, No. 42).
3. Change without regulatory effect amending section filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
§1399.424. Filing of Applications; Credit for Prior Training.
Note     •     History

(a) Applications for approval as an acupuncture trainee shall be filed on a form provided by the board at its Sacramento office and accompanied by the application fee required in Section 1399.461.
(b) Applications for approval to supervise an acupuncture trainee shall be filed on a form provided by the board at its Sacramento office and accompanied by any necessary documents, including the training agreement, and the application fee required in Section 1399.461.
(c) Any prior training and experience already obtained within ten (10) years of the date of the application by the trainee, which meets the standards of the board may be considered when developing a training plan between a supervisor and trainee, and specifically the required hours of theoretical and clinical training may be reduced on account of such prior training and experience. Evidence of such prior training and experience should be submitted to the board for its review with the applications for registration of the supervising acupuncturist and trainee.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference cited: Sections 4939, 4940 and 4941, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
3. Amendment of subsection (c) filed 4-4-94; operative 5-4-94 (Register 94, No. 14).
4. Amendment of subsection (c) filed 1-4-99; operative 1-4-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 2).
5. Change without regulatory effect amending section filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
§1399.425. Requirements for Approval of an Acupuncture Tutorial.
Note     •     History

(a) An acupuncture tutorial shall provide a trainee with a structured learning experience in all the basic skills and knowledge necessary for the independent practice of acupuncture.
(b) An acupuncture tutorial which is in the nature of on-the-job training may be full time or part time employment relationship, however, the training plan and proposed supervision shall be contained in a written agreement between the supervisor and trainee. There shall be no tuition fees charged to the trainee by the supervising acupuncturist.
(c) An acupuncture tutorial shall provide formal clinical training with supplemental theoretical and didactic instruction. The theoretical and didactic training required in subsections (e)(8) through (e)(20) shall be obtained in an approved acupuncture school or another postsecondary educational institution which is accredited or approved under Article 7 (commencing with Section 94900) of Chapter 7 Part 59 of the Education Code or is accredited by a regional accrediting agency authorized by the U.S. Department of Education.
(d) The clinical training shall consist of a minimum of 2250 hours in the following areas:
(1) Practice observation
(2) History and physical examination
(3) Therapeutic treatment planning
(4) Preparation of the patient
(5) Sterilization, use and maintenance of equipment
(6) Moxibustion
(7) Electroacupuncture (AC and DC voltages)
(8) Body and auricular acupuncture
(9) Treatment of emergencies, including cardiopulmonary resuscitation
(10) Pre- and post-treatment instructions to the patient
(11) Contraindications and precautions
(e) The theoretical and didactic training shall consist of a minimum of 1548 hours (approximately 100 semester units) in the following areas:

Minimum
Class Hours

(1) Traditional Oriental medicine--a survey of the theory and practice of traditional diagnostic and therapeutic procedures.

(2) Acupuncture anatomy and physiology--fundamentals of acupuncture, including the meridian system, special and extra loci, and auriculotherapy.

(3) Acupuncture techniques--instruction in the use of needling techniques, moxibustion, electroacupuncture, including contraindications and complications. Tutorial trainees shall either (1) successfully complete, at a board approved acupuncture school, a course which requires a student to pass an examination in clean needle technique that uses as its primary reference the most current edition of the “Clean Needle Technique Manual”, published by the National Acupuncture Foundation, or (2) successfully complete a Clean Needle Technique course administered by the Council of Colleges of Acupuncture and Oriental Medicine.

(4) Acupressure.

(5) Breathing techniques--introductory course in Qi Gong.

(6) Traditional Oriental exercise--introductory course in Tai Chi
Chuan.	660

(7) Traditional Oriental herbology including botany.	300

(8) Practice management--instruction in the legal and ethical aspects of maintaining a professional practice, including record keeping, professional liability, patient accounts, and referral procedures.

(9) Ethics relating to the practice of acupuncture.	30

Minimum
Class Hours

(10) Clinical medicine--a survey of the clinical practice of medicine, osteopathy, dentistry, psychology, nursing, chiropractic, podiatry, and homeopathy to familiarize practitioners with the practices of other health care practitioners.

(11) History of medicine--a survey of medical history, including transcultural healing practices.

(12) Medical terminology--fundamentals of English language medical terminology.

(13) General sciences--a survey of or courses in general biology, chemistry, and physics.

(14) Anatomy--a survey of microscopic and gross anatomy and neuroanatomy.

(15) General Psychology--including counseling skills.

(16) Physiology--a survey of basic physiology, including neurophysiology, endocrinology, and neurochemistry.

(17) Pathology--a survey of the nature of disease and illness, including microbiology, immunology, psychopathology, and epidemiology.

(18) Clinical sciences--a review of internal medicine, pharmacology, neurology, surgery, obstetrics/gynecology, urology, radiology, nutrition, vitamins,  and public health.

(19) Western pharmacology.	558

(20) A minimum of eight (8) hours in a certified course offering first-aid and adult/child cardiopulmonary resuscitation (CPR). Such course shall be taken from the American Red Cross, American Heart Association or other organization with an equivalent course work approved by the Board.
(f) The course work specified in this section shall extend over a minimum period of four (4) academic years, eight (8) semesters, twelve (12) quarters, nine (9) trimesters, or thirty-six (36) months. No more than 1500 hours of clinical training and/or theoretical and didactic training is to be completed per twelve (12) month period.
(g) The acupuncture services provided by the trainee shall be done so in a manner which does not endanger the health and welfare of patients receiving such services.
No trainee shall render acupuncture services to any patient unless the patient has been informed that such services will be rendered by that trainee. The patient on each occasion of treatment shall be informed of the procedure to be performed by the trainee under the supervision of the supervising acupuncturist and have consented in writing prior to performance to permit such rendering of the acupuncture procedure by the trainee. The foregoing requirements shall also be applied to those instances wherein the trainee is to assist the supervisor in the rendering of acupuncture services.
(h) The acupuncture tutorial training program shall be set forth in a written agreement signed by the supervisor and trainee which sets forth, but is not limited to, the training plan, length of training time, the method for providing the theoretical and didactic training and guidelines for supervision of the acupuncture services rendered by the trainee. A copy of such written agreement shall be submitted with the application for approval.
(i) As a condition of approval, or continued approval, all tutorial programs are subject to an on-site visit by representatives of the board to review and evaluate the status of the program. It will be the responsibility of the trainee and supervisor to reimburse the board for direct costs incurred in conducting such review and evaluation.
(j) Acupuncture trainees shall have met the following prerequisites prior to the approval of the tutorial program:
(1) Be at least 18 years of age.
(2) Successful completion of an approved high school course of study or have passed a standard equivalency test.
(k) An acupuncture tutorial shall be made available regardless of sex, race, religion, creed, color or physical handicap.
(l) The requirements of this section shall not apply to persons who commenced a tutorial and registered with the board as provided in Section 1399.424 prior to January 1, 1999. Such persons shall meet the curriculum and clinical training requirements in effect at the time that their application for a tutorial program was approved by the board.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4925, 4939, 4940 and 4941, Business and Professions Code.
HISTORY

1. Amendment of subsection (d)(8) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
3. Amendment of subsection (c) filed 8-16-89; operative 9-15-89 (Register 89, No. 33).
4. Repealer and new subsections (e)(1)-(11) filed 4-4-94; operative 5-4-94 (Register 94, No. 14).
5. Amendment of subsections (a) and (c) and amendment of Note filed 7-25-97; operative 8-24-97 (Register 97, No. 30).
6. Amendment filed 1-4-99; operative 1-4-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 2).
7. Change without regulatory effect amending section filed 9-30-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 40).
§1399.426. Supervising Acupuncturist's Responsibilities.
Note     •     History

Each supervising acupuncturist shall have the following duties and responsibilities:
(a) A supervisor shall at all times be responsible for and provide supervision of the work performed by the trainee as required in these regulations.
(b) The supervisor shall only assign those patient treatments which can be safely and effectively performed by the trainee and which are consistent with the level of training received by the trainee. The supervisor shall provide continuous direction and immediate supervision of the trainee when patient services are provided. The supervisor shall be in the same facility as and in proximity to the location where the trainee is rendering services and shall be readily available at all times to provide advice, instruction and assistance to the trainee.
(c) The supervisor shall insure that patient informed consent is obtained when necessary.
(d) The supervisor shall insure that the objectives of the training plan submitted are provided and met by the trainee, and that the required theoretical training is obtained in accordance with subsection (c) of Section 1399.425.
(e) The supervisor shall insure that the trainee complies with the standards of practice in Article 5 of the Acupuncture Regulations.
(f) The supervisor shall file quarterly with the board a progress report on a form provided by the board which sets forth the schedules for theoretic and didactic training and for clinical training of the trainee.
(g) The supervisor shall insure that when rendering services or otherwise engaging in professional activity the trainee always identifies himself or herself as an “acupuncture trainee” and wears at such times the identification badge required in Section 1399.427.
(h) There shall be no separate billing by the trainee.
(i) The supervisor shall comply with the provisions of the acupuncture law, the Acupuncture Regulations and applicable laws and regulations governing wages and compensation paid to employees or apprentices, maximum hours and working conditions. Any overtime worked by the trainee shall not interfere with or impair the training program and shall not be detrimental to the health and safety of the trainee or patients.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4939 and 4940, Business and Professions Code.
HISTORY

1. Amendment of subsections (e) and (i) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
3. Amendment of subsections (d) and (f) filed 8-16-89; operative 9-15-89 (Register 89, No. 33).
4. Change without regulatory effect amending subsection (f) filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
§1399.427. Trainee's Responsibilities.
Note     •     History

Each acupuncture trainee shall have the following duties and responsibilities.
(a) The trainee shall not provide acupuncture services without the required supervision or autonomously, and shall not provide any services for which he or she is not trained or competent to perform.
(b) The trainee shall satisfactorily meet the objectives of the training plan submitted to the board, including the necessary theoretical training.
(c) The trainee shall comply with the standards of practice in Article 5 of the Acupuncture Regulations.
(d) The trainee shall always identify himself or herself as an acupuncture trainee when rendering services or otherwise engaging in professional activity and shall wear at such times an identification badge on an outer garment and in plain view which states the trainee's name and the title “Acupuncture Trainee.”
(e) The trainee shall report to the board any delay, interruption or termination of the acupuncture tutorial not reported by the supervisor.
(f) The trainee shall maintain a written log of the patients whom he or she has seen during the clinical training. The log shall contain the date and time of the patient visit and a description of the acupuncture services provided by the trainee to the patient. The log shall be made available to the committee upon request.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference cited: Sections 4939 and 4940, Business and Professions Code.
HISTORY

1. Amendment of subsection (c) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
3. Amendment of subsection (b) and new subsection (f) filed 1-4-99; operative 1-4-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 2).
4. Change without regulatory effect amending subsection (e) filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
5. Change without regulatory effect amending subsection (b) filed 9-30-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 40).
§1399.428. Termination or Modification of Tutorial.
Note     •     History

(a) The board shall be notified in writing within ten (10) calendar days of the termination of any acupuncture tutorial for any reason. At the time of such notification the registration of both the supervisor and trainee shall be cancelled. If the supervisor or trainee subsequently participate in an acupuncture tutorial, a new application for registration shall be filed with the board as set forth in Section 1399.424.
(b) If the training plan of the acupuncture tutorial is substantially modified, then a report of such modifications shall be filed with the board. There shall be no charge for filing such a report.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference cited: Sections 4939 and 4940, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
3. Amendment of subsection (a) filed 1-4-99; operative 1-4-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 2).
4. Change without regulatory effect amending section filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
§1399.429. Application for Examination.
Note     •     History

At the completion of the tutorial the trainee may file an application for examination.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference cited: Sections 4939 and 4940, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42). 
§1399.430. Denial, Suspension or Revocation of Registration as a Supervisor.
Note     •     History

The board may deny, issue subject to terms and conditions, suspend, revoke or place on probation a registration to supervise a trainee in an acupuncture tutorial for the following causes:
(a) Failure to comply with the provisions of Section 4940 of the code or the Acupuncture Tutorial Regulations for approval of an acupuncture tutorial.
(b) Violation of the Acupuncture Licensure Act or the Acupuncture Regulations.
(c) The supervisor is the subject of a successful disciplinary action or has had charges in a disciplinary action filed against him or her.
(d) The registration was obtained by fraud or misrepresentation or false or misleading information was presented to the division with respect to an acupuncture tutorial.
(e) Failure of the supervisor or the trainee to comply with the regulations relating to supervision, patient care or informed consent.
(f) The trainee has rendered acupuncture services in violation of this act within the setting of the acupuncture tutorial regardless of whether the supervising acupuncturist has knowledge of the acts performed.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference cited: Sections 4925, 4939, 4940 and 4960, Business and Professions Code.
HISTORY

1. Amendment of subsections (a) and (e) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
3. Amendment of subsection (c) and amendment of Note filed 7-25-97; operative 8-24-97 (Register 97, No. 30).
4. Change without regulatory effect amending first paragraph and Note filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
§1399.431. Denial, Suspension or Revocation of Registration as a Trainee.
Note     •     History

The board may deny, issue, subject to terms and conditions, suspend, revoke or place on probation a registration as a trainee in an acupuncture tutorial for the following causes:
(a) Failure to comply with the Acupuncture Tutorial Regulations for approval and registration as a trainee.
(b) Violation of the Acupuncture Licensure Act or the Acupuncture Regulations.
(c) The registration was obtained by fraud or misrepresentation or false or misleading information was presented to the division with respect to the acupuncture tutorial.
(d) Failure to comply with the regulations relating to supervision, patient care or informed consent.
(e) The rendering of acupuncture services outside the approved acupuncture tutorial.
(f) Failure to identify oneself as an acupuncture trainee or failure to wear an appropriate identification badge when rendering acupuncture services.
(g) Rendering acupuncture services under a supervising acupuncturist who is not approved as a supervisor by the board or whose registration as a supervisor has been disciplined under Section 1399.430.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4925, 4939 and 4960, Business and Professions Code.
HISTORY

1. Amendment of subsections (a), (b) and (d) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
3. Amendment of subsection (b) and amendment of Note filed 7-25-97; operative 8-24-97 (Register 97, No. 30).
4. Change without regulatory effect amending first paragraph and subsection (g) filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
§1399.432. Proceedings.
Note     •     History

Any proceedings to suspend or revoke the registration of a supervising acupuncturist or trainee or to deny such registration on grounds of unprofessional conduct shall be conducted pursuant to the Administrative Procedure Act (Section 11500 et seq. of the Government Code).
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference cited: Sections 4939 and 4960, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
Article 3.5. Acupuncture Training Programs
§1399.434. Criteria for Approval of Acupuncture and Oriental Medicine Training Programs.
Note     •     History

A school approved by the board shall use a training program, which relate to the study and practice of acupuncture and oriental medicine, for all students entering its acupuncture and Oriental medicine training program on or after January 1, 2005 that meets the following criteria:

(a) Basic Sciences	350 hours
The curriculum in basic sciences shall prepare students to enter postsecondary upper division biomedical and clinical science courses and shall consist of at least 350 hours of didactic and laboratory instruction in the following basic science courses:
(1) General biology;
(2) Chemistry, including organic and biochemistry;
(3) General physics, including a general survey of biophysics;
(4) General psychology, including counseling skills;
(5) Anatomy -- a survey of microscopic, gross anatomy and neuroanatomy;
(6) Physiology -- a survey of basic physiology, including neurophysiology, endocrinology, and neurochemistry;
(7) Pathology and Pathophysiology -- a survey of the nature of disease and illness, including microbiology, immunology, psychopathology, and epidemiology;
(8) Nutrition and vitamins;

(b) Acupuncture and Oriental Medicine Principles, Theories and Treatment	1,255 hours
The curriculum in acupuncture and Oriental medicine principles, theories and treatment shall consist of at least 1,255 hours of didactic instruction in the following principles, theories, prescription, and treatment procedures of acupuncture and Oriental medicine:
(1) Acupuncture and Oriental Medicine Principles and Theories
(A) Oriental Medicine Principles and Theory;
(B) Acupuncture Principles and Theory;
(C) Oriental Massage (e.g., Tui Na or Shiatsu) Principles and Theory;
(D) Chinese Herbal Medicine Principles and Theory, including relevant botany concepts (This subject area shall consist of at least 450 hours of instruction);
(E) Acupuncture and Oriental Medicine Diagnosis;
(F) Acupuncture and Oriental Medicine Specialties, including dermatology, gynecology, pediatrics, ophthalmology, orthopedics, internal medicine, geriatrics, family medicine, traumatology, and emergency care;
(G) Classical acupuncture and Oriental medicine literature, including Jin Gui, Wen Bing/Shang Han, Nei Jing;
(H) Modern acupuncture and Oriental medicine literature.
(2) Acupuncture and Oriental Medicine Treatment
(A) Integrated acupuncture and Oriental medicine diagnostic and treatment procedures;
(B) Acupuncture techniques and treatment procedures, including electroacupuncture;
(C) Oriental massage (e.g., Tui Na or Shiatsu), acupressure, and other techniques utilizing manual therapy and mechanical devices;
(D) Exercise therapy, including breathing, qi gong and taiji quan;
(E) Herbal prescription, counseling and preparation;
(F) Oriental and Western clinical and medical nutrition, dietary and supplement prescription and counseling;
(G) Cold and heat therapy, including moxibustion and ultrasound;
(H) Lifestyle counseling, and self-care recommendations;
(I) Adjunctive acupuncture procedures, including bleeding, cupping, gua sha, and dermal tacks;
(J) Acupuncture micro therapies, including auricular and scalp therapy;
(K) Hygienic standards, including clean needle techniques. The clean needle technique portion of this subject shall use as its primary reference the most current edition of the “Clean Needle Technique Manual” published by the National Acupuncture Foundation, or an equivalent standard which has been approved by the Board. Coursework shall also include instruction in the requirement of single use needles set forth in section 1399.454. Students shall successfully complete the clean needle technique portion of the hygienic standards subject prior to performing any needling techniques on human beings;
(L) Equipment maintenance and safety;
(M) Adjunctive acupoint stimulation devices, including magnets and beads.

(c) Clinical Medicine, Patient Assessment and 
Diagnosis	240 hours
The curriculum in clinical medicine, patient assessment and diagnosis shall consist of at least 240 hours of didactic instruction and shall prepare the student to possess the knowledge, skills and abilities necessary to utilize standard physical examinations, laboratory and imaging studies, and international classification of diseases (ICD) diagnostic principles to improve treatment efficacy, patient safety, referral, and continuity of care; to improve communication and collaboration of care with all other medical providers; to assist in the evaluation and documentation of patient progress; and to improve the acupuncturists understanding of biochemical etiology and pathology. Clinical medicine, patient assessment, and diagnostic skills curriculum shall include the following:
(1) Comprehensive history taking;
(2) Standard physical examination and assessment, including neuromusculoskeletal, orthopedic, neurological, abdominal, and ear, nose and throat examinations, and functional assessment;
(3) Pharmacological assessment, emphasizing side-effects and herb-drug interactions;
(4) Patient/practitioner rapport, communication skills, including multicultural sensitivity;
(5) Procedures for ordering diagnostic imaging, radiological, and laboratory tests and incorporating the resulting data and reports;
(6) Clinical reasoning and problem solving;
(7) Clinical impressions and the formation of a working diagnosis, including acupuncture and Oriental medicine diagnoses, and the World Health Organization's international classification of diseases (ICD-9);
(8) Awareness of at-risk populations, including gender, age, indigent, and disease specific patients;
(9) Standard medical terminology;
(10) Clinical sciences--a review of internal medicine, pharmacology, neurology, surgery, obstetrics/gynecology, urology, radiology, nutrition and public health;
(11) Clinical medicine--a survey of the clinical practice of medicine, osteopathy, dentistry, psychology, nursing, chiropractic, podiatry, naturopathy, and homeopathy to familiarize practitioners with the practices of other health care practitioners.

(d) Case Management	90 hours
The curriculum in case management shall consist of at least 90 hours of didactic instruction and shall prepare the student to manage patient care as a primary health care professional, and shall include instruction in the following subject:
(1) Primary care responsibilities;
(2) Secondary and specialty care responsibilities;
(3) Psychosocial assessment;
(4) Treatment contraindications and complications, including drug and herb interactions;
(5) Treatment planning, continuity of care, referral, and collaboration;
(6) Follow-up care, final review, and functional outcome measurements;
(7) Prognosis and future medical care;
(8) Case management for injured workers and socialized medicine patients, including a knowledge of workers compensation/labor codes and procedures and qualified medical evaluations;
(9) Coding procedures for current procedural codes, including (CPT) and ICD-9 diagnoses;
(10) Medical-legal report writing, expert medical testimony, and independent medical review;
(11) Special care/seriously ill patients;
(12) Emergency procedures.

(e) Practice Management	45 hours
The curriculum in practice management shall consist of at least 45 hours of didactic instruction and shall include the following subjects:
(1) Record keeping, insurance billing and collection;
(2) Business written communication;
(3) Knowledge of regulatory compliance and jurisprudence (municipal, California, and federal laws, including OSHA, Labor Code, Health Insurance Portability and Accountability Act of 1996 (HIPAA);
(4) Front office procedures;
(5) Planning and establishing a professional office;
(6) Practice growth and development;
(7) Ability to practice in interdisciplinary medical settings including hospitals;
(8) Risk management and insurance issues;
(9) Ethics and peer review.

(f) Public Health 	40 hours
The curriculum in public health shall consist of at least 40 hours of didactic instruction and shall include training in the principles of public health, including the following subjects:
(1) Public and community health and disease prevention;
(2) Public health education;
(3) A minimum of eight (8) hours in first-aid and adult/child cardiopulmonary resuscitation (CPR) from the American Red Cross, American Heart Association or other organization with an equivalent course approved by the board;
(4) Treatment of chemical dependency;
(5) Communicable disease, public health alerts, and epidemiology.

(g) Professional Development	30 hours
The curriculum in professional development shall consist of at least 30 hours of didactic instruction and shall prepare the student with the skills to continue to expand their knowledge, including instruction in the following subjects:
(1) Research and evidence based medicine;
(2) Knowledge of academic peer review process;
(3) Knowledge and critique of research methods;
(4) History of medicine.

(h) Clinical Practice	950 hours
The curriculum in clinical practice shall consist of at least 950 hours in clinical instruction, 75% of which shall be in a clinic owned and operated by the school, which includes direct patient contact where appropriate in the following:
(1) Practice Observation (minimum 150 hours)--supervised observation of the clinical practice of acupuncture and Oriental medicine with case presentations and discussion;
(2) Diagnosis and evaluation (minimum 275 hours)--the application of Eastern and Western diagnostic procedures in evaluating patients;
(3) Supervised practice (minimum 275 hours)--the clinical treatment of patients with acupuncture and oriental medicine treatment modalities listed in the Business and Professions Code sections 4927(d) and 4937(b).
During the initial 275 hours of diagnosis, evaluation and clinical practice, the clinic supervisor shall be physically present at all times during the diagnosis and treatment of the patient. Thereafter, for a second period of 275 hours the clinic supervisor shall be physically present at the needling of the patient. The clinic supervisor shall otherwise be in close proximity to the location at which the patient is being treated during the clinical instruction. The student shall also consult with the clinic supervisor before and after each treatment.
(i) A board approved training program shall consist of at least 2,050 hours of didactic and laboratory training and at least 950 hours of supervised clinical instruction. The course work shall extend over a minimum period of four (4) academic years, eight (8) semesters, twelve (12) quarters, nine (9) trimesters, or thirty-six (36) months.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4938, 4939, 4940, 4941 and 4944, Business and Professions Code.
HISTORY

1. New section filed 10-5-2004; operative 11-4-2004 (Register 2004, No. 41).
2. Editorial correction of subsection (b)(1)(F) (Register 2005, No. 50).
3. Amendment of subsection (b)(2)(K) filed 12-15-2005; operative 12-15-2005 (Register 2005, No. 50).
§1399.435. Criteria for Acupuncture and Oriental Medicine Training Programs.
Note     •     History

An acupuncture and Oriental medicine training program approved by the board shall adopt the following procedures for its program effective January 1, 2005:
(a) Candidates for admission shall have successfully completed at least two (2) academic years (60 semester credits/90 quarter credits) of education at the baccalaureate level that is appropriate preparation for graduate level work, or the equivalent from an institution accredited by an agency recognized by the U.S. Secretary of Education.
(b) The training program should be located in an educational institution approved under Article 4 (commencing with Section 94770) of Chapter 7 of Part 59 of the Education Code, or in the case of training programs located outside California, in an institution which is approved by the appropriate governmental accrediting authority or an accrediting agency recognized by the U.S. Department of Education.
(c) The training program shall develop self study evaluation process to determine the effectiveness of its theoretical and clinical program.
(d) Coursework shall carry academic credit.
(e) The director and supervisor(s) of the clinical portion of the training program shall be a licensed acupuncturist in the state where the educational institution is located and with at least 5 years of licensed clinical experience in the practice of acupuncture and Oriental medicine.
(f) All instructors shall be competent to teach their designated courses by virtue of their education, training and experience. All faculty credentials shall be equivalent to the course and degree level being taught.
(g) Each training program shall develop policies and procedures to evaluate and award transfer credit to students for coursework and experience which is equivalent to current coursework and clinical instruction required. Such policies and procedures shall be defined in the school's catalog and shall include the following
(1) Credit shall only be awarded for actual coursework.
(2) Where the coursework and clinical instruction were completed at an acupuncture school not approved by the board, the evaluation shall include an examination administered and retained by the school in the subject area(s) in which transfer credit may be awarded.
(3) Up to 100% transfer credit may be awarded for coursework and clinical instruction completed successfully at another acupuncture school or college which is approved by the board.
(4) Up to 100% transfer credit may be awarded for courses completed successfully in basic sciences, clinical medicine, case management, practice management, public health, and professional development at a school which is approved under Article 4 (commencing with Section 94770) of Chapter 7 of Part 59 of the Education Code or by an accrediting agency recognized by the U.S. Department of Education.
(5) Up to fifty percent (50%) credit, by transfer or challenge exam, for clinical practice coursework and instruction in acupuncture and Oriental medicine principles, theories and treatment procedures completed successfully at a school which is not approved by the board may be awarded by a school approved by the board, provided that at least 50% of the course hours in individual subjects are completed successfully at a school approved by the board.
(6) The entire record of the evaluation and award of the student's transfer credit shall be included in the student's academic file and shall be made an official part of the student's transcript which shall be filed with the board upon request.
(7) All students shall receive upon matriculation a copy of the school's policies and procedures for evaluating and awarding transfer credit.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4938, 4939, 4940, 4941 and 4944, Business and Professions Code.
HISTORY

1. New section filed 10-5-2004; operative 11-4-2004 (Register 2004, No. 41). For prior history, see Register 83, No. 42.
§1399.436. Criteria for Approval of Acupuncture and Oriental Medicine Training Programs.
Note     •     History

A school approved by the board shall use a training program for all students enrolled in its acupuncture and Oriental medicine training program before January 1, 2005 that meets the following criteria:
(a) The curriculum shall include adequate theoretical training in the following: 

Subject 	Minimum Class Hours 
(1) General biology. 
(2) Chemistry--including organic and 
 biochemistry. 
(3) General physics--including a general 
 survey of biophysics. 
(4) General psychology--including counseling 
 skills. 
(5) Anatomy--a survey of microscopic, gross 
 anatomy and neuroanatomy. 
(6) Physiology--a survey of basic physiology, 
 including neurophysiology, endocrinology, and 
 neurochemistry. 
(7) Pathology--a survey of the nature of disease 
 and illness, including microbiology, immunology, 
 psychopathology, and epidemiology. 

(8) Nutrition and vitamins. 	 400
(9) History of medicine--a survey of medical 
 history, including transcultural healing practices. 

(10) Medical terminology--fundamentals of 
English language medical terminology. 	 30
(11) Clinical sciences--a review of internal medicine, 
 pharmacology, neurology, surgery, obstetrics/gynecology, 
 urology, radiology, nutrition and public health. 
(12) Clinical medicine--a survey of the clinical practice 
 of medicine, osteopathy, dentistry, psychology, nursing, 
 chiropractic, podiatry, and homeopathy to familiarize
 practitioners with the practices of other health care 
 practitioners. 
(13) Western pharmacology. 

(14) A minimum of eight (8) hours in a certified course
offering first-aid and adult/child cardiopulmonary 
resuscitation (CPR). Such course shall be taken from 
the American Red Cross, American Heart Association 
or other organization with an equivalent course work 
approved by the board. 	 128
(15) Traditional Oriental medicine--a survey of the 
 theory and practice of traditional diagnostic and 
 therapeutic procedures. 
(16) Acupuncture anatomy and physiology--fundamentals 
 of acupuncture, including the meridian system, special and 
 extra loci, and auriculotherapy. 
(17) Acupuncture techniques--instruction in the use 
 of needling techniques, moxibustion, and electroacupuncture, 
 including contraindication and complications. Coursework 
 shall also include instruction in the requirement of 
 single use needles set forth in section 1399.454. Students
 shall either (1) successfully complete a course which
 requires a student to pass an examination in clean
 needle technique, taught at a board approved school 
 that uses as its primary reference the most current
 edition of the “Clean Needle Technique Manual”
 published by the National Acupuncture Foundation, or
 (2) successfully complete a Clean Needle Technique 
 course administered by the Council of Colleges
 of Acupuncture and Oriental Medicine.
(18) Acupressure. 
(19) Breathing techniques--introductory course in 
 QiGong. 

(20) Traditional Oriental exercise--introductory 
course in Tai Chi Chuan. 	 660

(21) Traditional Oriental herbology including 
botany--a portion of the hours shall be given in a 
clinical setting. 	 300
(22) Practice management--instruction in the legal 
 and ethical aspects of maintaining a professional practice, 
 including record keeping, professional liability, patient 
 accounts, and referral procedures. 

(23) Ethics relating to the practice of acupuncture. 	 30
(b) The curriculum shall include adequate clinical instruction, 75% of which shall be in a clinic which is owned and operated by the training program, which includes direct patient contact where appropriate in the following: 
(1) Practice observation--supervised observation 
 of the clinical practice of acupuncture with case 
 presentations and discussions. 
(2) Diagnosis and evaluation--the application of 
 Eastern and Western diagnostic procedures in 
 evaluating patients. 

(3) Supervised practice--the clinical treatment 
of a patient with acupuncture. 	 800

During the initial 235 hours of diagnosis, evaluation and clinical practice the supervisor shall be physically present at all times during the diagnosis and treatment of the patient. Thereafter, for a second period of 235 hours the supervisor shall be physically present at the needling of the patient. The supervisor shall otherwise be in close proximity to the location at which the patient is being treated during the clinical instruction. The student shall also consult with the supervisor before and after each treatment.
(c) The total number of hours of all theoretical training shall consist of a minimum of 1,548 hours and the total number of hours of clinical instruction shall consist of a minimum of 800 hours, and the coursework shall extend over a minimum period of four (4) academic years, eight (8) semesters, twelve (12) quarters, nine (9) trimesters, or thirty-six (36) months.
(d) Candidates for admission shall have successfully completed an approved high school course of study or have passed a standard equivalency test.
(e) The training program should be located in a state university or college, an institution approved under Article 4 (commencing with Section 94770) of Chapter 7 of Part 59 of the Education Code, or in the case of training programs located outside California, in an institution which is approved by the appropriate governmental accrediting authority or an accrediting agency recognized by the U.S. Department of Education.
(f) The training program shall develop an evaluation mechanism to determine the effectiveness of its theoretical and clinical program.
(g) Coursework shall carry academic credit.
(h) The director and/or supervisor(s) of the clinical portion of the training program shall be a licensed acupuncturist or other licensed practitioner authorized to practice acupuncture.
(i) All instructors shall be competent to teach their designated courses by virtue of their education, training and experience.
(j) Each approved program shall receive accreditation or approval under Article 4 (commencing with Section 94770) of Chapter 7 of Part 59 of the Education Code, or the approval of the program by the board shall automatically lapse.
(k) Each training program shall develop a mechanism to evaluate and award transfer credit to students for prior coursework and experience which is equivalent to that coursework and clinical instruction required in subsections (b) and (d). The training program's policies and procedures for evaluating and awarding transfer credit shall be set forth in writing and submitted to the board. Such policies and procedures shall include all of the following:
(1) Credit shall only be awarded for actual coursework or directly relevant experience received by the student. As used in this regulation, “experience” means academically relevant learning which involved the student directly in the area of the curriculum required in this section and includes integrated field and clinical internships, apprenticeships, tutorial programs and cooperative educational programs.
(2) Where the coursework and clinical instruction were completed at an acupuncture school not approved by the board, the evaluation shall include an examination administered by the school in the subject area(s) in which transfer credit may be awarded.
(3) The outcome of the prior education and experience shall be equivalent to that of an average student who has completed the same subject(s) in the training program and shall meet the curriculum standards and graduation requirements of the training program.
(4) Up to 100% transfer credit may be awarded for coursework and clinical instruction completed successfully at another acupuncture school or college which is approved by the board.
(5) Up to 100% transfer credit may be awarded for courses completed successfully in biology, chemistry, physics, psychology, anatomy, physiology, pathology, nutrition and vitamins, history of medicine, medical terminology, clinical science, clinical medicine, Western pharmacology, cardiopulmonary resuscitation, practice management, and ethics at a school which is approved under Article 4 (commencing with Section 94770) of Chapter 7 of Part 59 of the Education Code or by an accrediting agency recognized by the U.S. Department of Education.
(6) Credit for clinical coursework and instruction in traditional Oriental medicine, acupuncture anatomy and physiology, acupuncture techniques, acupressure, breathing techniques, traditional Oriental exercise, or traditional Oriental herbology completed successfully at a school which is not approved by the board may be awarded by a school approved by the board, provided that at least 50% of the course hours in these subject areas are completed successfully at a school approved by the board.
(7) The entire record of the training program's evaluation and award of the student's transfer credit shall be included in the student's academic file and shall be made an official part of the student's transcript which shall be filed with the board upon the request of the student.
(8) All students shall receive upon matriculation a copy of the training program's policies and procedures for evaluating and awarding transfer credit.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4938, 4939, 4940, 4941 and 4944, Business and Professions Code.
HISTORY

1. Repealer of and new subsection (e), and repealer of subsection (j) filed 4-4-79 as an emergency; effective upon filing (Register 79, No. 14).
2. Certificate of Compliance filed 6-12-79 (Register 79, No. 24).
3. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
4. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
5. Amendment filed 3-8-85; effective thirtieth day thereafter (Register 85, No. 10).
6. Amendment of subsection (d) and new subsection (m) filed 2-17-87; effective thirtieth day thereafter (Register 87, No. 16).
7. Editorial correction of subsection (c) printing error (Register 87, No. 22).
8. Amendment of subsection (g) filed 8-16-89; operative 9-15-89 (Register 89, No. 33).
9. Amendment of subsections (a)(7), (b)(14), (e), (g) and (l) filed 7-2-92; operative 7-2-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 28).
10. Editorial correction of printing error in subsection (g) (Register 92, No. 28).
11. Amendment of subsection (g),  new subsection (m)(4), repealer of subsection (m)(6), subsection redesignation, and amendment of subsections (m)(5)-(6) filed 5-26-94; operative 6-27-94 (Register 94, No. 21).
12. Repealer of subsections (a)-(a)(12) and subsection relettering, amendment of newly designated subsection (a), repealer of subsection (c) and subsection relettering, amendment of newly designated subsections (b), (c), (h), (h)(2) and (h)(6), and amendment of Note filed 3-19-96; operative 3-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 12).
13. Amendment of subsections (e), (j) and (k)(5) filed 7-25-97; operative 8-24-97 (Register 97, No. 30).
14. Amendment of subsections (a)(14), (a)(17), (a)(19), (e) and (h) filed 7-24-98; operative 8-23-98 (Register 98, No. 30).
15. Change without regulatory effect amending first paragraph and subsections (a)(14), (a)(17), (j), (k), (k)(2), (k)(4), (k)(6) and (k)(7)  filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
16. Amendment of first paragraph and subsections (e), (j) and (k)(5)-(k)(6) filed 10-5-2004; operative 11-4-2004 (Register 2004, No. 41).
17. Editorial correction of section heading and subsection (b) (Register 2005, No. 50).
18. Amendment of subsection (b)(17) filed 12-15-2005; operative 12-15-2005 (Register 2005, No. 50).
§1399.437. Documentation Required for Approval.
Note     •     History

Educational institutions or programs seeking approval of an acupuncture training program shall provide the board with such documents and other evidence as may be necessary for the board to determine the actual nature and extent of the training offered, including but not limited to, catalogues, course description, curricula plans, and study bulletins.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Section 4939, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
3. Change without regulatory effect amending section filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
§1399.438. Suspension or Revocation of Approval.
Note     •     History

The board may deny, place on probation, suspend or revoke the approval granted to any acupuncture training program for any failure to comply with the regulations in this article, the Acupuncture Regulations or the Acupuncture Licensure Act.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4925 and 4939, Business and Professions Code.
HISTORY

1. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
2. Amendment of section and Note filed 7-25-97; operative 8-24-97 (Register 97, No. 30).
3. Change without regulatory effect amending section filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
§1399.439. School Monitoring; Records; Reporting.
Note     •     History

(a) Every approved acupuncture school shall be required to submit to the board within sixty (60) days after the close of the school's fiscal year a current course calalog with a letter outlining the following: 1) any courses added/deleted or significantly changed from the previous year's curriculum; 2) any changes in faculty, administration, or governing body; 3) any major changes in the school facility; and 4) a statement regarding the school's financial condition, which enables the board to evaluate whether the school has sufficient resources to ensure the capability of the program for enrolled students.
(b) If determined necessary an on-site visit by representatives of the board will be made to the school to review and evaluate the status of the school. The school will be required to reimburse the board for direct costs incurred in conducting such review and evaluation.
(c) All student records shall be maintained in at least English.
(d) Each approved acupuncture school shall report to the board within 30 days any substantial changes to the facility and/or clinic(s), and curriculum required in this section.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4939 and 4944, Business and Professions Code.
HISTORY

1. New section filed 12-11-84; effective thirtieth day thereafter (Register 84, No. 50).
2. Amendment filed 2-17-87; effective thirtieth day thereafter (Register 87, No. 16).
3. Amendment of section heading, repealer and new subsection (a), new subsection (b), subsection redesignation, and amendment of newly designated subsection (d) filed 11-3-94; operative 12-5-94 (Register 94, No. 44).
4. Change without regulatory effect amending section filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
Article 4. Examinations and Demonstrations of Competency
§1399.440. Location.
Note     •     History

Examinations shall be administered at times and locations to be determined by the board. If the same examination is administered in more than one location, it shall be administered concurrently in each location.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Section 4938, Business and Professions Code.
HISTORY

1. Amendment filed 7-28-77 as an emergency; effective upon filing (Register 77, No. 31).
2. Certificate of Compliance transmitted to OAH 11-23-77; filed 12-30-77 (Register 77, No. 48).
3. Amendment of NOTE filed 4-26-79; effective thirtieth day thereafter (Register 79, No. 17).
4. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
5. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
6. Change without regulatory effect amending section filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
§1399.441. Languages.
Note     •     History

Examinations shall be administered in English, Chinese, and Korean. An applicant shall notify the board of the desired language where provided for in the Application for Examination/Licensure. Translations and translators, when necessary for other languages, shall be provided in any language for which a translation is formally requested as provided above by a minimum of five percent (5) of the total number of approved applications. Otherwise, such applicants shall take the examination in one of the languages listed above.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Section 4938, 4939, 4940, 4941 and 4944, Business and Professions Code.
HISTORY

1. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
2. Amendment filed 3-8-85; effective thirtieth day thereafter (Register 85, No. 10).
3. Amendment filed 6-23-94; operative 7-25-94 (Register 94, No. 25).
4. Amendment of section and Note filed 3-19-96; operative 3-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 12).
5. Change without regulatory effect amending section filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
§1399.442. Examination Commissioners.
Note     •     History

NOTE

Authority cited: Section 4933, Business and Professions Code.
HISTORY

1. Amendment filed 8-22-77; effective thirtieth day thereafter (Register 77, No. 35).
2. Repealer filed 5-5-81; effective thirtieth day thereafter (Register 81, No. 19).
§1399.443. Examination Content.
Note     •     History

(a) The examination shall test the applicant's knowledge and competency in the practice of oriental medicine through acupuncture.
(b) In order to pass an examination an applicant shall be required to obtain a passing score as determined by a criterion-referenced method of establishing the passing point on each part of the examination.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4927, 4937, 4938, 4939, 4940, 4941 and 4944, Business and Professions Code.
HISTORY

1. Amendment filed 8-22-77; effective thirtieth day thereafter (Register 77, No. 35).
2. Renumbering from section 1399.432 to section 1399.443 and amendment filed 10-27-78 as an emergency; effective upon filing (Register 78, No. 43).
3. Editorial correction to HISTORY 2 (Register 78, No. 45).
4. Certificate of Compliance filed 12-20-78 (Register 78, No. 51). 5. Amendment of NOTE filed 4-26-79; effective thirtieth day thereafter (Register 79, No. 17).
6. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
7. Amendment of subsection (b) filed 10-19-82; effective thirtieth day thereafter (Register 82, No. 43).
8. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
9. Amendment of subsection (b)(10) and new subsection (e) filed 7-2-92; operative 7-2-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 28).
10. Amendment of subsection (d) filed 2-3-94; operative 3-5-94 (Register 94, No. 5).
11. Amendment of subsection (a), repealer of subsections (b)-(b)(12), new subsection (b), repealer of subsection (c) and subsection relettering, amendment of newly designated subsection (e) and amendment of Note filed 3-19-96; operative 3-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 12).
12. Change without regulatory effect repealing subsections (a) and (d) and relettering subsections filed 6-20-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 25).
§1399.444. Lapsed Licenses; Examination.
Note     •     History

Any acupuncturist whose license has been expired for more than three years and who is applying for a new license under Section 4967 of the code shall be required to take and pass the written examination before a new license may be issued.
NOTE

Authority cited: Section 4933, Business and Professions Code.  Reference: Section 4938, 4939, 4940, 4941, 4944 and 4967, Business and Professions Code.
HISTORY

1. New section filed 2-3-94; operative 3-5-94 (Register 94, No. 5).
2. Amendment of section and Note filed 3-19-96; operative 3-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 12).
3. Change without regulatory effect amending section filed 6-20-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 25).
§1399.445. Reconsideration of Clinical Examination.
Note     •     History

NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4938 and 4944, Business and Professions Code.
HISTORY

1. New section filed 7-2-92; operative 7-2-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 28).
2. Amendment of section heading and subsections (a)-(d) filed  4-4-94; operative 5-4-94  (Register 94, No. 14).
3. Amendment of section heading and subsections (a), (b) and (d) filed 7-29-98; operative 8-28-98 (Register 98, No. 31).
4. Change without regulatory effect amending section filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
5. Change without regulatory effect repealing section filed 6-20-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 25).
Article 5. Standards of Practice
§1399.450. Condition of Office.
Note     •     History

Every acupuncture office shall be maintained in a clean and sanitary condition at all times, and shall have a readily accessible bathroom facility in accordance with Title 24, Part 2, Building Standards Code Sections 494A.1 and 1994 Uniform Building Code Section 2902.3.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Section 4955, Business and Professions Code; Section 494A.1, Building Standards Code; and Section 2902.3 of the 1994 Uniform Building Code.
HISTORY

1. New article 5 (sections 1399.450, 1399.455) filed 8-22-77; effective thirtieth day thereafter (Register 77, No. 35).
2. Amendment of NOTE filed 4-26-79; effective thirtieth day thereafter (Register 79, No. 17).
3. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
4. Change without regulatory effect (Register 88, No. 17).
5. Lettering of first paragraph to subsection (a) and new subsection (b) filed 9-8-89; operative 10-8-89 (Register 89, No. 37).
6. Amendment of subsection (a) filed 4-4-94; operative  5-4-94  (Register 94, No.  14).
7. Amendment of subsection (a) and Note filed 7-29-98; operative 8-28-98 (Register 98, No. 31).
8. Repealer of subsection (a) designator and subsection (b) and amendment of Note filed 7-5-2005 as an emergency; operative 7-5-2005 (Register 2005, No. 27). A Certificate of Compliance must be transmitted to OAL by 11-2-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 7-5-2005 order transmitted to OAL 11-2-2005 and filed 12-15-2005 (Register 2005, No. 50).
§1399.451. Treatment Procedures.
Note     •     History

In treating a patient, an acupuncturist shall adhere to the following procedures:
(a) The acupuncturist's hands shall be brush-scrubbed with soap and warm water immediately before examining patients or handling acupuncture needles and other instruments, and between patients.
(b) All instruments shall be sterilized before and between uses in a manner which will destroy all microorganisms. All needle trays which contain sterile needles shall also be sterile. Each time instruments are sterilized, the acupuncturist shall use a tape or strip indicator which shows that sterilization is complete.
(c) Acupuncture points, where needles are to be inserted, shall be cleaned with an appropriate antiseptic before insertion of the needle.
(d) In the event an acupuncture needle inserted in a patient breaks subcutaneously, the treating acupuncturist shall immediately consult a physician. An acupuncturist shall not sever or penetrate the tissues in order to excise such a needle.
(e) Any complication, including but not limited to, hematoma, peritonitis or pneumothorax arising out of acupuncture treatment shall be referred immediately to a physician or dentist or podiatrist, if appropriate, if immediate medical treatment is required.
(f) Acupuncture shall not be performed using hypodermic needles.
(g) All instruments to be discarded shall be disposed of safely.
(h) Needles shall be disposed of by placing them in a sealed, unbreakable container marked “Hazardous Waste” and disposed of in accordance with state and local law.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Section 4955, Business and Professions Code.
HISTORY

1. Amendment of subsection (e) filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
2. Amendment of subsection (b) filed 12-11-84; effective thirtieth day thereafter (Register 84, No. 50).
3. Amendment of subsections (a)-(c) and new subsections (f) and (g) filed 9-8-89; operative 10-8-89 (Register 89, No. 37).
4. Amendment of subsections (b) and (g), repealer of subsections (g)(1)-(2) and new subsection (h) filed 7-5-2005 as an emergency; operative 7-5-2005 (Register 2005, No. 27). A Certificate of Compliance must be transmitted to OAL by 11-2-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 7-5-2005 order transmitted to OAL 11-2-2005 and filed 12-15-2005 (Register 2005, No. 50).
§1399.452. Treatments Outside the Office.
Note     •     History

(a) Any acupuncturist who provides acupuncture treatment outside the office shall carry the required sterile needles and other instruments in a sterile airtight container.
(b) All standards of practice applicable to treatment outside the office shall be adhered to by the acupuncturist providing such treatment.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Section 4955, Business and Professions Code.
HISTORY

1. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
§1399.453. Recordkeeping.
Note     •     History

An acupuncturist shall keep complete and accurate records on each patient who is given acupuncture treatment, including but not limited to, treatments given and progress made as a result of the acupuncture treatments.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Section 4955, Business and Professions Code.
HISTORY

1. New NOTE filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
§1399.454. Single Use Needles.
Note     •     History

An acupuncturist shall use needles labeled for single use only that meet the requirements of federal regulations 21 CFR Part 880.5580 (61 FR 64617, December 6, 1996). It shall constitute unprofessional conduct for an acupuncturist to use a needle more than once.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Section 4955, Business and Professions Code.
HISTORY

1. New section filed 7-5-2005 as an emergency; operative 7-5-2005 (Register 2005, No. 27). A Certificate of Compliance must be transmitted to OAL by 11-2-2005 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 80, No. 6.
2. Certificate of Compliance as to 7-5-2005 order transmitted to OAL 11-2-2005 and filed 12-15-2005 (Register 2005, No. 50).
§1399.455. Advertising.
Note     •     History

(a) A licensed acupuncturist may advertise the provision of any acupuncture services authorized to be provided by such licensure in a manner authorized by Section 651 of the code so long as such advertising does not promote the excessive or unnecessary use of such services.
(b) It is improper advertising as provided in Section 4955 of the code to disseminate any advertising which represents in any manner that the acupuncturist can cure any type of disease, condition or symptom.
(c) It is improper advertising as provided in Section 4955 of the code to disseminate any advertising of a practice, technique or procedure which is not within the scope of the practice of acupuncture as defined in Sections 4927 and 4937 of the code and which is the unlawful practice of medicine.
NOTE

Authority cited: Sections 651 and 4933, Business and Professions Code. Reference: Sections 651, 2052, 4937, 4938 and 4955, Business and Professions Code.
HISTORY

1. Amendment filed 4-11-80; effective thirtieth day thereafter (Register 80, No. 15).
2. Amendment of subsections (b) and (c) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
3. Amendment of NOTE filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
4. Amendment of subsection (a) and Note filed 7-29-98; operative 8-28-98 (Register 98, No. 31).
§1399.456. Use of Title “Doctor.”
Note     •     History

It is unprofessional conduct for an acupuncturist to use the title “Doctor” or the abbreviation “Dr.” in connection with the practice of acupuncture unless he or she possesses a license or certificate which authorizes such use or possesses an earned doctorate degree from an accredited, approved or authorized educational institution as set forth under Article 4 (commencing with Section 94760) of Chapter 7 of Part 59 which is in acupuncture, Oriental medicine, a biological science, or is otherwise related to the authorized practice of an acupuncturist as set forth in Sections 4927 and 4937 of the Code.
The use of the title “Doctor” or the abbreviation “Dr.” by an acupuncturist as authorized above without further indicating the type of license, certificate or degree which authorizes such use, constitutes unprofessional conduct.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 2054 and 4955, Business and Professions Code.
HISTORY

1. New section filed 2-10-78; effective thirtieth day thereafter (Register 78, No. 6).
2. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
3. Amendment filed 7-26-85; effective thirtieth day thereafter (Register 85, No. 30).
4. Amendment of first paragraph filed 7-25-97; operative 8-24-97 (Register 97, No. 30).
Article 6. Miscellaneous Provisions
§1399.460. Fees.
Note     •     History

(a) The application fee shall be seventy-five dollars ($75).
(b) The examination and reexamination fee shall be five hundred, fifty dollars ($550), plus the applicable fingerprint processing fee in effect at the time the application is submitted.
(c) In order to establish and administer a birthdate renewal program, the initial license fee for an acupuncture license will be based on the date the license is issued and the birthmonth of the applicant. No license will be issued for less than twelve (12) months. The fee for an initial license shall be in accordance with the following schedule:

View Graphic
(d) Effective January 1, 1996, the biennial renewal fee for a licensed acupuncturist shall be three hundred twenty-five dollars ($325).
(e) An expired license may be renewed at any time within three years after its expiration. The licensee will be required to pay all accrued and unpaid renewal fees, plus any delinquency fee.
(f) The delinquency fee is twenty-five dollars ($25).
(g) The application fee for the approval of a school or college shall be one thousand and five hundred dollars ($1,500).
(h) The fee for a duplicate or replacement engraved wall license shall be fifteen dollars ($15).
(i) The fee for a duplicate or replacement renewal receipt/pocket license shall be ten dollars ($10).
(j) The fee for a letter of endorsement shall be ten dollars ($10).
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Section 4938, 4939, 4940, 4941, 4944, 4961, 4965, 4966, 4970 and 4972, Business and Professions Code.
HISTORY

1. Repealer and new section filed 11-30-94; operative 12-30-94 (Register 94, No. 48). For prior history, see Register 94, No. 25.
2. Amendment of subsection (d) and Note filed 3-19-96; operative 3-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 12).
3. Change without regulatory effect amending subsection (c) filed 6-3-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 23).
4. Amendment of subsection (b) filed 1-24-2000; operative 1-24-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 4). 
§1399.461. Acupuncture Tutorials.
Note     •     History

The annual renewal fees shall be due within 30 days of completion of one (1) year of an approved acupuncture tutorial.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference cited: Section 4971, Business and Professions Code.
HISTORY

1. New section filed 2-8-80; effective thirtieth day thereafter (Register 80, No. 6). For history of former section, see Register 79, No. 17.
2. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
3. Amendment filed 8-4-86; effective thirtieth day thereafter (Register 86, No. 32).
§1399.462. Continuing Education Fee.
Note     •     History

The approval fee for each provider of continuing education shall be $150.00.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Section 4945, Business and Professions Code.
HISTORY

1. New section filed 9-8-89; operative 10-8-89 (Register 89, No. 37). For prior history of former section 1399.462, see Registers 86, No. 32 and 81, No. 32.
§1399.463. Authority to Issue Citations and Fines.
Note     •     History

(a) The executive officer of the board is authorized to issue a citation which may contain an order of abatement or an administrative fine for violations by a licensee of the statutes contained in the Acupuncture Licensure Act (commencing with Business and Professions Code Section 4925 et seq.) or the regulations adopted by the board. For purposes of this Section and Sections 1399.464, 1399.466, 1399.467, and 1399.468, the term “licensee” refers to either a California licensed acupuncturist or a board approved continuing education provider.
(b) Each citation shall be in writing and shall describe with particularity the nature and facts of the violation, including a reference to the statute or regulation alleged to have been violated. The citation shall be served upon the licensee personally or by certified mail.
NOTE

Authority cited: Sections 125.9, 148 and 4933, Business and Professions Code. Reference: Sections 125.9, 148 and 4925, Business and Professions Code.
HISTORY

1. New section filed 2-1-84; effective upon filing pursuant to Government Code Section 11346.2(d).
2. Repealer filed 8-4-86; effective thirtieth day thereafter (Register 86, No. 32).
3. New section filed 6-14-95; operative 7-14-95 (Register 95, No. 24).
4. Amendment of section and Note filed 7-25-97; operative 8-24-97 (Register 97, No. 30).
5. Change without regulatory effect amending subsection (a) filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
§1399.464. Exceptions.
Note     •     History

A citation shall not be issued in any of the following circumstances:
(a) The violation is of such a nature and/or severity that revocation of the license or restrictions on the license are necessary in order to ensure consumer protection.
(b) The licensee's conduct displayed a disregard for the patient and/or patient's rights. This includes, but is not limited to, physical abuse, neglect; abandonment; fiduciary abuse (as defined in Welfare and Institution Code Section 15610).
(c) The licensee failed to comply with any requirement of any previous citation, including any order of abatement or fine.
(d) The violation involves unprofessional conduct related to controlled substances or dangerous drugs.
(e) The violation involves unprofessional conduct related to sexual abuse, misconduct or relations with a patient.
(f) The licensee was convicted of an offense substantially related to the qualifications, functions and duties of an acupuncturist and there is insufficient evidence of rehabilitation.
NOTE

Authority cited: Sections 125.9 and 4933, Business and Professions Code. Reference: Sections 125.9 and 4955, Business and Professions Code.
HISTORY

1. New section filed 6-14-95; operative 7-14-95 (Register 95, No. 24).
§1399.465. Citation; Assessment of Fine.
Note     •     History

(a) The amount of any administrative fine to be levied by the executive officer shall be no less than $100 nor more than $2500.
In assessing the amount of the fine, the executive officer will consider the following factors in determining the amount of the fine:
(1) Gravity of the violation.
(2) The good or bad faith exhibited by the cited person.
(3) Evidence that the violation was willful.
(4) The extent to which the cited person cooperated with the board's investigation.
(5) The extent to which the cited person has mitigated or attempted to mitigate any damage caused by his or her violation.
(6) Such other factors as justice may require.
(b) Notwithstanding the administrative fine amounts specified in subsection (a), a citation may include a fine between $2,501 and $5,000 if one or more of the following circumstances apply:
(1) The citation involves a violation that has an immediate relationship to the health and safety of another person.
(2) The cited person has a history of two or more prior citations of the same or similar violations.
(3) The citation involves multiple violations that demonstrate a willful disregard of the law.
(4) The citation involves a violation or violations perpetrated against a senior citizen or person with disabilities.
NOTE

Authority cited: Sections 125.9, 148 and 4933, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 6-14-95; operative 7-14-95 (Register 95, No. 24).
2. Change without regulatory effect amending subsection (e) filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
3. Amendment filed 4-17-2006; operative 5-17-2006 (Register 2006, No. 16).
§1399.466. Compliance with Orders of Abatement.
Note     •     History

(a) If a cited person who has been issued an order of abatement is unable to complete the abatement within the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, the person cited may request an extension of time from the executive officer in which to complete the correction. Such a request shall be in writing and shall be made within the time set forth for abatement.
(b) When an order of abatement is not contested or if the order is appealed and the person cited does not prevail, failure to abate the violation charged in the citation within the time allowed shall constitute a violation and failure to comply with the order of abatement. Such failure may result in disciplinary action being taken by the board or other appropriate judicial relief being taken against the person cited.
NOTE

Authority cited: Sections 125.9, 148 and 4933, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 6-14-95; operative 7-14-95 (Register 95, No. 24).
2. Change without regulatory effect amending subsection (b) filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
§1399.467. Citations for Unlicensed Practice.
Note     •     History

The executive officer of the board is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and fines against persons who are performing or who have performed services for which license as an acupuncturist is required under the Acupuncture Licensure Act. Each citation issued for unlicensed activity shall contain either an order of abatement, or, where appropriate, the executive officer shall levy a fine for such unlicensed activity in accordance with section 1399.465 of these regulations. The provisions of sections 1399.463, 1399.465, 1399.466, and 1399.468 apply to the issuance of citations for unlicensed activity under this section. The citation issued under this section shall be separate from and in addition to any other civil or criminal remedies.
NOTE

Authority cited: Sections 125.9, 148 and 4933, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 6-14-95; operative 7-14-95 (Register 95, No. 24).
2. Change without regulatory effect amending section filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
§1399.468. Contest of Citations.
Note     •     History

(a) In addition to requesting a hearing provided for in subdivision (b)(4) of section 125.9 of the code, the person cited may, within ten (10) days after service or receipt of the citation, notify the executive officer in writing of his or her request for an informal conference with the executive officer regarding the acts charged in the citation.
(b) The executive officer shall hold, within 60 days from the receipt of the request, an informal conference with the person cited. At the conclusion of the informal conference, the executive officer may affirm, modify or dismiss the citation, including any fine levied or order of abatement issued. The executive officer shall state in writing the reasons for his or her action and serve or mail, as provided in subsection (b) of section 1399.463, a copy of his or her findings and decision to the person cited within ten days from the date of the informal conference. This decision shall be deemed to be a final order with regard to the citation issued, including the fine levied and the order of abatement.
(c) The person cited does not waive his or her request for a hearing to contest a citation by requesting an informal conference after which the citation is affirmed by the executive officer. If the citation is dismissed after the informal conference, the request for a hearing on the matter of the citation shall be deemed to be withdrawn. If the citation, including any fine levied or order of abatement, is modified, the citation originally issued shall be considered withdrawn and new citation issued. If a hearing is requested for the subsequent citation, it shall be requested within 30 days in accordance with subdivision (b)(4) of section 125.9.
NOTE

Authority cited: Sections 125.9, 148 and 4933, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 6-14-95; operative 7-14-95 (Register 95, No. 24).
§1399.469. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), the Acupuncture Board shall consider the disciplinary guidelines entitled “Department of Consumer Affairs, Acupuncture Board `Disciplinary Guidelines' 1996” which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation is appropriate where the Acupuncture Board in its sole discretion determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Section 4933, Business and Professions Code; and Sections 11400.20 and 11400.21, Government Code. Reference: Sections 11400.20, 11400.21 and 11425.50(e), Government Code.
HISTORY

1. New section filed 6-25-97; operative 7-1-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 26).
2. Change without regulatory effect amending section filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
Article 7. Acupuncture Corporations
§1399.470. Citation and Authority.
Note     •     History

These regulations may be cited and referred to as the “Acupuncture Corporation Regulations”.
NOTE

Authority and reference cited: Sections 4933 and 4979, Business and Professions Code.
HISTORY

1. New Article 7 (Sections 1399.470-1399.481) filed 4-26-79; effective thirtieth day thereafter (Register 79, No. 17).
2. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
3. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
§1399.471. Professional Relationships and Responsibilities Not Affected.
Note     •     History

NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Section 4977, Business and Professions Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Repealer filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
§1399.472. Office for Filing.
Note     •     History

NOTE

Authority cited: Sections 4933 and 4979, Business and Professions Code.
HISTORY

1. Repealer filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
§1399.473. Application.
Note     •     History

NOTE

Authority cited: Sections 4933 and 4979, Business and Professions Code.
HISTORY

1. Repealer filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
§1399.474. Approval and Issuance of Certificates.
Note     •     History

NOTE

Authority cited: Sections 4933 and 4979, Business and Professions Code.
HISTORY

1. Repealer filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
§1399.475. Requirements for Acupuncture Corporations.
Note     •     History

An acupuncture corporation shall comply with the following provisions:
(a) The corporation is organized and exists pursuant to the general corporation law and is a professional corporation within the meaning of Part 4, Division 3, Title 1 of the Corporations Code.
(b) Each shareholder, director, and officer (except as provided in Section 13403 of the Corporations Code and Section 4977.2 of the code) holds a valid acupuncture certificate. An acupuncturist may be a shareholder in more than one acupuncture corporation.
(c) Each professional employee of the corporation who will practice acupuncture, whether or not a director, officer, or shareholder, holds a valid acupuncture certificate.
NOTE

Authority cited: Sections 4933 and 4979, Business and Professions Code. Reference: Sections 4975 and 4977.2, Business and Professions Code; and Sections 13401, 13403, 13405, 13406 and 13407, Corporations Code.
HISTORY

1. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
§1399.476. Namestyle.
Note     •     History

The name of the corporation and any name or names under which it may render professional services shall include words or abbreviations denoting corporate existence limited to the following: “Professional Corporation,” “Prof. Corp.,” “Corporation,” “Corp.,” “Incorporated,” or “Inc.”
NOTE

Authority cited: Sections 4933 and 4979, Business and Professions Code. Reference: Section 4938, Business and Professions Code; and Section 13409, Corporations Code.
HISTORY

1. Amendment of NOTE filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
§1399.477. Shares: Ownership and Transfer.
Note     •     History

(a) Where there are two or more shareholders in an acupuncture corporation and one of the shareholders:
(1) Dies or
(2) Becomes a disqualified person as defined in Section 13401(d) of the Corporations Code, his or her shares shall be sold and transferred to the corporation, its shareholders, or other eligible licensed persons on such terms as are agreed upon. Such sale or transfer shall not be later than six (6) months after any such death and not later than ninety (90) days after the date the shareholder becomes a disqualified person. The requirements of this subsection shall be set forth in the acupuncture corporation's articles of incorporation or bylaws.
(b) A corporation and its shareholders may, but need not, agree that shares sold to it by a person who becomes a disqualified person may be resold to such person if and when he or she again becomes an eligible shareholder.
(c) The share certificates of an acupuncture corporation shall contain an appropriate legend setting forth the restrictions of subsection (a).
(d) Nothing in these regulations shall be construed to prohibit an acupuncture corporation from owning shares in a nonprofessional corporation.
NOTE

Authority cited: Sections 4933 and 4979, Business and Professions Code. Reference: Sections 4977.1 and 4979, Business and Professions Code; Sections 13401, 13403, 13406 and 13407, Corporations Code.
HISTORY

1. Amendment of subsection (f) filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Amendment filed 10-14-83; effective thirtieth day thereafter (Register 83, No. 42).
§1399.478. Trusts.
Note     •     History

The restrictions on the ownership of the shares of professional corporations shall apply to both the legal and equitable title to such shares.
NOTE

Authority cited: Sections 4933 and 4979, Business and Professions Code. Reference: Sections 13406 and 13407, Corporations Code.
HISTORY

1. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
2. Renumbering of former Section 1399.480 to Section 1399.478 filed 9-8-89; operative 10-8-89 (Register 89, No. 37). For prior history of former Section 1399.478, see registers, 85, No. 10 and 81, No. 32.
§1399.479. Corporate Activities.
Note     •     History

(a) An acupuncture corporation may perform any act authorized in its articles of incorporation or bylaws so long as that act is not in conflict with or prohibited by these regulations, the Acupuncture Certification Act or the regulations adopted pursuant thereto.
(b) An acupuncture corporation may enter into partnership agreements with other acupuncturists practicing individually or in a group or with other acupuncture corporations.
NOTE

Authority cited: Sections 4933 and 4979, Business and Professions Code. Reference: Section 4979, Business and Professions Code; Sections 13403, 13408, and 13410, Corporations Code.
HISTORY

1. Amendment filed 8-5-81; effective thirtieth day thereafter (Register 81, No. 32).
Article 8. Continuing Education
§1399.480. Definitions.
Note     •     History

(a) For purposes of this article:
(1) “Provider” means those persons or organizations approved by the board to offer continuing education.
(2) “Course” means a systematic learning experience, at least one hour in length, which deals with and is designed for the acquisition of knowledge, skills and information relevant to the practice of acupuncture.
(3) “Hour” means at least fifty (50) minutes of participation in an organized learning experience.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4934.2 and 4945, Business and Professions Code.
HISTORY

1. Renumbering of former Section 1399.480 to Section 1399.478, and new Section 1399.480 filed 9-8-89; operative 10-8-89 (Register 89, No. 37). For prior history, see Registers 85, No. 10 and 81, No. 32.
2. Amendment of subsection (b)(1) filed 2-3-94; operative 3-5-94 (Register 94, No. 5).
3. Repealer and new section filed 4-3-95; operative 5-3-95 (Register 95, No. 14).
4. Change without regulatory effect amending subsection (a)(1) filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
5. Amendment of subsection (a)(1) and Note filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§1399.481. Criteria for Provider Approval.
Note     •     History

(a) In order to be a provider, those persons, organizations, schools or other entities seeking approval shall submit to the board a Continuing Education Provider Application, (Rev. 5/08), that is hereby incorporated by reference, accompanied by the fee set forth in Section 1399.462. All provider applications and documentation submitted to the Board shall be typewritten and in English.
(b) The approval of the provider shall expire two (2) years after it is issued by the Board and may be renewed upon the filing of the required application and fee.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4934.2 and 4945, Business and Professions Code.
HISTORY

1. New section filed 9-8-89; operative 10-8-89 (Register 89, No. 37). For prior history, see Register 85, No. 10 and 81, No. 32.
2. Repealer and new section filed 4-3-95; operative 5-3-95 (Register 95, No. 14).
3. Change without regulatory effect amending section filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
4. Amendment of subsections (a) and (c) and Note filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§1399.482. Approved Providers.
Note     •     History

(a) For the purpose of this Article, the title “provider” can only be used when a person or organization has submitted a provider application, remitted the appropriate fee, received approval by the board and has been issued a provider number.
(b) A person or organization may be issued only one provider number. When two or more providers co-sponsor a course, the course shall be identified by only one provider number and that provider shall assume responsibility for recordkeeping, advertising, issuance of certificates, instructor(s) qualifications, and any other requirements.
(c) A provider shall keep the following records for a period of four years in one identified location:
(1) Course outlines of each approved course given.
(2) Record of time and places of each approved course given.
(3) Course instructor curriculum vitaes or resumes.
(4) The attendance record for each approved course that shows the name, signature and license number of the acupuncturists who took the course and a record of any certificates issued to them.
(5) Participant evaluation forms for each approved course given.
(d) Providers shall issue, within 60 days of the conclusion of an approved course, to each participant who has completed the course, a typewritten or printed certificate of completion that contains the following information:
(1) Provider's name and number.
(2) Course title.
(3) Participant's name and, if applicable, his or her acupuncture license number.
(4) Date and location of course.
(5) Number of continuing education hours completed.
(6) Statement directing the acupuncturist to retain the certificate for at least four (4) years from the date of completion of the course.
(e) Providers shall notify the board within 30 days of any changes in organizational structure of a provider or the person(s) responsible for the provider's continuing education course, including name, address, or telephone number changes.
(f) Provider approval is non-transferable.
(g) The board retains the right and authority to audit or monitor courses given by any provider.
(h) Upon request, providers shall submit to the board attendance records for an approved course that includes name, signature and license number of the acupuncturists taking the course and course evaluation forms completed by the participant on the quality and usefulness of the course. 
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4934.2 and 4945, Business and Professions Code.
HISTORY

1. New section filed 9-8-89; operative 10-8-89 (Register 89, No. 37).
2. Renumbering and amendment of former section 1399.482 to section 1399.489 and new section filed 4-3-95; operative 5-3-95 (Register 95, No. 14).
3. Change without regulatory effect amending subsections (d), (f)-(h) and (j) filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
4. Amendment of section and Note filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§1399.483. Approval of Continuing Education Courses.
Note     •     History

(a) Only a provider may obtain approval to offer continuing education courses.
(b) The content of all courses of continuing education submitted for board approval shall be relevant to the practice of acupuncture and Asian medicine and shall fall within the following two (2) categories:
(1) Category 1 courses are those courses related to clinical matters or the actual provision of health care to patients. Examples of Category 1 courses include, but are not limited to, the following: 
(A) Acupuncture and Asian Medicine 
(B) Western biomedicine and biological sciences. 
(C) Scientific or clinical content with a direct bearing on the quality of patient care, community or public health, or preventive medicine. 
(D) Courses concerning law and ethics and health facility standards. 
(E) Courses designed to develop a licensee's patient education skills, including, but not limited to, patient education in therapeutic exercise techniques, nutritional counseling, and biomechanical education. 
(F) Courses designed to enhance a licensee's ability to communicate effectively with other medical practitioners. 
(G) Courses in acupuncture's role in individual and public health, such as emergencies and disasters. 
(H) Courses in the behavioral sciences, patient counseling, and patient management and motivation when such courses are specifically oriented to the improvement of patient health. 
(I) Research and evidence-based medicine as related to acupuncture and Asian medicine. 
(2) Category 2 courses are those courses unrelated to clinical matters or the actual provision of health care to patients. Examples of Category 2 courses include, but are not limited to, the following: 
(A) Practice management courses unrelated to clinical matters and direct patient care, including, but not limited to administrative record keeping, laws and regulations unrelated to clinical medicine, insurance billing and coding, and general business organization and management. 
(B) Breathing and other exercises, i.e. qi gong and taiji quan that are for the benefit of the licensee and not the patient. 
(c) Each provider shall include, for each course offered, a method by which the course participants evaluate the following:
(1) The extent to which the course met its stated objectives.
(2) The adequacy of the instructor's knowledge of the course subject.
(3) The utilization of appropriate teaching methods.
(4) The applicability or usefulness of the course information.
(5) Other relevant comments.
(d) Courses designed to be completed by an individual on an independent or home study basis shall not exceed 50% of the required continuing education hours.
(1) Courses that require practical or hands on techniques may not be approved for independent or home study. 
(2) Courses approved for independent or home study shall include a self-assessment by the licensee upon completion of the course that tests the participants mastery of the course material. 
(e) A provider is prohibited from selling, advertising or promoting any named brand product or service during a course. A provider shall ensure that any discussion of name product or service is objectively selected and presented with favorable and unfavorable information and balanced discussion of prevailing information on the product, competing products, alternative treatments or services. A provider shall ensure written disclosure to the audience, at the time of the program, of any relationship between any named product(s) or services discussed and the provider or between any such products or service and any individuals instructor, presenter, panelist, or moderator. However, a provider may offer for sale products or services after the course has been completed as long as it is made clear to all participants that they are under no obligation whatsoever to stay for the sales presentation or purchase any products. Nothing in this subdivision shall be interpreted as restricting a provider from discussing generic products during a course. 
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4934.2 and 4945, Business and Professions Code.
HISTORY

1. New section filed 9-8-89; operative 10-8-89 (Register 89, No. 37).
2. Repealer and new section filed 4-3-95; operative 5-3-95 (Register 95, No. 14).
3. Amendment of subsection (d) filed 12-31-99; operative 1-30-2000 (Register 99, No. 53).  
4. Amendment of section and Note filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§1399.484. Application for Course Approval.
Note     •     History

(a) Providers may not offer a course for continuing education hours without prior approval from the board. To obtain approval for a course, a provider shall submit to the board, at least 45 days before the course is first offered, a request for course approval, in English, on the “Request for Continuing Education (CE) Course Approval Form” (Rev. 5/08) that is hereby incorporated by reference.
(b) When a previously approved course is to be repeated, the provider shall notify the board in writing of the new date and location at least 30 days before the new course date.
(c) Providers shall notify the board of any changes to the date or location of an approved course. A change to the date of an approved course may not be prior to the date for which the course was originally approved. 
(d) Providers shall notify the board within 48 hours of a course date if the approved course is postponed. The provider shall notify the board in writing of the new date and location of the postponed course. If a postponed course is not taught within three (3) months of the original course date, the provider must reapply for approval. 
(e) Any changes in the content of or instructor(s) for an approved course shall require the submittal of a new course application at least 45 days before the course begins. 
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4934.2 and 4945, Business and Professions Code.
HISTORY

1. New section filed 9-8-89; operative 10-8-89 (Register 89, No. 37).
2. Repealer and new section filed 4-3-95; operative 5-3-95 (Register 95, No. 14).
3. Change without regulatory effect amending subsections (a) and (a)(5)-(c) filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
4. Amendment of section and Note filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§1399.485. Instructors.
Note     •     History

(a) It shall be the responsibility of each provider to use qualified instructors.
(b) Instructors teaching approved continuing education courses shall have the following minimum qualifications:
(1) An acupuncturist instructor, shall
(A) hold a current valid license to practice acupuncture or is otherwise authorized to act as a guest acupuncturist in accordance with section 4949 of the code. A “current valid license” is one that has not been revoked, suspended, placed on probation, voluntarily surrendered or otherwise disciplined by the board, and
(B) be knowledgeable, current and skillful in the subject matter of the course as evidenced through:
1. holding a baccalaureate or higher degree from a college or university and written documentation of experience in the subject matter or
2. have at least two years' experience in teaching similar subject matter content within the five years preceding the course; or
3. have at least two years' experience within the last five years in the specialized area in which he or she is teaching.
(2) A non-acupuncturist instructor shall
(A) be currently licensed or certified in his or her area of expertise if appropriate, and
(B) show written evidence of specialized training, that may include, but not be limited to, a certificate of training or an advanced degree in given subject area, and
(C) have at least two years' teaching experience within the last five years in the specialized area in which he or she teaches.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4934.2, 4945 and 4949, Business and Professions Code.
HISTORY

1. New section filed 9-8-89; operative 10-8-89 (Register 89, No. 37).
2. Renumbering and amendment of former section 1399.485 to section 1399.489.1 and new section filed 4-3-95; operative 5-3-95 (Register 95, No. 14).
3. Change without regulatory effect amending subsection (b)(1)(A) filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
4. Amendment of subsections (b)(1)(A) and (b)(1)(B)1.-3., (b)(2)(B)-(C) and Note filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§1399.486. Advertisements.
Note     •     History

(a) Information disseminated by providers publicizing continuing education shall be true and not misleading and shall include the following:
(1) Course titles shall reflect course content and may not contain marketing language. 
(2) A clear, concise description of the course content and objectives.
(3) Whether the course has been approved as a Category 1 or Category 2 course. 
(4) The date and location of the course.
(5) The provider's name, provider's number and telephone number.
(6) The statement “This course has been approved by the California Acupuncture Board, Provider Number ____, for ____ hours of continuing education in Category _______.”
(7) Provider's policy on refunds for cases of non-attendance or cancellations.
(8) A written disclosure of all products that will be for sale after completion of the course.
(b) A provider may not describe a course as being board approved until written confirmation of approval by the board has been received by the provider. Where a provider is waiting for a determination by the board on a request for course approval, the provider may advertise that the course is “pending” approval. A provider that advertises that its course is pending approval shall assume all responsibility if the course is subsequently denied by the board.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4934.2 and 4945, Business and Professions Code.
HISTORY

1. New section filed 4-3-95; operative 5-3-95 (Register 95, No. 14).
2. Change without regulatory effect amending subsections (a)(4) and (b) filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
3. Amendment of section and Note filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§1399.487. Denial, Withdrawal and Appeal of Approval.
Note     •     History

(a) The board may deny a provider application or withdraw its approval of a provider for causes that include, but are not limited to, the following:
(1) the provider or applicant has been convicted of a crime substantially related to the activities of a provider or licensee;
(2) the provider or applicant has failed to comply with any provision of Chapter 12, Division 2 of the Business and Professions Code or Division 13.7 of Title 16 of the California Code of Regulations;
(3) the provider or applicant has had a license revoked, suspended, placed on probation, voluntarily surrendered or otherwise disciplined by the board; 
(4) the board may suspend review and approval of an application if an administrative action is pending against an applicant's license.
(b) Any material misrepresentation of fact by a provider or applicant in any information required to be submitted to the board is grounds for withdrawal or denial of an application.
(c) The board may withdraw its approval of a provider or a course after giving the provider written notice setting forth its reasons for withdrawal and after giving the provider a reasonable opportunity to be heard by the board or its designee.
(d) Should the board deny approval of a provider or a course request, the applicant may appeal the action by submitting to the board, a letter stating the reason(s) for the appeal. The letter of appeal shall be filed with the board within ten (10) days of the mailing of the applicant's notification of the board's denial. The appeal shall be considered by the board or its designee. In the event that the board or its designee grants the appeal after the date of the course for which the appeal is being made, the board will accept continuing education hours from its licensees who completed the course.
NOTE

Authority cited: Section 4933, Business and Professions Code.  Reference: Sections 4934.2 and 4945, Business and Professions Code.
HISTORY

1. New section filed 2-3-94; operative 3-5-94 (Register 94, No. 5).
2. Renumbering and amendment of former section 1399.487 to section 1399.489.2 and new section filed 4-3-95; operative 5-3-95 (Register 95, No. 14).
3. Change without regulatory effect amending section filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
4. Amendment of subsections (a)-(a)(2), new subsections (a)(3)-(4) and amendment of subsection (d) and Note filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§1399.488. Processing Times for Provider and Course Request Applications.
Note     •     History

(a) The board shall inform a provider seeking approval within thirty (30) days after receipt of a completed application and required fees of its decision whether the application has been approved.
(b) The board shall inform a provider seeking course approval within thirty (30) days after receipt of a completed application form together with all required information and documentation whether the course is approved.
(c) If a provider seeking approval submits a request for a course approval along with the initial provider application, the course request will not be considered for approval until the provider application is approved. In such cases, the board's processing time for the course request will be in accordance with Section 1399.488(b).
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 4934.2 and 4945, Business and Professions Code.
HISTORY

1. New section filed 4-3-95; operative 5-3-95 (Register 95, No. 14).
2. Change without regulatory effect amending section filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
3. Amendment of section and Note filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§1399.489. Continuing Education Compliance.
Note     •     History

(a) With the exception of those holding an inactive license, when renewing an initial license that has been issued for less than two years, licensees shall complete the following hours of board-approved continuing education:

	Period of	Required Continuing
	Initial Licensure	Education Hours

	13-16 Months	 35
	17-20 Months	 40
	21-23 Months	 45

Thereafter, all licensees shall complete 50 hours every two years as a condition of renewal. No more than five (5) hours of continuing education in each two-year period may be obtained in Category 2.
(b) Licensees are limited to fifty percent (50%) of the required continuing education hours every two (2) years for independent or home study courses.
(c) Each licensee at the time of license renewal shall sign a statement under penalty of perjury that he or she has or has not complied with the continuing education requirements. It shall constitute unprofessional conduct for any licensee to misrepresent completion of the required continuing education.
(d) The board may audit a random sample of licensees who have reported compliance with the continuing education requirement. 
(e) Any licensee selected for audit shall be required to submit documentation or records of continuing education coursework that he or she has taken and completed.
(f) Each licensee shall retain for a minimum of four (4) years records of all continuing education programs that he or she has attended that indicate the provider's name, title of the course or program, date(s) and location of course, and number of continuing education hours awarded.
(g) Instructors of approved continuing education courses may receive one hour of continuing education credit for each classroom hour completed as an instructor, up to a maximum of six (6) hours of continuing education credit per year, regardless of how many hours or courses are taught. Participation as a member of a panel presentation for an approved course shall not entitle the participant to earn continuing education hours equal to the actual panel presentation time within the appropriate category.
(h) Any licensee who participates in the development of an occupational analysis, an examination development session, item review session or a passing score workshop, shall receive one (1) hour of continuing education for every two (2) hours of participation. 
NOTE

Authority cited: Section 4933, Business and Professions Code.  Reference: Sections 4938, 4945 and 4955, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1399.482 to section 1399.489 filed 4-3-95; operative 5-3-95 (Register 95, No. 14).
2. Amendment of subsection (f) filed 7-25-97; operative 8-24-97 (Register 97, No. 30).
3. Amendment of section heading, new subsection (a), and amendment of Note filed 7-29-98; operative 8-28-98 (Register 98, No. 31).
4. Change without regulatory effect amending subsections (a) and (c) filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
5. Editorial correction of subsection (f) (Register 2004, No. 46).
6. Amendment filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§1399.489.1. Inactive License.
Note     •     History

(a) Any licensee who is not actively engaged in the practice of acupuncture desiring an inactive license under the provisions of Article 9 (commencing with Section 700) Chapter 1 of Division 2 of the code or to restore an inactive license to active status shall submit a completed “Active/Inactive License Application” (Rev. 5/08), that is hereby incorporated by reference, to the board. The applicant need not submit his or her certificate or a copy thereof to the board with the application.
(b) To restore an inactive license to active status, the licensee shall have completed a minimum of 50 hours of approved continuing education within the last two (2) years in compliance with this article. At least 45 hours of continuing education must be in coursework approved as Category 1. In the event a license has been inactive less than one (1) year, a minimum of 25 hours of continuing education is required, with at least 22 hours of coursework approved as Category 1.
(c) The inactive status of any licensee shall not deprive the board of its authority to institute or continue a disciplinary proceeding against a licensee upon any ground provided by law or to enter an order suspending or revoking a license or otherwise taking disciplinary action against the licensee on any such ground.
NOTE

Authority cited: Section 4933, Business and Professions Code. Reference: Sections 704 and 4945, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1399.485 to section 1399.489.1 filed 4-3-95; operative 5-3-95 (Register 95, No. 14).
2. Change without regulatory effect amending subsections (a) and (c) filed 2-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 8).
3. Amendment of subsections (a) and (b) filed 8-25-2008; operative 9-24-2008 (Register 2008, No. 35).
§1399.489.2. Continuing Education: Courses in Practice Management and Medical Ethics.
Note     •     History

NOTE

Authority cited: Section 4933, Business and Professions Code.  Reference: Section 4945, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1399.487 to section 1399.489.2 filed 4-3-95; operative 5-3-95 (Register 95, No. 14).
2. Repealer filed 1-27-2000; operative 2-26-2000 (Register 2000, No. 4).  
Division 13.8. Physician Assistant Examining Committee of the Medical Board of California
Article 1. General Provisions
§1399.500. Citation.
Note     •     History

This chapter may be cited and referred to as the “Physician Assistant Regulations.”
NOTE

Authority and reference cited: Section 3510, Business and Professions Code.
HISTORY

1. Repealer of Article 1 (Sections 1399.500-1399.516, not consecutive) and new Article 1 (Sections 1399.500-1399.518, not consecutive) filed 8-23-79; effective thirtieth day thereafter (Register 79, No. 34). For history of former Article, see Register 77, No. 48.
2. Amendment filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
3. Renumbering of Chapter 13.7 (Sections 1399.500-1399.615, not consecutive) to Chapter 13.8 filed 12-14-84; effective thirtieth day thereafter (Register 84, No. 50).
4. Editorial correction of division heading (Register 92, No. 6).
5. Change without regulatory effect amending section filed 3-3-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 9).
§1399.501. Location of Office.
Note     •     History

The principal offices of the Physician Assistant Committee are located at 2005 Evergreen Street, Suite 1100, Sacramento, California 95815.
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Section 2019, Business and Professions Code.
HISTORY

1. Amendment filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Change without regulatory effect filed 2-5-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
3. Change without regulatory effect amending section filed 3-3-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 9).
4. Change without regulatory effect amending section filed 10-12-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 42).
§1399.502. Definitions.
Note     •     History

For the purposes of the regulations contained in this chapter, the terms
(a) “Board” or “Division” means the Division of Licensing of the Medical Board of California.
(b) “Committee” means the Physician Assistant Committee.
(c) “Code” means the Business and Professions Code.
(d) “Physician assistant” means a person who is licensed by the committee as a physician assistant.
(e) “Trainee” means a person enrolled and actively participating in an approved program of instruction for physician assistants.
(f) “Approved program” means a program for the education and training of physician assistants which has been approved by the committee.
(g) “Supervising physician” and “physician supervisor” mean a physician licensed by the division or a physician licensed by the Osteopathic Medical Board of California.
(h) “Approved controlled substance education course” means an educational course approved by the Committee pursuant to section 1399.610. 
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Section 3510, Business and Professions Code.
HISTORY

1. Amendment filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
2. New subsection (g) filed 7-12-85; effective thirtieth day thereafter (Register 85, No. 28).
3. Change without regulatory effect filed 2-5-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
4. Change without regulatory effect amending subsections (a), (b) and (g) filed 3-3-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 9).
5. New subsection (h) filed 10-17-2008; operative 10-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 42).
§1399.503. Delegation of Functions.
Note     •     History

Except for those powers reserved exclusively to the “agency itself” under the Administrative Procedure Act, Section 11500, et seq. of the Government Code, the division or the committee, as the case may be, delegates and confers upon the executive officer of the Committee, or in his or her absence, the designee of the executive officer, all functions necessary to the dispatch of business of the division and Committee in connection with investigative and administrative proceedings under their jurisdiction, including, the ability to accept default decisions and to approve settlement agreements for the surrender or interim suspension of a license.
NOTE

Authority cited: Sections 2018 and 3510, Business and Professions Code. Reference: Sections 3528 and 3529, Business and Professions Code; and Section 11415.60, Government Code.
HISTORY

1. Amendment filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Amendment of section and Note filed 10-6-2011; operative 11-5-2011 (Register 2011, No. 40).
§1399.504. Prior Approval or Certification to Practice as a Physician's Assistant. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Sections 2141, 3503, 3514, 3515, 3517, and 3519, Business and Professions Code.
HISTORY

1. Renumbering and amendment to Section 1399.520 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
§1399.505. Prior Approval to Supervise. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code.
HISTORY

1. Repealer filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
§1399.506. Filing of Applications.
Note     •     History

(a) Applications for licensure as a physician assistant shall be filed on a form provided by the committee at its Sacramento office and accompanied by the fee required in section 1399.550.
(b) Applications for approval of programs for the education and training of physician assistants shall be filed on a form provided by the committee at its Sacramento office and accompanied by the fee required in section 1399.556.
NOTE

Authority cited: Sections 2018, 3510 and 3514, Business and Professions Code. Reference: Sections 3509, 3513 and 3514, Business and Professions Code.
HISTORY

1. Amendment file 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Change without regulatory effect filed 2-5-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
3. Change without regulatory effect repealing subsection (b) and relettering and amending former subsection (c) as newly designated subsection (b) filed 3-3-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 9).
§1399.507. Examination Required.
Note     •     History

The written examination for licensure as a physician assistant is that administered by the National Commissionon Certification of Physician Assistants. Successful completion requires that the applicant have achieved the passing score established by the committee for that examination. It is the responsibility of the applicant to ensure that certification of his or her examination score is received by the committee.
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Sections 851, 3515 and 3517, Business and Professions Code.
HISTORY

1. Amendment filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Change without regulatory effect filed 2-5-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
§1399.507.5. Physical or Mental Examination of Applicants.
Note     •     History

In addition to any other requirements for licensure, whenever it reasonably appears that an applicant for a license may be unable to perform as a physician assistant safely because the applicant's ability to perform may be impaired due to mental illness or physical illness affecting competency, the Committee may require the applicant to be examined by one or more physicians and surgeons or psychologists designated by the Committee. The applicant shall pay the full cost of such examination. An applicant's failure to comply with the requirement shall render his or her application incomplete. The report of the evaluation shall be made available to the applicant. If after receiving the evaluation report the Committee determines that the applicant is unable to safely practice, the Committee may deny the application. 
NOTE

Authority cited: Sections 3504.1 and 3510, Business and Professions Code. Reference: Sections 3514.1 and 3519.5, Business and Professions Code. 
HISTORY

1. New section filed 10-6-2011; operative 11-5-2011 (Register 2011, No. 40).
§1399.508. Interim Approval. [Repealed]
Note     •     History

NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Sections 3514 and 3517, Business and Professions Code.
HISTORY

1. Amendment filed 9-2-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Amendment and lettering of first paragraph to subsection (a) and new subsection (b) filed 9-15-89; operative 10-15-89 (Register 89, No. 38).
3. Amendment filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
4. Change without regulatory effect repealing section filed 10-12-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 42).
§1399.509. Billing for Medical Services Rendered by the Physician's Assistant. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code.
HISTORY

1. Repealer filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
§1399.510. Patient Informed Consent. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 2018 and 3510, Business and Professions Code. Reference: Sections 3502 and 3513, Business and Professions Code.
HISTORY

1. Amendment filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
2. Renumbering and amendment to Section 1399.538 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
§1399.511. Notice of Change of Address.
Note     •     History

(a) Each person or approved program holding a license or approval and each person or program who has an application on file with the board or the committee shall notify the committee at its office of any and all changes of mailing address within thirty (30) calendar days after each change, giving both the old and new address.
(b) If an address reported to the committee is a post office box, the licensee shall also provide the committee with a street address, but he or she may request that the second address not be disclosed to the public.
NOTE

Authority cited: Sections 3510 and 3514, Business and Professions Code. Reference: Sections 136, 3514 and 3522, Business and Professions Code.
HISTORY

1. Change without regulatory effect filed 2-5-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
2. Amendment of section and Note filed 6-7-2001; operative 7-1-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 23).
3. Change without regulatory effect amending subsection (a) filed 10-12-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 42).
§1399.512. Review of Physician Assistant Applications; Processing Time.
Note     •     History

(a) The committee shall inform an applicant for licensure as a physician assistant in writing within 28 days of receipt of an application whether the application is complete and accepted for filing or is deficient and what specific information is required.
(b) The committee shall inform an applicant for licensure as a physician assistant within 10 days after completion of the application, of its decision whether the applicant meets the requirements for licensure. “Completion of the application” means that a completed application form together with all required information, documentation and fees have been filed by the applicant.
(c) The minimum, median and maximum processing time for an application for licensure as a physician assistant from the time of receipt of the initial application until the committee makes a final decision on the application has been:

(1) Minimum	4 days

(2) Median	128 days

(3) Maximum 	994 days
(d) An applicant shall be deemed to have abandoned his or her licensure application if the application is not completed or if requested documents or information are not provided or if required fees are not paid, within one year from the date of filing or written request by the committee. An application submitted subsequent to an abandoned application shall be treated as a new application.
NOTE

Authority cited: Sections 3510 and 3514, Business and Professions Code; and Section 15376, Government Code. Reference: Section 3514, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New section filed 12-1-83; effective thirtieth day thereafter (Register 83, No. 49).
2. Change without regulatory effect filed 2-5-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
3. Change without regulatory effect amending subsection (c) filed 3-3-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 9).
§1399.513. Advertising. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 651 and 3510, Business and Professions Code. Reference: Sections 651, 651.3 and 3527, Business and Professions Code.
HISTORY

1. New section filed 4-10-80; effective thirtieth day thereafter (Register 80, No. 15).
2. Renumbering and amendment to Section 1399.524 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
§1399.514. Renewal of License.
Note     •     History

(a) As a condition of renewal, a licensee shall disclose whether, since the licensee last applied for renewal, he or she has been convicted of any violation of the law in this or any other state, the United States, or other country, omitting traffic infractions under $300 not involving alcohol, dangerous drugs, or controlled substances.
(b) As a condition of renewal, a licensee shall disclose whether, since the licensee last applied for renewal, he or she has been denied a license or had a license disciplined by another licensing authority of this state, of another state, of any agency of the federal government, or of another country.
(c) Failure to comply with the requirements of this section renders any application for renewal incomplete and the license will not be renewed until the licensee demonstrates compliance with all requirements.
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Sections 141, 490, 3504.1, 3523, 3524, 3527 and 3531, Business and Professions Code.
HISTORY

1. New section filed 10-5-2009; operative 11-4-2009 (Register 2009, No. 41). For prior history, see Register 83, No. 39.
§1399.515. Denial, Suspension or Revocation of Approval to Supervise a Physician's Assistant. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 3527, Business and Professions Code.
HISTORY

1. Renumbering and amendment to Section 1399.522 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
§1399.516. Substantial Relationship Criteria. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 481, 3510, and 3529, Business and Professions Code. Reference: Sections 480, 481, 490, 3527, 3529, and 3531, Business and Professions Code.
HISTORY

1. Renumbering and amendment to Section 1399.525 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
§1399.517. Rehabilitation Criteria for Denials and Reinstatements. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 482, 3510, and 3529, Business and Professions Code. Reference: Sections 480, 482, 490, 3527, 3529, and 3531, Business and Professions Code.
HISTORY

1. Renumbering and amendment to Section 1399.526 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
§1399.518. Rehabilitation Criteria for Suspensions and Revocations. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 482, 3510, and 3529, Business and Professions Code. Reference: Sections 480, 482, 490, 3527, 3529, and 3531, Business and Professions Code.
HISTORY

1. Renumbering and amendment to Section 1399.527 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
§1399.519. Review of Applications for Approval as a Supervising Physician; Processing Time. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 2018 and 3514, Business and Professions Code; and Section 15376, Government Code. Reference: Section 3514, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New section filed 10-3-3; effective thirtieth day thereafter (Register 83, No. 43).
2. Change without regulatory effect repealing section filed 3-3-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 9).
Article 2. Enforcement
§1399.520. Practice as a Physician Assistant.
Note     •     History

No person shall practice as a physician assistant in this state unless he or she is a trainee or is licensed to practice as a physician assistant by the committee.
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Section 2052, 2061, 3515 and 3517, Business and Professions Code.
HISTORY

1. Repealer of former section 1399.520, and renumbering and amendment of former section 1399.504 to section 1399.520 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39). For prior history, see Register 79, No. 34.
2. Amendment of article 2 heading filed 7-18-85; effective thirtieth day thereafter (Register 85, No. 32).
3. Change without regulatory effect filed 2-5-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
4. Change without regulatory effect amending section filed 10-12-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 42).
§1399.521. Denial, Suspension or Revocation of a Physician Assistant License.
Note     •     History

In addition to the grounds set forth in section 3527, subd. (a), of the code the committee may deny, issue subject to terms and conditions, suspend, revoke or place on probation a physician assistant for the following causes:
(a) Any violation of the State Medical Practice Act which would constitute unprofessional conduct for a physician and surgeon.
(b) Using fraud or deception in passing an examination administered or approved by the committee.
(c) Practicing as a physician assistant under a physician who has been prohibited by the division or the Osteopathic Medical Board of California from supervising physician assistants.
(d) Performing medical tasks which exceed the scope of practice of a physician assistant as prescribed in these regulations.
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Section 3527, Business and Professions Code.
HISTORY

1. Repealer of former section 1399.521, and renumbering of former section 1399.514 to Section 1399.521 filed9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Change without regulatory effect filed 2-5-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
3. Change without regulatory effect repealing subsection (c), relettering subsections and amending newly designated subsection (c) filed 3-3-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 9).
§1399.521.5. Unprofessional Conduct.
Note     •     History

In addition to the conduct described in Section 3527 of the Code, “unprofessional conduct” also includes the following: 
(a) Including or permitting to be included any of the following provisions in an agreement to settle a civil dispute arising from the licensee's practice to which the licensee is or expects to be named as a party, whether the agreement is made before or after the filing of an action: 
(1) A provision that prohibits another party to the dispute from contacting, cooperating, or filing a complaint with the Committee. 
(2) A provision that requires another party to the dispute to attempt to withdraw a complaint the party has filed with the Committee. 
(b) Failure to provide to the Committee, as directed, lawfully requested copies of documents within 15 days of receipt of the request or within the time specified in the request, whichever is later, unless the licensee is unable to provide the documents within this time period for good cause, including but not limited to, physical inability to access the records in the time allowed due to illness or travel. This subsection shall not apply to a licensee who does not have access to, and control over, medical records. 
(c) The commission of any act of sexual abuse or misconduct. 
(d) Failure to cooperate and participate in any Committee investigation pending against the licensee. This subsection shall not be construed to deprive a licensee of any privilege guaranteed by the Fifth Amendment to the Constitution of the United States, or any other constitutional or statutory privileges. This subsection shall not be construed to require a licensee to cooperate with a request that would require the licensee to waive any constitutional or statutory privilege or to comply with a request for information or other matters within an unreasonable period of time in light of the time constraints of the licensee's practice. Any exercise by a licensee of any constitutional or statutory privilege shall not be used against the licensee in a regulatory or disciplinary proceeding against the licensee. 
(e) Failure to report to the Committee within 30 days any of the following: 
(1) The bringing of an indictment or information charging a felony against the licensee. 
(2) The arrest of the licensee. 
(3) The conviction of the licensee, including any verdict of guilty, or pleas of guilty or no contest, of any felony or misdemeanor. 
(4) Any disciplinary action taken by another licensing entity or authority of this state or of another state or an agency of the federal government or the United States military. 
(f) Failure or refusal to comply with a court order, issued in the enforcement of a subpoena, mandating the release of records to the Committee. 
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Sections 3504.1 and 3510, Business and Professions Code.
HISTORY

1. New section filed 10-6-2011; operative 11-5-2011 (Register 2011, No. 40).
§1399.522. Denial, Suspension or Revocation of Approval to Supervise a Physician Assistant. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 3527, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1399.522 to section 1399.545, and renumbering and amendment of former section 1399.515 to section 1399.522 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Change without regulatory effect filed 2-5-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
3. Change without regulatory effect repealing section filed 3-3-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 9).
§1399.523. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedures Act (Government Code Section 11400 et seq.), the Physician Assistant Committee shall consider the disciplinary guidelines entitled “Physician Assistant Committee Manual of Model Disciplinary Guidelines and Model Disciplinary Orders” 3rd Edition 2007, which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the Physician Assistant Committee, in its sole discretion, determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case; evidentiary problems.
Notwithstanding the disciplinary guidelines, any proposed decision issued in accordance with the procedures set forth in Chapter 5 (commencing with Section11500) of Part 1 of Division 3 of Title 2 of the Government Code that contains any finding of fact that the licensee engaged in any act of sexual contact, as defined in subdivision (c) of Section 729 of the Code, with a patient, or any finding that the licensee has committed a sex offense or been convicted of a sex offense as defined in Section 44010 of the Education Code, shall contain an order revoking the license. The proposed decision shall not contain an order staying the revocation of the license. 
NOTE

Authority cited: Sections 3510, 3527, 3528, 3529, 3530, 3531, 3532 and 3533, Business and Professions Code; and Section 11400.20, Government Code. Reference: Sections 11400.20 and 11425.50(e), Government Code; and Sections 729, 3527, 3528, 3529, 3530, 3531, 3532 and 3533, Business and Professions Code.
HISTORY

1. New section filed 6-19-97; operative 6-19-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 25). For prior history, see Register 83, No. 39.
2. Amendment filed 7-30-2002; operative 8-29-2002 (Register 2002, No. 31)
3. Amendment of section and Note filed 5-12-2008; operative 6-11-2008 (Register 2008, No. 20).
4. Amendment of section and Note filed 10-6-2011; operative 11-5-2011 (Register 2011, No. 40).
§1399.523.5. Required Actions Against Registered Sex Offenders.
Note     •     History

(a) Except as otherwise provided, if an individual is required to register as a sex offender pursuant to Section 290 of the Penal Code, or the equivalent in another state or territory, or military or federal law, the Committee shall: 
(1) Deny an application by the individual for licensure, in accordance with the procedures set forth in Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code. 
(2) Promptly revoke the license of the individual, in accordance with the procedures set forth in Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code, and shall not stay the revocation nor place the license on probation. 
(3) Deny any petition to reinstate or reissue the individual's license. 
(b) This section shall not apply to any of the following: 
(1) An individual who has been relieved under Section 290.5 of the Penal Code of his or her duty to register as a sex offender, or whose duty to register has otherwise been formally terminated under California law or the law of the jurisdiction that required registration; provided, however, that nothing in this paragraph shall prohibit the Committee from exercising its discretion to deny or discipline a licensee under any other provision of state law. 
(2) An individual who is required to register as a sex offender pursuant to Section 290 of the Penal Code solely because of a misdemeanor conviction under Section 314 of the Penal Code; provided, however, that nothing in this paragraph shall prohibit the Committee from exercising its discretion to deny or discipline a licensee under any other provision of state law based upon the licensee's conviction under section 314 of the Penal Code. 
(3) Any administrative proceeding that is fully adjudicated prior to the effective date of this regulation. A petition for reinstatement of a revoked or surrendered license shall be considered a new proceeding for purposes of this paragraph, and the prohibition in subsection (a) against reinstating a license shall govern. 
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Sections 3504.1, 3510, 3527, 3528, 3530 and 3531, Business and Professions Code. 
HISTORY

1. New section filed 10-6-2011; operative 11-5-2011 (Register 2011, No. 40).
§1399.524. Advertising.
Note     •     History

A licensed physician assistant may advertise the provisions of professional services authorized to be provided by such license in a manner authorized by Section 651 of the code so long as such advertising does not promote the excessive or unnecessary use of such services.
NOTE

Authority cited: Sections 651 and 3510, Business and Professions Code. Reference: Section 651, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 1399.524 to Section 1399.530, and renumbering and amendment of former Section 1399.513 to Section 1399.524 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39). For prior history, see Registers 82, No. 1 and 79, No. 34.
§1399.525. Substantial Relationship Criteria.
Note     •     History

For the purposes of the denial, suspension or revocation of a license pursuant to division 1.5 (commencing with section 475) of the code, a crime or act shall be considered to be substantially related to the qualifications, functions or duties of a person holding a license under the Physician Assistant Practice Act if to a substantial degree it evidences present or potential unfitness of a person holding such a license to perform the functions authorized by the license in a manner consistent with the public health, safety or welfare. Such crimes or acts shall include, but are not limited to, the following:
(a) Violating or attempting to violate, directly or indirectly, or assisting in or abetting the violation of, or conspiring to violate any provision or term of the Medical Practice Act.
(b) Violating or attempting to violate, directly or indirectly, or assisting in or abetting the violation of, or conspiring to violate any provision or term of the Physician Assistant Practice Act.
(c) A conviction of child abuse.
(d) Conviction as a sex offender.
(e) Any crime or act involving the sale, gift, administration, or furnishing of narcotics or dangerous drugs or dangerous devices, as defined in Section 4022 of the code.
(f) Conviction for assault and/or battery.
(g) Conviction of a crime involving lewd conduct.
(h) Conviction of a crime involving fiscal dishonesty.
(i) Conviction for driving under the influence of drugs or alcohol.
NOTE

Authority cited: Sections 481, 2018 and 3510, Business and Professions Code. Reference cited: Sections 481, 3527 and 3531, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1399.525 to section 1399.531, and renumbering and amendment of former section 1399.516 to section 1399.525 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39). For prior history, see Registers 82, No. 10 and 79, No. 34.
2. Change without regulatory effect filed 2-5-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
3. Amendment of first paragraph and subsection (b) and new subsections (c)-(i) filed 5-9-2000; operative 6-8-2000 (Register 2000, No. 19).
4. Change without regulatory effect amending first paragraph filed 10-12-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 42).
§1399.526. Rehabilitation Criteria for Denials and Reinstatements.
Note     •     History

(a) When considering the denial of a license under section 480 of the code, the committee or the board, as the case may be, in evaluating the rehabilitation of the applicant and his or her present eligibility for a license, shall consider the following criteria:
(1) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial under section 480 of the code.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subsection (a) or (b).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(5) Evidence, if any, of rehabilitation submitted by the applicant.
(b) When considering a petition for reinstatement of a license under the provisions of section 11522 of the Government Code, the committee or board, as the case may be, shall evaluate evidence of rehabilitation submitted by the petitioner considering those criteria specified in this section.
NOTE

Authority cited: Sections 482, 2018 and 3510, Business and Professions Code. Reference: Sections 482, 3527 and 3531, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1399.526 to section 1399.535, and renumbering and amendment of former section 1399.517 to section 1399.526, filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Change without regulatory effect filed 2-5-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
3. Change without regulatory effect amending subsections (a) and (b) filed 10-12-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 42).
§1399.527. Rehabilitation Criteria for Suspensions and Revocations.
Note     •     History

When considering the suspension or revocation of a license on the ground that a person holding a license under the Physician Assistant Practice Act has been convicted of a crime, the committee or the board, as the case may be, in evaluating the rehabilitation of such person and his or her eligibility for a license shall consider the following criteria:
(a) The nature and severity of the act(s) or offense(s).
(b) The total criminal record.
(c) The time that has elapsed since commission of the act(s) or offense(s).
(d) Whether the licensee has complied with any terms of parole, probation, restitution or any other sanctionslawfully imposed against such person.
(e) If applicable, evidence of expungement proceedings pursuant to section 1203.4 of the Penal Code.
(f) Evidence, if any of rehabilitation submitted by the licensee.
NOTE

Authority cited: Sections 482, 2018 and 3510, Business and Professions Code. Reference: Sections 482, 3527 and 3531, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1399.527 to section 1399.536, and renumbering and amendment of former section 1399.518 to section 1399.527 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Change without regulatory effect filed 2-5-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
3. Change without regulatory effect amending first paragraph filed 10-12-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 42).
Article 3. Education and Training
§1399.528. Identification of a Primary Care Physician's Assistant and Trainees in Approved Programs. [Renumbered]
History

HISTORY

1. Renumbering and amendment to Section 1399.539 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
§1399.530. General Requirements for an Approved Program.
Note     •     History

(a) A program for instruction of physician assistants shall meet the following requirements for approval:
(1) The educational program shall be established in educational institutions accredited by an accrediting agency recognized by Council for Higher Education Accreditation (“CHEA”) or its successor organization, or the U.S. Department of Education, Division of Accreditation, which are affiliated with clinical facilities that have been evaluated by the educational program.
(2) The educational program shall develop an evaluation mechanism to determine the effectiveness of its theoretical and clinical program.
(3) Course work shall carry academic credit; however, an educational program may enroll students who elect to complete such course work without academic credit.
(4) The medical director of the educational program shall be a physician who holds a current license to practice medicine from any state or territory of the United States or, if the program is located in California, holds a current California license to practice medicine.
(5) The educational program shall require a three-month preceptorship for each student in the outpatient practice of a physician or equivalent experience which may be integrated throughout the program or may occur as the final part of the educational program in accordance with Sections 1399.535 and 1399.536.
(6) Each program shall submit an annual report regarding its compliance with this section on a form provided by the committee.
(b) Those educational programs accredited by the Accreditation Review Commission on Education for the Physician Assistant (“ARC-PA”) shall be deemed approved by the committee. Nothing in this section shall be construed to prohibit the committee from disapproving an educational program which does not comply with the requirements of this article. Approval under this section terminates automatically upon termination of an educational program's accreditation by ARC-PA.
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Sections 3509 and 3513, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1399.524 to section 1399.530 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Renumbering and amendment of former article 3 heading to article 4, redesignation of sections 1399.530-1399.532, 1399.535, 1399.536, 1399.538 and 1399.539 as new article 3, and amendment of section 1399.530(a) and (f) filed 7-18-85; effective thirtieth day thereafter (Register 85, No. 32).
3. Amendment filed 1-8-90; operative 2-7-90 (Register 90, No. 3).
4. Change without regulatory effect amending subsection (a) filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
5. Amendment filed 11-21-2000; operative 12-21-2000 (Register 2000, No. 47).
6. Change without regulatory effect amending subsection (b) filed 3-3-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 9).
§1399.531. Curriculum Requirements for an Approved Program for Primary Care Physician Assistants.
Note     •     History

(a) The curriculum of a program for instruction of primary care physician assistants shall include adequate theoretical instruction in or shall require as prerequisites to entry into the program the following basic education core:
(1) Chemistry
(2) Mathematics, which includes coursework in algebra
(3) English
(4) Anatomy and Physiology
(5) Microbiology
(6) Sociology or cultural anthropology
(7) Psychology
All instruction in the basic education core shall be at the junior college level or its equivalent with the exception of chemistry which may be at the junior college or high school level.
(b) The curriculum of an educational program shall also include or require as prerequisites adequate theoretical and clinical instruction which includes direct patient contact where appropriate, in the following clinical science core:
(1) Community Health and Preventive Medicine
(2) Mental Health
(3) History taking and physical diagnosis
(4) Management of common diseases (acute, chronic, and emergent) including first aid
(5) Concepts in clinical medicine and surgery, such as:
growth and development
nutrition
aging
infection
allergy and sensitivity
tissue healing and repair
oncology
(6) Common laboratory and screening techniques
(7) Common medical and surgical procedures
(8) Therapeutics, including pharmacology
(9) Medical ethics and law
(10) Medical socioeconomics
(11) Counseling techniques and interpersonal dynamics
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference cited: Sections 3509 and 3513, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 1399.525 to Section 1399.531 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Amendment filed 1-8-90; operative 2-7-90 (Register 90, No. 3).
3. Repealer of subsection (a)(1), subsection renumbering, amendment of paragraph preceding subsection (b) and repealer of subsection (c) filed 11-21-2000; operative 12-21-2000 (Register 2000, No. 47).
§1399.532. Requirements for an Approved Program for the Specialty Training of Physician Assistants.
Note     •     History

A program for the specialty training of physician assistants shall meet the general requirements of Section 1399.530, except that a specialty training program need not be located in an educational institution and need not provide academic credit for its coursework, and shall either
(a) accept only trainees who have completed a primary care training program; or,
(b) provide the curriculum set forth in Section 1399.531 in addition to any specialty instruction it may provide.
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Sections 3509 and 3513, Business and Professions Code.
HISTORY

1. New section filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Amendment filed 3-17-87; effective thirtieth day thereafter (Register 87, No. 12).
§1399.535. Requirements for Preceptorship Training.
Note     •     History

An approved program shall have a preceptorship training program which meets the following criteria:
(a) Continuous orientation of preceptors to the goals and purposes of the total educational program as well as the preceptorship training;
(b) Establishment of a program whereby the preceptor shall not be the sole person responsible for the clinical instruction or evaluation of the preceptee.
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Sections 3509 and 3513, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 1399.526 to Section 1399.535 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
§1399.536. Requirements for Preceptors.
Note     •     History

(a) Preceptors participating in the preceptorship of an approved program shall:
(1) Be licensed physicians who are engaged in the practice of medicine which practice is sufficient to adequately expose preceptees to a full range of experience. The practice need not be restricted to an office setting but may take place in licensed facilities, such as hospitals, clinics, etc.
(2) Not have had the privilege to practice medicine terminated, suspended, or otherwise restricted as a result of a final disciplinary action (excluding judicial review of that action) by any state medical board or any agency of the federal government, including the military, within 5 years immediately preceding his or her participation in a preceptorship.
(3) By reason of medical education, specialty and nature of practice be sufficiently qualified to teach and supervise preceptees.
(4) Not be assigned to supervise more than one preceptee at a time.
(5) Teach and supervise the preceptee in accordance with the provisions and limitations of sections 1399.540 and 1399.541.
(6) Shall in conjunction with his or her use of a preceptee, charge a fee for only those personal and identifiable services which he or she, the preceptor, renders. The services of the preceptee shall be considered as part of the global services provided and there shall be no separate billing for the services rendered by the preceptee.
(7) Obtain the necessary patient consent as required in section 1399.538.
(b) It shall be the responsibility of the approved program to assure that preceptors comply with the foregoing requirements.
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Sections 3509 and 3513, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1399.527 to section 1399.536 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Change without regulatory effect filed 2-5-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
3. Amendment of subsection (a)(2) filed 11-21-2000; operative 12-21-2000 (Register 2000, No. 47).
§1399.538. Patient Informed Consent.
Note     •     History

No trainee including preceptees in any approved program shall render general medical services to any patient except in emergencies unless said patient has been informed that such services will be rendered by that trainee. In cases where the medical service to be rendered by the trainee is surgical in nature or where the trainee is to assist in a surgical procedure except in emergencies, the patient on each occasion shall be informed of the procedure to be performed by that trainee under the supervision of the program's instructors or physician preceptors and have consented in writing prior to performance to permit such rendering of the surgical procedure by the trainee.
It shall be the responsibility of the approved educational program to assure that the instructors or physician preceptors obtain the necessary consent.
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Section 3513, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 1399.510 to Section 1399.538 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
§1399.539. Identification of Trainees in Approved Programs.
Note     •     History

A trainee enrolled in an approved program for physician assistants shall at all times wear an identification badge on an outer garment and in plain view, which states the student's name and the title:

PHYSICIAN ASSISTANT STUDENT
or
PHYSICIAN ASSISTANT TRAINEE
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Sections 3509 and 3513, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 1399.528 to Section 1399.539 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
Article 4. Practice of Physician Assistants
§1399.540. Limitation on Medical Services.
Note     •     History

(a) A physician assistant may only provide those medical services which he or she is competent to perform and which are consistent with the physician assistant's education, training, and experience, and which are delegated in writing by a supervising physician who is responsible for the patients cared for by that physician assistant. 
(b) The writing which delegates the medical services shall be known as a delegation of services agreement. A delegation of services agreement shall be signed and dated by the physician assistant and each supervising physician. A delegation of services agreement may be signed by more than one supervising physician only if the same medical services have been delegated by each supervising physician. A physician assistant may provide medical services pursuant to more than one delegation of services agreement.
(c) The committee or division or their representative may require proof or demonstration of competence from any physician assistant for any tasks, procedures or management he or she is performing. 
(d) A physician assistant shall consult with a physician regarding any task, procedure or diagnostic problem which the physician assistant determines exceeds his or her level of competence or shall refer such cases to a physician.
NOTE

Authority cited: Sections 2018, 3502 and 3510, Business and Professions Code. Reference: Section 3502, Business and Professions Code.
HISTORY

1. Repealer and new section filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39). For prior history, see Register 79, No. 34.
2. Amendment filed 7-12-85; effective thirtieth day thereafter (Register 85, No. 28).
3. Renumbering and amendment of former Article 3 (Sections 1399.540- 1399.545, not consecutive) to Article 4 filed 7-18-85; effective thirtieth day thereafter (Register 85, No. 32).
4. Amendment filed 7-8-2008; operative 8-7-2008 (Register 2008, No. 28).
§1399.541. Medical Services Performable.
Note     •     History

Because physician assistant practice is directed by a supervising physician, and a physician assistant acts as an agent for that physician, the orders given and tasks performed by a physician assistant shall be considered the same as if they had been given and performed by the supervising physician. Unless otherwise specified in these regulations or in the delegation or protocols, these orders may be initiated without the prior patient specific order of the supervising physician.
In any setting, including for example, any licensed health facility, out-patient settings, patients' residences, residential facilities, and hospices, as applicable, a physician assistant may, pursuant to a delegation and protocols where present:
(a) Take a patient history; perform a physical examination and make an assessment and diagnosis therefrom; initiate, review and revise treatment and therapy plans including plans for those services described in Section 1399.541(b) through Section 1399.541(i) inclusive; and record and present pertinent data in a manner meaningful to the physician.
(b) Order or transmit an order for x-ray, other studies, therapeutic diets, physical therapy, occupational therapy, respiratory therapy, and nursing services.
(c) Order, transmit an order for, perform, or assist in the performance of laboratory procedures, screening procedures and therapeutic procedures.
(d) Recognize and evaluate situations which call for immediate attention of a physician and institute, when necessary, treatment procedures essential for the life of the patient.
(e) Instruct and counsel patients regarding matters pertaining to their physical and mental health. Counseling may include topics such as medications, diets, social habits, family planning, normal growth and development, aging, and understanding of and long-term management of their diseases.
(f) Initiate arrangements for admissions, complete forms and charts pertinent to the patient's medical record, and provide services to patients requiring continuing care, including patients at home. 
(g) Initiate and facilitate the referral of patients to the appropriate health facilities, agencies, and resources of the community.
(h) Administer or provide medication to a patient, or issue or transmit drug orders orally or in writing in accordance with the provisions of subdivisions (a)-(f), inclusive, of Section 3502.1 of the Code.
(i)(1) Perform surgical procedures without the personal presence of the supervising physician which are customarily performed under local anesthesia. Prior to delegating any such surgical procedures, the supervising physician shall review documentation which indicates that the physician assistant is trained to perform the surgical procedures. All other surgical procedures requiring other forms of anesthesia may be performed by a physician assistant only in the personal presence of an approved supervising physician.
(2) A physician assistant may also act as first or second assistant in surgery under the supervision of an approved supervising physician.
NOTE

Authority cited: Sections 2018, 3502 and 3510, Business and Professions Code. Reference: Sections 2058, 3502 and 3502.1, Business and Professions Code.
HISTORY

1. Repealer of former section 1399.541 and renumbering and amendment of former section 1399.523 to section 1399.541 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39). For prior history, see Registers 82, No. 10; 80, No. 6; and 79, No. 34.
2. Amendment of subsection (h) filed 7-12-85; effective thirtieth day thereafter (Register 85, No. 28).
3. Amendment of subsection (f) filed 8-24-89; operative 9-23-89 (Register 89, No. 36).
4. Amendment filed 1-28-92; operative 2-27-92 (Register 92, No. 12).
5. Editorial correction of printing error in first paragraph (Register 92, No. 27).
6. Change without regulatory effect amending subsection (h) and Note filed 8-3-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 31).
§1399.542. Delegated Procedures.
Note     •     History

The delegation of procedures to a physician assistant under Section 1399.541, subsections (b) and (c) shall not relieve the supervising physician of primary continued responsibility for the welfare of the patient.
NOTE

Authority cited: Sections 2018 and 3502, Business and Professions Code. Reference: Section 3502, Business and Professions Code.
HISTORY

1. Repealer and new section filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
§1399.543. Training to Perform Additional Medical Services.
Note     •     History

A physician assistant may be trained to perform medical services which augment his or her current areas of competency in the following settings:
(a) In the physical presence of a supervising physician who is directly in attendance and assisting the physician assistant in the performance of the procedure;
(b) In an approved program;
(c) In a medical school approved by the Division of Licensing under Section 1314;
(d) In a residency or fellowship program approved by the Division of Licensing under Section 1321;
(e) In a facility or clinic operated by the Federal government;
(f) In a training program which leads to licensure in a healing arts profession or is approved as Category I continuing medical education or continuing nursing education by the Board of Registered Nursing.
NOTE

Authority cited: Sections 2018 and 3502, Business and Professions Code. Reference: Section 3502, Business and Professions Code.
HISTORY

1. New section filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Amendment of first paragraph filed 1-28-92; operative 2-27-92 (Register 92, No. 12).
3. Change without regulatory effect amending subsection (a) filed 3-3-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 9).
§1399.545. Supervision Required.
Note     •     History

(a) A supervising physician shall be available in person or by electronic communication at all times when the physician assistant is caring for patients.
(b) A supervising physician shall delegate to a physician assistant only those tasks and procedures consistent with the supervising physician's specialty or usual and customary practice and with the patient's health and condition.
(c) A supervising physician shall observe or review evidence of the physician assistant's performance of all tasks and procedures to be delegated to the physician assistant until assured of competency.
(d) The physician assistant and the supervising physician shall establish in writing transport and back-up procedures for the immediate care  of patients who are in need of emergency care beyond the physician assistant's scope of practice for such times when a supervising physician is not on the premises.
(e) A physician assistant and his or her supervising physician shall establish in writing guidelines for the adequate supervision of the physician assistant which shall include one or more of the following mechanisms:
(1) Examination of the patient by a supervising physician the same day as care is given by the physician assistant;
(2) Countersignature and dating of all medical records written by the physician assistant within thirty (30) days that the care was given by the physician assistant;
(3) The supervising physician may adopt protocols to govern the performance of a physician assistant for some or all tasks. The minimum content for a protocol governing diagnosis and management as referred to in this section shall include the presence or absence of symptoms, signs, and other data necessary to establish a diagnosis or assessment, any appropriate tests or studies to order, drugs to recommend to the patient, and education to be given the patient. For protocols governing procedures, the protocol shall state the information to be given the patient, the nature of the consent to be obtained from the patient, the preparation and technique of the procedure, and the follow-up care. Protocols shall be developed by the physician, adopted from, or referenced to, texts or other sources. Protocols shall be signed and dated by the supervising physician and the physician assistant. The supervising physician shall review, countersign, and date a minimum of 5% sample of medical records of patients treated by the physician assistant functioning under these protocols within thirty (30) days. The physician shall select for review those cases which by diagnosis, problem, treatment or procedure represent, in his or her judgment, the most significant risk to the patient;
(4) Other mechanisms approved in advance by the committee.
(f) The supervising physician has continuing responsibility to follow the progress of the patient and to make sure that the physician assistant does not function autonomously. The supervising physician shall be responsible for all medical services provided by a physician assistant under his or her supervision.
NOTE

Authority cited: Sections 2018, 3502 and 3510, Business and Professions Code. Reference: Sections 3502 and 3516, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1399.522 to section 1399.545 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Amendment filed 7-12-85; effective thirtieth day thereafter (Register 85, No. 28).
3. Amendment of subsection (e)(3) and repealer of subsection (g) and relettering filed 1-28-92; operative 2-27-92 (Register 92, No. 12).
4. Change without regulatory effect repealing subsection (f) and relettering subsections filed 10-12-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 42).
§1399.546. Reporting of Physician Assistant Supervision.
Note     •     History

Each time a physician assistant provides care for a patient and enters his or her name, signature, initials, or computer code on a patient's record, chart or written order, the physician assistant shall also enter the name of his or her supervising physician who is responsible for the patient. When a physician assistant transmits an oral order, he or she shall also state the name of the supervising physician responsible for the patient.
NOTE

Authority cited: Sections 2018 and 3510, Business and Professions Code. Reference: Section 3502, Business and Professions Code.
HISTORY

1. New section filed 1-4-87; effective thirtieth day thereafter (Register 87, No. 3).
2. Change without regulatory effect filed 2-5-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
3. Change without regulatory effect amending section filed 3-3-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 9).
§1399.547. Notification to Consumers.
Note     •     History

(a) A licensee engaged in providing medical services shall provide notification to each patient of the fact that the licensee is licensed and regulated by the committee. The notification shall include the following statement and information:

NOTIFICATION TO CONSUMERS
Physician assistants are licensed and regulated
by the Physician Assistant Committee
(916) 561-8780
www.pac.ca.gov
(b) The notification required by this section shall be provided by one of the following methods:
(1) Prominently posting the notification in an area visible to patients on the premises where the licensee provides the licensed services, in which case the notice shall be in at least 48-point type in Arial font.
(2) Including the notification in a written statement, signed and dated by the patient or the patient's representative and retained in that patient's medical records, stating the patient understands the physician assistant is licensed and regulated by the committee.
(3) Including the notification in a statement on letterhead, discharge instructions, or other document given to a patient or the patient's representative, where the notice is placed immediately above the signature line for the patient in at least 14-point type.
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Section 138, Business and Professions Code.
HISTORY

1. New section filed 7-12-2011; operative 8-11-2011 (Register 2011, No. 28).
Article 5. Fees
§1399.550. Physician Assistant Fees.
Note     •     History

The following fees for physician assistants are established:
(a) The application fee shall be $25.00.
(b) The fee for an initial license shall be $200.00.
(c) The fee for renewal of a license shall be $300.00.
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Sections 3513, 3521 and 3521.1, Business and Professions Code.
HISTORY

1. Repealer of article 4 designation and former section 1399.550, renumbering of former section 1399.612 to section 1399.550, and redesignation of new section 1399.550 to article 3 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Redesignation of sections 1399.550-1399.554 as article 5 (Register 85, No. 32). For History of former article 5 (sections 1399.560-1399.565), see Register 83, No. 39.
3. Change without regulatory effect filed 2-5-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
4. Amendment of section and Note filed 5-11-2000; operative 6-10-2000 (Register 2000, No. 19).
5. Change without regulatory effect amending subsections (b) and (c) filed 10-12-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 42).
§1399.551. Waiver of Initial License Fee. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 3510 and 3523, Business and Professions Code. Reference: Section 3523, Business and Professions Code.
HISTORY

1. Repealer of former section 1399.551, renumbering and amendment of former section 1399.613 to section 1399.551, and redesignation of new section 1399.551 to article 3 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Change without regulatory effect filed 2-5-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
3. Change without regulatory effect repealing section filed 8-21-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 34).
§1399.552. Conversion Renewal Schedule. [Repealed]
Note     •     History

NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Sections 3521.1 and 3523, Business and Professions Code.
HISTORY

1. Repealer filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39).
2. New section filed 3-28-84; effective thirtieth day thereafter (Register 84, No. 13).
3. Repealer filed 2-6-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 11).
§1399.553. Physician Supervisor Fees. [Repealed]
Note     •     History

NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Section 3521, Business and Professions Code.
HISTORY

1. Repealer of former section 1399.553, renumbering of former section 1399.610 to section 1399.553, and redesignation of new section 1399.553 to article 3 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39). For prior history, see Registers 82, No. 2; 80, No. 15; 79, No. 34; and 78, No. 17.
2. Amendment filed 3-28-84; effective thirtieth day thereafter (Register 84, No. 13).
3. Change without regulatory effect filed 2-5-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 11).
4. Amendment of subsections (b) and (c) filed 6-13-91; operative 7-13-91 (Register 91, No. 35).
5. Amendment filed 6-3-94; operative 7-5-94 (Register 94, No. 22).
6. Amendment of subsections (b) and (c) filed 7-29-96; operative 7-29-96 pursuant to Government Code 11343.4(d) (Register 96, No. 31).
7. Amendment filed 5-11-2000; operative 6-10-2000 (Register 2000, No. 19).
8. Change without regulatory effect repealing section filed 3-3-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 9).
§1399.554. Physician Supervisor Fees--Residents and Fellows. [Repealed]
Note     •     History

NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Section 3521, Business and Professions Code.
HISTORY

1. New section filed 7-18-85; effective thirtieth day thereafter (Register 85, No. 32). For prior history, see Register 84, No. 13.
2. Change without regulatory effect repealing section filed 3-3-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 9).
§1399.555. Expiration Date of Approvals. [Repealed]
Note     •     History

NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Section 152.6, Business and Professions Code.
HISTORY

1. Renumbering of former Section 1399.615 to Section 1399.555 and amendment of section heading filed 7-18-85; effective thirtieth day thereafter (Register 85, No. 32). For prior history, see Register 84, No. 13.
2. Change without regulatory effect repealing section filed 3-3-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 9).
§1399.556. Program Fees.
Note     •     History

The following fees for physician assistants training programs are established:
(a) The application fee for program approval shall be $5.00.
(b) The initial approval fee shall be $5.00.
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Section 3521.2, Business and Professions Code.
HISTORY

1. Repealer of former section 1399.556, renumbering of former section 1399.614 to section 1399.556, and redesignation of new section 1399.556 to article 3 filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39). For prior history, see Register 79, No. 34.
2. Amendment filed 3-28-84; effective thirtieth day thereafter (Register 84, No. 13).
3. Change without regulatory effect filed 2-5-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
4. Amendment of section and Note filed 6-7-2001; operative 7-1-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 23).
5. Change without regulatory effect amending subsections (a) and (b) filed 10-12-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 42).
§1399.557. Diversion Program Participation Fee.
Note     •     History

(a) Licensees required to participate in the diversion program as a condition of probation shall pay the full amount of the monthly participation fee charged by the contractor. Licensees voluntarily enrolling in the diversion program shall pay 75% of the monthly participation fee charged by the contractor. Each participant shall pay any and all other costs associated with the diversion program directly to the contractor, including, but not limited to, biological fluid test collection and sampling fees, support group fees, or subsequent evaluations.
(b) The Committee may require the licensee to pay his or her share of the monthly participation fee directly to any contractor providing such services.
(c) This section shall apply to licensees who enter or re-enter diversion on or after the effective date of this section.
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Section 3534.8, Business and Professions Code.
HISTORY

1. New section filed 12-20-2010; operative 1-19-2011 (Register 2010, No. 52).
§1399.560. Definition of an Emergency Care Physician's Assistant. [Repealed]
Note     •     History

NOTE

Authority cited: Section 3510, Business and Professions Code.
HISTORY

1. Repealer of Article 5 (Sections 1399.560-1399.565) filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39). For prior history, see Registers 82, No. 2; 80, No. 15; 79, No. 34; and 78, No. 17.
Article 6. Citations and Fines.
§1399.570. Authority to Issue Citations and Fines.
Note     •     History

(a) For purposes of this article, “executive officer” shall mean the executive officer of the committee.
(b) The executive officer is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and fines for violations by a licensed physician assistant of the statutes and regulations referred to in Section 1399.571.
(c) A citation shall be issued whenever any fine is levied or any order of abatement is issued. Each citation shall be in writing and shall describe with particularity the nature and facts of the violation, including a reference to the statute or regulations alleged to have been violated. The citation shall be served upon the individual personally or by certified mail return receipt requested.
NOTE

Authority cited: Sections 125.9, 148 and 3510, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. Repealer of Article 6 (Sections 1399.570-1399.576) filed 9-20-83; effective thirtieth day thereafter (Register 83, No. 39). For prior history, see Registers 82, No. 2; 80, No. 15; and 79, No. 34).
2. New article 6 (sections 1399.570-1399.574) and section filed 2-21-96; operative 3-22-96 (Register 96, No. 8).
§1399.571. Citable Offenses. 
Note     •     History

(a) The executive officer shall consider the following factors when determining the amount of an administrative fine:
(1) The good or bad faith exhibited by the cited person.
(2) The nature and severity of the violation.
(3) Evidence that the violation was willful.
(4) History of violations of the same or similar nature.
(5) The extent to which the cited person has cooperated with the committee.
(6) The extent to which the cited person has mitigated or attempted to mitigate any damage or injury caused by his or her violation.
(7) Such other matters as justice may require.
(b) The executive officer may issue a citation under section 1399.570 for a violation of any of the following:
(1) The Physician Assistant Practice Act (Business and Professions Code section 3500 et seq.). 
(2) A regulation adopted by the committee. 
(3) Any other statute or regulation upon which the committee may base a disciplinary action.
The fine for a violation shall be from $100 to $5000.
(c) In his or her discretion, the executive officer may issue a citation with an order of abatement without levying a fine for the first violation of any provision set forth above.
(d) For the issuance of a citation that includes an administrative fine in excess of $2,500, including a citation issued pursuant to Section 1399.573, the executive officer shall determine that at least one of the following circumstances apply:
(1) The citation involves a violation that presents an immediate threat to the health and safety of another person.
(2) The citation involves multiple violations of the provisions specified in subdivision (b) that demonstrate a willful disregard of the law.
(3) The citation involves a violation or violations perpetrated against a senior citizen, a person under 18 years of age, or disabled person.
NOTE

Authority cited: Sections 125.9, 148 and 3510, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 2-21-96; operative 3-22-96 (Register 96, No. 8). 
2. Amendment filed 10-30-2008; operative 11-29-2008 (Register 2008, No. 44).
3. Amendment of subsection (b), repealer and new subsections (b)(1)-(3) and repealer of subsections (b)(4)-(71) filed 5-13-2010; operative 6-12-2010 (Register 2010, No. 20).
§1399.572. Compliance with Orders of Abatement.
Note     •     History

(a) If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, the person cited may request an extension of time in which to complete the correction from the executive officer. Such a request shall be in writing and shall be made within the time set forth for abatement.
(b) When an order of abatement is not contested or if the order is appealed and the person cited does not prevail, failure to abate the violation charged within the time allowed shall constitute a violation and a failure to comply with the order of abatement. An order of abatement shall either be personally served or mailed by certified mail, return receipt requested. The time allowed for the abatement of a violation shall begin when the order of abatement is final and has been served or received. Such failure may result in disciplinary action being taken by the committee or other appropriate judicial relief being taken against the person cited.
NOTE

Authority cited: Sections 125.9, 148 and 3510, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 2-21-96; operative 3-22-96 (Register 96, No. 8). 
§1399.573. Citations for Unlicensed Practice.
Note     •     History

The executive officer is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and fines against persons, partnerships, corporations or associations who are performing or who have performed services for which licensure as a physician assistant is required under the Physician Assistant Practice Act. The executive officer is authorized to issue citations and orders of abatement and levy fines only in the case of a physician assistant who has practiced with a delinquent license. Each citation issued shall contain an order of abatement. Where appropriate, the executive officer shall levy a fine for such unlicensed activity in accordance with subdivision (b)(3) of Section 125.9 of the code. The provisions of Sections 1399.570 and 1399.572 shall apply to the issuance of citations for unlicensed activity under this subsection. The sanction authorized under this section shall be separate from and in addition to any other civil or criminal remedies.
NOTE

Authority cited: Sections 125.9, 148 and 3510, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 2-21-96; operative 3-22-96 (Register 96, No. 8). 
2. Change without regulatory effect amending section filed 10-12-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 42).
§1399.574. Contest of Citations.
Note     •     History

(a) In addition to requesting a hearing as provided for in subdivision (b)(4) of Section 125.9 of the code, the person cited may, within 15 calendar days after service of the citation, notify the executive officer in writing of his or her request for an informal conference with the executive officer regarding the acts charged in the citation. The time allowed for the request shall begin the first day after the citation has been served.
(b) The executive officer shall, within 30 calendar days from the receipt of the request, hold an informal conference with the person cited and/or his or her legal counsel or authorized representative. The conference may be held telephonically. At the conclusion of the informal conference the executive officer may affirm, modify or dismiss the citation, including any fine levied or order of abatement issued. The executive officer shall state in writing the reasons for his or her action and serve or mail a copy of his or her findings and decision to the person cited within 15 calendar days from the date of the informal conference, as provided in subsection (b) of section 1399.572. This decision shall be deemed to be a final order with regard to the citation issued, including the fine levied and the order of abatement.
(c) The person cited does not waive his or her request for a hearing to contest a citation by requesting an informal conference after which the citation is affirmed by the executive officer. If the citation is dismissed after the informal conference, the request for a hearing on the matter of the citation shall be deemed to be withdrawn. If the citation, including any fine levied or order of abatement, is modified, the citation originally issued shall be considered withdrawn and a new citation issued. If a hearing is requested for the subsequent citation, it shall be requested within 30 calendar days in accordance with subdivision (b)(4) of Section 125.9 of the code.
NOTE

Authority cited: Sections 125.9, 148 and 3510, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 2-21-96; operative 3-22-96 (Register 96, No. 8). 
Article 7. Approved Controlled Substance Education Courses
§1399.610. Requirements for an Approved Controlled Substance Education Course to Administer, Provide or Issue a Drug Order for Schedule II-V Controlled Substances Without Advance Approval from a Supervising Physician.
Note     •     History

A controlled substance education course shall be deemed approved by the Committee if it meets all of the following criteria: 
(a) The course includes all of the following learning objectives: 
(1) Describes the applicable federal and state laws and regulations pertaining to the provision, administration and furnishing of controlled substances and the legal and professional relationship between a physician assistant and his or her supervising physician. 
(A) This objective shall include a description of the applicable patient charting requirements and the use of secure drug order forms. 
(2) Assessment strategies for the recognition, prevention and management of acute and chronic pain. 
(3) Comparison of efficacy data and safety profiles which influence the selection, usage and conversion of pharmacological agents. 
(4) The evaluation and comparison of the safety and efficacy profiles of controlled substances and the clinical rationale for their use. 
(5) Describes disorders routinely requiring a therapeutic regimen of controlled substances for clinical management. 
(6) Assessment of a controlled substance's potential for abuse and addiction, its psychosocial aspects, the recognition of the symptoms (including controlled substance-seeking behaviors) thereof and medically appropriate alternatives, if any, 
(7) Evaluation of the response and compliance of the patient to the controlled substances. 
(8) Provision of appropriate patient education regarding controlled substances. For the purposes of this subdivision, “controlled substances” means Schedule II through Schedule V controlled substances. 
(b) The course includes a comprehensive written examination, proctored by the course provider at the conclusion of the course, of the material presented. The licensee must successfully complete the examination to receive a certificate of completion issued pursuant to subdivision (b) of section 1399.612. 
(c) The course is at least six (6) hours in duration, of which a minimum of three (3) hours shall be exclusively dedicated to Schedule II controlled substances. A course provider shall not include the time for the written examination specified in subdivision (b) in the (6) six hour requirement. The course shall be completed on or after January 1, 2008. 
(d) The course is provided by one of following entities: 
(1) A physician assistant program approved by the Committee in accordance with section 1399.530. 
(2) A continuing education provider approved by the Medical Board of California for Category I continuing medical education. 
(3) A Category I continuing education provider approved by American Academy of Physician Assistants. 
(4) A Category I continuing education provider approved by the American Medical Association, the California Medical Association and/or the American Osteopathic Association. 
NOTE

Authority cited: Sections 3502, 3502.1 and 3510, Business and Professions Code. Reference: Sections 2058, 3502, 3502.1 and 3509, Business and Professions Code. 
HISTORY

1. New article 7 (sections 1399.610-1399.612) and section filed 10-17-2008; operative 10-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 42). For prior history of article 7, sections 1399.580-1399.586 and article 10, sections 1399.610-1399.615, see Register 83, No. 39.
§1399.612. Responsibilities of Course Providers and Attendees.
Note     •     History

(a) A course provider of any controlled substance educational course intended to meet the requirements of section 1399.610 shall use qualified instructors and shall provide course attendees with a written course outline or syllabus, as applicable. For the purposes of this section, a qualified instructor is a person who holds a current valid license to practice in the appropriate healing arts discipline, is free from any disciplinary action by the applicable licensing jurisdiction, and is knowledgeable, current and skilled in the subject matter of the course, as evidenced through either of the following: 
(1) Experience in teaching similar subject matter content within two years immediately preceding the course; or, 
(2) Has at least one year experience within the last two years in the specialized area in which he or she is teaching. 
(b) A controlled substance course provider shall issue a certificate of completion to each licensee who has successfully completed the course. A certificate of completion shall include the following information: 
(1) Name and license number of the physician assistant. 
(2) Course title and each instructor's name. 
(3) Provider's name and address. 
(4) Date of course completion. 
(c) A controlled substance education course provider shall retain the following records for a period of four years in one location within the State of California or in a place approved by the Committee: 
(1) Course outlines of each course given. 
(2) The date and physical location for each course given. 
(3) The examination proctored at the conclusion of each course and the score of each physician assistant who took the examination. 
(4) Course instructor curriculum vitae or resumes. 
(5) The name and license number of each physician assistant taking an approved course and a record of any certificate of completion issued to a physician assistant. 
A course provider shall make the records specified above available to the Committee upon request. A course provider may retain the records required by this subdivision in an electronic format. 
(d) A physician assistant shall make his or her certificate of completion available for inspection upon the request of his or her employer or prospective employer, supervising physician or the Committee. 
NOTE

Authority cited: Sections 3502 and 3510, Business and Professions Code. Reference: Sections 2058, 3502, 3502.1 and 3509, Business and Professions Code. 
HISTORY

1. New section filed 10-17-2008; operative 10-17-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 42). For prior history of section 1399.612, see Register 83, No. 39.
2. Change without regulatory effect redesignating second subsection (c)(1) as subsection (c)(2), renumbering subsections and amending newly designated subsection (c)(4) filed 10-12-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 42).
Article 8. Continuing Medical Education
§1399.615. Continuing Medical Education Required.
Note     •     History

(a) A physician assistant who renews his or her license on or after January 1, 2011, is required to complete fifty (50) hours of approved continuing medical education during each two (2) year renewal period. 
(b) The requirements of subdivision (a) shall be deemed satisfied if the physician assistant, at the time of renewal, is certified by the National Commission on Certification of Physician Assistants. 
(c) Each physician assistant in order to renew his or her license at each renewal thereof shall report compliance with the provisions of this article by declaring upon application that he or she has complied with the continuing medical education requirements or that the provisions of subdivision (b) are applicable. 
(d) Any physician assistant who does not complete the required hours of approved continuing medical education during the two-year period immediately preceding the expiration date of the license shall be ineligible for renewal of his or her license under section 1399.617, unless such physician assistant applies for and obtains a waiver pursuant to Section 1399.618 below. 
(e) A physician assistant shall retain, for a period of four years after the acquisition of the necessary continuing medical education, records issued by an approved continuing medical education provider that indicate the title of the course or program attended, the dates of attendance and the hours assigned to the course or program, or if a physician assistant is certified by the National Commission on Certification of Physician Assistants at the time of license renewal, evidence of certification shall be retained for four (4) years after such certification is issued. 
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Section 3524.5, Business and Professions Code. 
HISTORY

1. New article 8 (sections 1399.615-1399.619) and section filed 5-13-2010; operative 6-12-2010 (Register 2010, No. 20).
§1399.616. Approved Continuing Medical Education Programs.
Note     •     History

(a) Programs are approved by the committee for continuing medical education if they are designated as Category I (Preapproved) by one of the following sponsors: 
(1) American Academy of Physician Assistants (AAPA). 
(2) American Medical Association (AMA). 
(3) American Osteopathic Association Council on Continuing Medical Education (AOACCME). 
(4) American Academy of Family Physicians (AAFP). 
(5) Accreditation Council for Continuing Medical Education (ACCME). 
(6) A state medical society recognized by the ACCME. 
(b) Continuing medical education obtained from a program other than those specified in subdivision (a) shall not satisfy the continuing education requirement in subdivision (a) of section 1399.615. 
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Section 3524.5, Business and Professions Code. 
HISTORY

1. New section filed 5-13-2010; operative 6-12-2010 (Register 2010, No. 20).
§1399.617. Audit and Sanctions for Noncompliance.
Note     •     History

(a) The Committee may audit a random sample of physician assistants who have reported compliance with the continuing medical education requirement. Those physician assistants selected for audit shall be required to document their compliance with the continuing medical education requirements of this article and shall be required to provide to the Committee the records retained pursuant to subdivision (e) of section 1399.615, except that a physician assistant who complies with the continuing medical education requirements of certification by the National Commission on Certification of Physician Assistants need not provide such records if the Committee may obtain the records directly from the Commission. 
(b) It shall constitute unprofessional conduct for any physician assistant to misrepresent his or her compliance with the provisions of this article. 
(c) In addition to any enforcement action, any physician assistant who was found not to have completed the required number of hours of approved continuing medical education or was found not to hold a valid certification from the National Commission on Certification of Physician Assistants at the time of renewal will be required to make up any deficiency during the next biennial renewal period. Such physician assistant shall document to the Committee the completion of any deficient hours identified by the audit. Any physician assistant who fails to make up the deficient hours during the following renewal period shall be ineligible for renewal of his or her license to perform medical services until such time as the deficient hours of continuing medical education are documented to the Committee. 
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Section 3524.5, Business and Professions Code. 
HISTORY

1. New section filed 5-13-2010; operative 6-12-2010 (Register 2010, No. 20).
§1399.618. Waiver of Continuing Medical Education Requirement.
Note     •     History

(a) The Committee or its designee may, in its discretion, exempt a licensee from the continuing medical education requirements for a renewal cycle, if the licensee cannot meet those requirements for reasons of health, military service, or undue hardship. 
(b) Any licensee whose application for a waiver is denied by the Committee, shall be ineligible for active renewal of his or her license to perform medical services unless the licensee complies with the provisions of Section 1399.615. 
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Section 3524.5, Business and Professions Code. 
HISTORY

1. New section filed 5-13-2010; operative 6-12-2010 (Register 2010, No. 20).
§1399.619. Inactive Status.
Note     •     History

(a) Upon written request, the Committee may grant inactive status to a licensee if, at the time of application for inactive status, the license is current and not suspended, revoked, or otherwise punitively restricted by the Committee. 
(b) A licensee who is inactive shall not engage in any activity for which a license is required. 
(c) An inactive license shall be renewed during the same time period in which an active license is renewed. Any continuing medical education requirements for renewing a license are waived. 
(d) The renewal fee for an inactive license is the same as the fee to renew an active license. 
(e) To restore an inactive license to an active status, the holder shall do both of the following: 
1) Pay the renewal fee. 
2) Complete continuing medical education equivalent to that required for a single renewal period of an active license within the last two years prior to applying to restore the license to active status. 
(f) The inactive status of any licensee does not deprive the Committee of its authority to institute or continue any disciplinary or enforcement action against the licensee.
(g) A license may be placed in inactive status if the licensee applies for renewal and pays all applicable fees, but fails to comply with the continuing medical education requirements of this article. 
NOTE

Authority cited: Section 3510, Business and Professions Code. Reference: Sections 118, 700-704, 3510, 3523, 3524 and 3524.5, Business and Professions Code. 
HISTORY

1. New section filed 5-13-2010; operative 6-12-2010 (Register 2010, No. 20).
Division 13.9. Board of Podiatric Medicine of the Medical Board of California
Article 1. General Provisions
§1399.650. Citation
Note     •     History

This division may be cited and referred to as the “Podiatric Medicine Regulations.”
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2018, Business and Professions Code.
HISTORY

1. New Chapter 13.8 (Articles 1-3, Sections 1399.650-1399.679, not consecutive) filed 12-7-79; effective thirtieth day thereafter (Register 79, No. 49).
2. Amendment filed 8-4-83; effective thirtieth day thereafter (Register 83, No. 32).
3. Renumbering of Chapter 13.8 (Sections 1399.650-1399.697, not consecutive) to Chapter 13.9 filed 12-14-84; effective thirtieth day thereafter (Register 84, No. 50).
4. Amendment filed 4-15-2004; operative 5-15-2004 (Register 2004, No. 16).
§1399.651. Location of Office.
Note     •     History

The principal office of the California Board of Podiatric Medicine is located at 2005 Evergreen Street, Suite 1300, Sacramento, CA 95815-3831.
NOTE

Authority cited: Section 2470, Business and Professions Code. Reference: Section 2470, Business and Professions Code.
HISTORY

1. Change without regulatory effect (Register 87, No. 15).
2. Change without regulatory effect amending section filed 9-10-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 51).
3. Change without regulatory effect amending section filed 3-18-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 12).
§1399.652. Tenses, Gender and Number.
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2119, Business and Professions Code.
HISTORY

1. Repealer filed 8-4-83; effective thirtieth day thereafter (Register 83, No. 32).
§1399.653. Definitions.
Note     •     History

For the purpose of the regulations contained in this chapter, the term:
(a) “Board” means the California Board of Podiatric Medicine.
(b) “Division” means the Division of Licensing of the Medical Board of California.
(c) “Code” means the Business and Professions Code.
NOTE

Authority cited: Section 2470, Business and Professions Code. Reference: Section 2470, Business and Professions Code.
HISTORY

1. Amendment filed 8-4-83; effective thirtieth day thereafter (Register 83, No. 32).
2. Change without regulatory effect (Register 87, No. 15).
3. Change without regulatory effect amending subsection (b) filed 9-10-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 51).
4. Change without regulatory effect amending subsection (b) filed 2-26-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 9).
§1399.654. Continuation of Existing Regulations.
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2119, Business and Professions Code.
HISTORY

1. Repealer filed 8-4-83; effective thirtieth day thereafter (Register 83, No. 32).
§1399.655. Delegation of Functions.
Note     •     History

Except for those powers reserved exclusively to the “agency itself” under the Administrative Procedure Act (Section 11500 et seq. of the Government Code), the board delegates and confers upon the executive officer of the board, or in his or her absence, the executive director or assistant executive director of the Medical Board of California, all functions necessary to the dispatch of business of the board in connection with investigative and administrative proceedings under the jurisdiction of the board.
NOTE

Authority cited: Section 2470, Business and Professions Code. Reference: Sections 2018, 2227, 2228, 2229, 2307 and 2470, Business and Professions Code; and Section 11500, Government Code.
HISTORY

1. Amendment filed 8-4-83; effective thirtieth day thereafter (Register 83, No. 32).
2. Change without regulatory effect (Register 87, No. 15).
3. Change without regulatory effect amending section filed 1-6-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
§1399.656. Filing of Addresses.
Note     •     History

Each person holding a certificate, license or other authority issued under the Medical Practice Act to engage in the practice of podiatric medicine shall file his or her proper and current mailing address with the board in its principal office, and shall immediately notify the board at its office of any and all changes of mailing address, giving both the old and new address.
NOTE

Authority cited: Section 2470, Business and Professions Code. Reference: Section 2422, Business and Professions Code.
HISTORY

1. Amendment filed 8-4-83; effective thirtieth day thereafter (Register 83, No. 32).
2. Change without regulatory effect (Register 87, No. 15).
§1399.657. Fees.
Note     •     History

NOTE

Authority cited: Section 2108, Business and Professions Code. Reference cited: Sections 2450.5, 2458, 2458.1, 2458.2, and 2525, Business and Professions Code.
HISTORY

1. Amendment filed 3-20-78; effective thirtieth day thereafter (Register 78, No. 12).
2. Renumbering of former Section 1369 to Section 1399.657 filed 12-7-79; effective thirtieth day thereafter (Register 79, No. 49).
3. Repealer filed 7-10-81; effective thirtieth day thereafter (Register 81, No. 28).
§1399.658. Professional Podiatry Corporations.
Note     •     History

Professional podiatry corporations shall be subject to and administered according to the provisions of Article 13 of Subchapter 1 of Chapter 13 (Sections 1341-1348) of these regulations.
NOTE

Authority cited: Sections 2018 and 2412, Business and Professions Code. Reference: Section 2406, Business and Professions Code.
HISTORY

1. Renumbering of former Section 1368 to Section 1399.658 filed 12-7-79; effective thirtieth day thereafter (Register 79, No. 49).
2. Amendment filed 8-4-83; effective thirtieth day thereafter (Register 83, No. 32).
§1399.659. Suspension and Revocation of Certificates to Practice Podiatric Medicine.
Note     •     History

Doctors of podiatric medicine whose certificates have been subject to disciplinary action shall be subject to the provisions of Article 3 of Subchapter 2 of Chapter 13 (Sections 1358-1360.2).
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference cited: Sections 481, 482, 2227, 2228, 2229 and 2307, Business and Professions Code.
HISTORY

1. New section filed 8-22-77; effective thirtieth day thereafter (Register 77, No. 35).
2. Renumbering from Section 1367 to Section 1399.659 and amendment filed 12-7-79; effective thirtieth day thereafter (Register 79, No. 49).
3. Amendment filed 8-4-83; effective thirtieth day thereafter (Register 83, No. 32).
Article 2. Licensing, Education and Certification
§1399.660. Applications, Certificates.
Note     •     History

(a) Applications for certificates to practice podiatric medicine and the form and endorsement of such certificates are subject to and administered according to the provisions of Article 2 (Sections 1307, 1308, 1309), Article 9 (Sections 1331-1332) and Article 10 (Section 1335), of the Medical Practice Regulations (Division 13, Chapter 1).
(b) The parts of the examination administered by the National Board of Podiatric Medical Examiners required by the board pursuant to Section 2486(b) of the Code are Parts I, II and III.
(c) Pursuant to Sections 2475.1, 2486 and 2488 of the Code, the board recognizes the respective, corresponding sections of examinations of the United States Medical Licensing Examination and the National Board of Osteopathic Medical Examiners as equivalent in content to those administered by the National Board of Podiatric Medical Examiners.
NOTE

Authority cited: Section 2470, Business and Professions Code. Reference: Sections 482, 2475.1, 2479, 2480, 2486 and 2488, Business and Professions Code.
HISTORY

1. Amendment filed 8-4-83; effective thirtieth day thereafter (Register 83, No. 32).
2. Change without regulatory effect of subsections (b) and (c) (Register 87, No. 15).
3. Change without regulatory effect amending section heading filed 12-4-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 49).
4. Change without regulatory effect amending subsections (b) and (c) filed 2-26-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 9).
5. Amendment filed 1-7-2003; operative 2-6-2003 (Register 2003, No. 2).
6. Amendment of article heading filed 11-12-2003; operative 12-12-2003 (Register 2003, No. 46).
7. New subsection (c) filed 4-17-2008; operative 5-17-2008 (Register 2008, No. 16).
§1399.661. Oral Examination Appeals.
Note     •     History

(a) All appeals from a failure of the oral examination and for reconsideration of the applicant's examination scores shall be received in writing at the Board's office in Sacramento within 45 days from the date on the notification of failure of the examination.
(b) Such an appeal shall state the reasons for the appeal and shall be based upon one or more of the following grounds:
(1) Significant procedural error in the examination process;
(2) Evidence of adverse discrimination;
(3) Evidence of substantial disadvantage to the examinee.
(c) An examinee may review only one time the tape recording of his or her examination prior to filing an appeal or, in the alternative, an examinee who has filed an appeal and received an adverse decision from the board may review only one time the tape recording of his or her examination. Such a review shall take place in the board's office in Sacramento at a time designated by the executive officer. The examinee may be accompanied by his or her legal representative. Such review shall be no longer that three (3) hours in length. Neither the examinee nor his or her legal representative may take notes of the recorded examination.
(d) The review of the oral examination shall be conducted by one or more board members, or the board's designee, and their findings shall be subject to the approval of the board in its discretion.
(e) All oral examination materials shall be retained by the board at the board's office in Sacramento for a period of two (2) years after the date of the examination
(f) Nothing in this section shall be construed to deprive an applicant of his or her rights of appeal as afforded by other provisions of law.
NOTE

Authority cited: Section 2470, Business and Professions Code. Reference: Sections 2480, 2486, 2487, Business and Professions Code; Section 12944, Government Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 15). For history of former section, see Register 83, No. 32 and 79, No. 49.
2. Editorial correction of subsection (c) (Register 95, No. 16).
§1399.662. Approved Schools.
Note     •     History

(a) Colleges of podiatric medicine accredited by the Council on Podiatric Medical Education may be approved by the board for the giving of professional instruction in podiatric medicine to candidates for examination and licensure as a doctor of podiatric medicine.
(b) Nothing contained in this section shall prevent the board from disapproving any college of podiatric medicine which would otherwise be approved under subsection (a) if it does not meet the requirements of the code, including Section 2483, and any regulations of the board.
NOTE

Authority cited: Sections 2015, 2018 and 2470, Business and Professions Code. Reference: Section 2483, Business and Professions Code.
HISTORY

1. Renumbering of section 1366.1 to section 1399.662 filed 12-7-79; effective thirtieth day thereafter (Register 79, No. 49).
2. Repealer and new section filed 8-4-83; effective thirtieth day thereafter (Register 83, No. 32).
3. Change without regulatory effect (Register 87, No. 15).
4. Change without regulatory effect amending subsection (a) filed 1-6-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
5. Amendment of subsection (a) and Note and repealer and new subsection (b) filed 12-11-95; operative 1-10-96 (Register 95, No. 50).
6. Amendment of subsection (a) filed 11-12-2003; operative 12-12-2003 (Register 2003, No. 46).
§1399.663. Review of Specialty Board Applications; Processing Time.
Note     •     History

(a) Within 30 working days of receipt of an application for specialty board approval, the Board of Podiatric Medicine (BPM) shall inform the applicant in writing that it is either complete and accepted for filing and referral to a podiatric medical consultant selected by BPM or that it is deficient and what specific information or documentation is required to complete the application.
(b) Within 918 calendar days from the date of filing of a completed application, BPM shall inform the applicant in writing of its decision regarding the applicant's approval as a specialty board.
NOTE

Authority cited: Sections 651 and 2470, Business and Professions Code; and Section 15376, Government Code. Reference: Sections 651 and 2470, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New section filed 6-27-2000; operative 7-27-2000 (Register 2000, No. 26). For prior history, see Register 97, No. 49.
§1399.664. Review of National Board Applications; Processing Time. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2470, Business and Professions Code; and Section 15376, Government Code. Reference: Section 2480, Business and Professions Code; Section 15376, Government Code.
HISTORY

1. New section filed 10-3-83; effective thirtieth day thereafter (Register 83, No. 41).
2. Change without regulatory effect (Register 87, No. 15).
3. Editorial correction of subsection (b) (Register 95, No. 16).
4. Amendment filed 1-7-2003; operative 2-6-2003 (Register 2003, No. 2).
5. Change without regulatory effect repealing section filed 6-11-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 24).
§1399.665. Review of Reciprocity Applications; Processing Time.
Note     •     History

NOTE

Authority cited: Section 2470, Business and Professions Code; and Section 15376, Government Code. Reference: Section 2480, Business and Professions Code; Section 15376, Government Code.
HISTORY

1. New section filed 10-3-83; effective thirtieth day thereafter (Register 83, No. 41).
2. Change without regulatory effect (Register 87, No. 15).
3. Change without regulatory effect repealing section filed 12-4-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 49).
§1399.666. Equivalent Training.
Note     •     History

Equivalent training as set forth in Section 2483 of the code shall be that training obtained through those educational programs meeting the criteria and guidelines established by the Council on Podiatric Medical Education and accredited by that body, provided the training meets all requirements of the code and regulations.
NOTE

Authority cited: Sections 2015, 2018 and 2470, Business and Professions Code. Reference: Section 2483, Business and Professions Code.
HISTORY

1. Renumbering of section 1366.9 to section 1399.666 filed 12-7-79; effective thirtieth day thereafter (Register 79, No. 49).
2. Amendment filed 8-4-83; effective thirtieth day thereafter (Register 83, No. 32).
3. Change without regulatory effect amending section filed 1-6-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
4. Amendment of section and Note filed 12-11-95; operative 1-10-96 (Register 95, No. 50).
5. Amendment filed 11-12-2003; operative 12-12-2003 (Register 2003, No. 46).
§1399.667. Postgraduate Medical Education.
Note     •     History

Podiatric medical residencies approved by the board in accordance with Section 2484 of the code shall be those that meet the minimum requirements set by the Council on Podiatric Medical Education, have designated a Director of Medical Education, provide emergency medical training through emergency room rotations, measure and evaluate the progress of participants and program effectiveness, have at least a seventy-five per cent pass rate for residents taking the Part III exam of the National Board of Podiatric Medical Examiners within the most recent five-year period, and, in the board's determination, reasonably conform with the Accreditation Council for Graduate Medical Education's Institutional Requirements of the Essentials of Accredited Residencies in Graduate Medical Education: Institutional and Program Requirements, as revised effective September 1998, which are incorporated by reference in their entirety.
Reasonable conformance means that, in applying such requirements, the podiatric medical equivalent should be substituted for references made to general medicine, as appropriate. For example, in regard to resident eligibility and selection, references to “graduates of medical schools accredited by the Liaison Committee on Medical Education” should be interpreted as graduates of podiatric medical schools accredited by the Council on Podiatric Medical Education and approved by the California Board of Podiatric Medicine.
If a residency program falls below the specified seventy-five per cent pass rate, the board may grant the program approval if it determines after review of reports submitted by the program or the board's own site visit team that the program is in reasonable conformance with all applicable requirements.
NOTE

Authority cited: Sections 2015, 2018 and 2470, Business and Professions Code. Reference: Sections 2475, 2475.3 and 2484, Business and Professions Code.
HISTORY

1. Renumbering of Section 1366.8 to Section 1399.667 filed 12-7-79; effective thirtieth day thereafter (Register 79, No. 49).
2. Amendment filed 8-4-83; effective thirtieth day thereafter (Register 83, No. 32).
3. Change without regulatory effect (Register 87, No. 15).
4. Amendment of section and Note filed 12-11-95; operative 1-10-96 (Register 95, No. 50).
5. Amendment of first paragraph, new subsection (b) and amendment of Note filed 8-21-98; operative 9-20-98 (Register 98, No. 34).
6. Amendment of first paragraph filed 11-7-2000; operative 12-7-2000 (Register 2000, No. 45).
7. Amendment of section heading and section filed 11-12-2003; operative 12-12-2003 (Register 2003, No. 46).
§1399.668. Resident's License.
Note     •     History

In order to be issued a license under Section 2475 of the code, a graduate shall:
(a) file an application for registration on a form provided by the board, and
(b) provide documentation that he or she is enrolled in an approved residency program or teaching program of an approved college of podiatric medicine.
NOTE

Authority cited: Section 2470, Business and Professions Code. Reference: Sections 2006 and 2475, Business and Professions Code.
HISTORY

1. New section filed 3-15-83; effective thirtieth day thereafter (Register 83, No. 12).
2. Change without regulatory effect (Register 87, No. 15).
3. Repealer and new section heading filed 11-12-2003; operative 12-12-2003 (Register 2003, No. 46).
§1399.668.1. Certification for Ankle Surgery.
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2473, Business and Professions Code.
HISTORY

1. New section filed 5-25-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 21).
2. Renumbering of Section 1399.668.1 to Section 1399.689 filed 12-20-84; effective thirtieth day thereafter (Register 84, No. 51).
Article 3. Continuing Competence
§1399.669. Continuing Competence Required.
Note     •     History

(a) Each doctor of podiatric medicine is required to complete 50 hours of approved continuing education, including a minimum of 12 hours in subjects related to the lower extremity muscular skeletal system, and one of the continuing competence pathways specified in Business and Professions Code Section 2496(a) through (h), during each two (2) year renewal period.
(b) Each doctor of podiatric medicine renewing his or her license under the provisions of Section 2423 of the code may be required to submit proof satisfactory to the board of compliance with the provisions of this article every two (2) years.
(c) Each doctor of podiatric medicine in order to renew his or her license at each renewal period shall report compliance with the provisions of this article by signing and returning the declaration contained in the license renewal application.
(d) Any doctor of podiatric medicine who cannot comply with the provisions of this article during a two (2) year period shall be ineligible for the next renewal of his or her license unless such licensee applies for and obtains a waiver pursuant to Section 1399.678 below.
NOTE

Authority and reference cited: Section 2496, Business and Professions Code.
HISTORY

1. Amendment filed 8-4-83; effective thirtieth day thereafter (Register 83, No. 32).
2. Renumbering of former section 1399.670 to new section 1399.669 filed 3-8-84; effective thirtieth day thereafter (Register 84, No. 10).
3. Change without regulatory effect of subsection (b) (Register 87, No. 15).
4. Amendment of subsection (a) filed 8-23-93; operative 9-22-93 (Register 93, No. 35).
5. Amendment of article heading, section heading and section filed 7-24-2003; operative 8-23-2003 (Register 2003, No. 30).
§1399.670. Approved Continuing Education Programs.
Note     •     History

Only scientific courses relating directly to patient care under the following categories are approved for continuing medical education credit:
(a) Programs approved by the California Podiatric Medical Association or the American Podiatric Medical Association and their affiliated organizations.
(b) Programs approved for Category 1 credit of the American Medical Association, the California Medical Association, or their affiliated organizations, and programs approved by the American Osteopathic Association, or the California Osteopathic Association or their affiliated organizations.
(c) Programs offered by approved colleges or schools of podiatric medicine, medicine and osteopathic medicine.
(d) Programs approved by a government agency.
(e) Completion of a podiatric residency program or clinical fellowship in a hospital approved under Section 1399.667 shall be credited for 50 hours of approved continuing education.
(f) Programs offered by other individuals, organizations and institutions approved by the board pursuant to Section 1399.671 below.
NOTE

Authority and reference cited: Section 2496, Business and Professions Code.
HISTORY

1. Amendment filed 8-4-83; effective thirtieth day thereafter (Register 83, No. 32).
2. Renumbering and amendment of former section 1399.671 to section 1399.670 and renumbering of former section 1399.670 to new section 1399.669 filed 3-8-84; effective thirtieth day thereafter (Register 84, No. 10).
3. Change without regulatory effect (Register 87, No. 15).
4. Amendment of subsections (a), (b) and (d) filed 8-23-93; operative 9-22-93 (Register 93, No. 35).
5. Amendment of first paragraph filed 5-2-95; operative 6-1-95 (Register 95, No. 18).
6. Amendment of subsection (b), new subsection (d) and subsection relettering filed 7-24-2003; operative 8-23-2003 (Register 2003, No. 30).
§1399.671. Criteria for Approval of Courses.
Note     •     History

(a) Only those individuals, organizations or institutions seeking approval by the board of continuing education courses or programs under Section 1399.671, subs. (e), above, shall apply for such approval on a form provided by the board. Those individuals, organizations and institutions approved under Section 1399.671, subsections (a) through (d) need not apply to the board for approval.
(b) Those individuals, organizations and institutions applying for approval of course or program offerings by the board under Section 1399.671, subs. (e), shall submit such documents and other evidence as may be needed by the board to determine compliance with the criteria set forth below, including but not limited to, catalogues, course descriptions, curricula plans and bulletins.
(c) Those courses or programs referred to in Section 1399.671, subs. (e), shall meet the following criteria in order to be approved by the board on an hour-for-hour basis:
(1) Faculty--The course or program organizer(s) shall have a faculty appointment in a public university or state college or in a private postsecondary educational institution authorized or approved pursuant to Section 94310 of the Education Code. The appointment may be in disciplines other than medicine but directly related to the practice of podiatric medicine or medicine. The curriculum vitae of all faculty members and all other organizers shall be kept on file.
(2) Rationale--The need for the course and how the need was determined shall be clearly stated and maintained on file.
(3) Course Content--The content of the course and how the need was determined shall be clearly stated and maintained on file.
(4) Educational Objectives--Each course or program shall clearly state educational objectives that can be realistically accomplished within the framework of the course.
(5) Method of Instruction--Teaching methods for each course or program shall be described, e.g., lecture, seminar, audio-visual simulation, etc.
(6) Attendance--Course organizers shall maintain a record of attendance of each participant.
NOTE

Authority and reference cited: Section 2496, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 8-4-83; effective thirtieth day thereafter (Register 83, No. 32).
2. Renumbering of former Section 1399.672 to Section 1399.671 and renumbering and amendment of former Section 1399.671 to Section 1399.670 filed 3-8-84; effective thirtieth day thereafter (Register 84, No. 10).
3. Change without regulatory effect of subsections (a)-(c) (Register 87, No. 15).
§1399.672. Continuing Education for Acupuncture Practice.
Note     •     History

(a) A doctor of podiatric medicine may engage in the practice of acupuncture as part of the practice of podiatric medicine if he or she has completed a course of instruction as provided in this section.
(b) The course of instruction shall have a minimum of 25 hours of training and include the following subject areas:
(1) Survey of traditional Oriental medicine: “Traditional Oriental Medicine” is the theory and practice of traditional diagnostic and therapeutic procedures. It is the basis of oriental diagnosis and encompasses the differentiation of syndromes according to symptom complexes of blood, chi and humor, and classical and contemporary literature on acupuncture and Chinese medicine;
(2) Acupuncture points of the lower extremities;
(3) Acupuncture techniques.
(c) The course of instruction shall be obtained from one of the following:
(1) College or school of podiatric medicine approved under Section 1399.661;
(2) A college or school of acupuncture approved by the Acupuncture Examining Committee;
(3) A program approved under Section 1399.670.
(d) A course of instruction in acupuncture which meets the requirements of this section shall be credited toward required hours of continuing education.
NOTE

Authority cited: Section 2496, Business and Professions Code. Reference: Sections 2496 and 4947, Business and Professions Code.
HISTORY

1. Renumbering of former Section 1399.672 to Section 1399.671 and new Section 1399.672 filed 3-8-84; effective thirtieth day thereafter (Register 84, No. 10).
§1399.673. Survey of Need and Self-Assessment Required.
Note     •     History

In addition to any other requirements for approval, all approved individuals, organizations, institutions, and other continuing education providers listed in Section 1399.671, with the exception of residency programs and clinical fellowships, may
(a) Utilize a survey of the podiatric medical community in order to determine those areas of clinical practice in which there is the greatest need in terms of demonstrated and expressed needs for additional information and instruction directly relevant to quality patient care and developments in the practice of podiatric medicine; and
(b) Provide a self-assessment evaluation in an objective format for each participant which pertains to the course content of the particular continuing education program. The evaluations shall be reviewed by the program providers to measure educational needs and to determine whether the objectives of the program have been met, and shall be made available to each participant for his or her review. Evaluations shall not be submitted to the board.
NOTE

Authority and reference cited: Section 2496, Business and Professions Code.
HISTORY

1. Amendment filed 8-4-83; effective thirtieth day thereafter (Register 83, No. 32).
2. Change without regulatory effect of subsection (b) (Register 87, No. 15).
§1399.674. Withdrawal of Approval; Appeal Procedure.
Note     •     History

(a) Any individual, organization, institution, or other continuing education provider approved by the board in Section 1399.671 may have its approval withdrawn by the board for failure to comply with the provisions of this article.
(b) Any provider who is denied approval by the board as a continuing education provider or any continuing education provider whose approval is withdrawn by the board, or any doctor of podiatric medicine who is denied credit for continuing education coursework or whose license to practice podiatric medicine is not renewed after failure to comply with these continuing education rules may appeal such denial, withdrawal or suspension to the board. The board in its discretion may consider such an appeal with or without a hearing.
NOTE

Authority and reference cited: Section 2496, Business and Professions Code.
HISTORY

1. Change without regulatory effect (Register 87, No. 15).
§1399.675. Continuing Competence Course.
Note     •     History

(a) Extended courses of study approved by the board pursuant to Section 2496(g) of the code shall be in addition and supplementary to those taken to meet the continuing education requirement.
(b) Such courses shall provide didactic and clinical training that refreshes and updates knowledge and skills in common podiatric medical and surgical procedures.
(c) Such courses shall examine and test each candidate prior to graduation and certify graduation directly to the board.
(d) The application fee for board approval of each course shall be that specified in Section 2499.5(m) of the Business and Professions Code.
NOTE

Authority cited: Section 2496, Business and Professions Code. Reference: Section 2496, Business and Professions Code.
HISTORY

1. Amendment filed 8-4-83; effective thirtieth day thereafter (Register 83, No. 32).
2. Repealer and new section heading, section and Note filed 7-24-2003; operative 8-23-2003 (Register 2003, No. 30).
§1399.676. Audit and Sanctions for Noncompliance.
Note     •     History

(a) Each doctor of podiatric medicine at the time of license renewal shall sign a statement under penalty of perjury that he or she has or has not complied with the requirements of this article.
(b) The board may audit once each year a random sample of doctors of podiatric medicine who have reported compliance with the requirements. No doctor of podiatric medicine shall be subject to audit more than once every two (2) years. Those licensees selected for audit shall be required to document their compliance with the requirements of this article.
(c) Any doctor of podiatric medicine who is found out of compliance shall be required to document compliance prior to the next biennial renewal. Such licensees shall document to the board the completion of any deficient hours identified by audit. Any doctor of podiatric medicine who fails to make up the deficient hours, in addition to the hours required for the current renewal period, shall be ineligible for renewal of his or her license to practice podiatric medicine until such time as all the required hours of continuing education are completed and documented to the board in addition to the requirement of one of the continuing competence pathways.
(d) It shall constitute unprofessional conduct for any doctor of podiatric medicine to misrepresent compliance with the provisions of this article.
(e) Any doctor of podiatric medicine selected for audit who has been certified as complying with the continuing education requirements of this article by those organizations listed in Section 1399.671, subsections (a), (b), (c) and (d), will not be required to submit documentation or records of continuing education coursework received, but the board may obtain such records directly from the certifying organizations or institutions.
(f) The board requires that each doctor of podiatric medicine retain records for a minimum of four (4) years of all continuing education programs attended which indicate the title of the course or program, the sponsoring organization or individual and the accrediting organization, if any.
NOTE

Authority and reference cited: Section 2496, Business and Professions Code.
HISTORY

1. Amendment filed 8-4-83; effective thirtieth day thereafter (Register 83, No. 32).
2. Change without regulatory effect (Register 87, No. 15).
3. Amendment of subsections (a)-(c) filed 7-24-2003; operative 8-23-2003 (Register 2003, No. 30).
§1399.677. Credit for Teaching.
Note

A maximum of one-third of the required hours of continuing education may be satisfied by teaching or otherwise presenting a course or program offered by an approved continuing education provider.
NOTE

Authority and reference cited: Section 2525.9, Business and Professions Code.
§1399.678. Waiver of Requirement.
Note     •     History

(a) The board in its discretion may exempt permanently or temporarily from the requirements of this article, any licensee who for reasons of retirement, health, military service, or undue hardship cannot meet those requirements. Applications for waivers shall be submitted on a provided form to the board for its consideration.
(b) Any licensee so exempted by reason of retirement may not engage in the practice of podiatric medicine.
(c) Any licensee who submits an application for waiver which is denied by the board, may be ineligible for renewal of his or her license to practice podiatric medicine under the provisions of Section 1399.676.
(d) Any newly-licensed doctor of podiatric medicine who is licensed for less than six (6) months of the year shall be exempt from the continuing education requirement for that year.
(e) Any licensee granted a temporary waiver may not be granted another temporary waiver at the next license renewal.
NOTE

Authority and reference cited: Section 2496, Business and Professions Code.
HISTORY

1. Amendment filed 8-4-83; effective thirtieth day thereafter (Register 83, No. 32).
2. Change without regulatory effect (Register 87, No. 15).
3. Amendment of subsection (a) and new subsection (e) filed 7-24-2003; operative 8-23-2003 (Register 2003, No. 30).
4. Amendment of subsection (b) and repealer of subsections (b)(1)-(3) filed 10-4-2007; operative 11-3-2007 (Register 2007, No. 40).
§1399.679. Inactive License.
Note     •     History

(a) Any doctor of podiatric medicine desiring an inactive license pursuant to the provisions of Article 9 (commencing with Section 700) of Chapter 1 of Division 2 of the code or to restore an inactive license to active status shall submit an application to the board on a form provided by it. The applicant need not submit his or her certificate or copy thereof to the board with the application.
(b) “Board” as used in Section 701 of the code means the California Board of Podiatric Medicine.
(c) In order to restore an inactive license to active status, the licensee shall have completed a minimum of fifty (50) hours of approved continuing education within the last two (2) years and meet one of the continuing competence pathways in compliance with this article.
(d) All licensees who are in inactive status shall continue to pay to the board the required biennial renewal fees.
(e) The inactive status of any licensee shall not deprive the board of its authority to institute or continue a disciplinary proceeding against the licensee upon any ground provided by law or to enter an order suspending or revoking a certificate or otherwise taking disciplinary action against the licensee on any such ground.
NOTE

Authority cited: Section 2470 and 2496, Business and Professions Code. Reference: Sections 700-704 and 2529, Business and Professions Code.
HISTORY

1. Change without regulatory effect (Register 87, No. 15).
2. Amendment of subsection (c) filed 7-24-2003; operative 8-23-2003 (Register 2003, No. 30).
Article 4. Fees
§1399.680. Applicants by Written Examination.
Note     •     History

NOTE

Authority cited: Section 2499.6, Business and Professions Code. Reference: Section 2499.5, Business and Professions Code.
HISTORY

1. Renumbering of Article 4 (Section 1399.685) to Article 5 and new Article 4 (Sections 1399.680-1399.684) filed 7-10-81; effective thirtieth day thereafter (Register 81, No. 28).
2. Amendment of subsections (a) and (c) filed 3-5-82; effective thirtieth day thereafter (Register 82, No. 10).
3. Amendment filed 3-29-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 14).
4. Change without regulatory effect repealing section filed 2-26-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 9).
§1399.681. Fee for Specialty Board Approval.
Note     •     History

Each specialty board or association applying for approval from the Board of Podiatric Medicine under section 651 of the code shall pay a fee $4,030.
NOTE

Authority cited: Sections 651 and 2470, Business and Professions Code. Reference: Sections 651 and 2470, Business and Professions Code.
HISTORY

1. New section filed 6-27-2000; operative 7-27-2000 (Register 2000, No. 26). For prior history, see Register 85, No. 30.
§1399.682. Initial Fee.
Note     •     History

NOTE

Authority cited: Section 2499.6, Business and Professions Code. Reference: Section 2499.5, Business and Professions Code.
HISTORY

1. Renumbering of former Section 1399.682 to Section 1399.683, and renumbering and amendment of former Section 1399.681 to Section 1399.682 filed 3-29-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 14).
2. Amendment filed 12-20-84; effective thirtieth day thereafter (Register 84, No. 51).
3. Repealer filed 7-22-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 30).
§1399.683. Expiration Date of Initial Licenses.
Note     •     History

The expiration date of an initial license when issued shall be the second birthdate of the licensee after the date the license is issued.
NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2423, 2435 and 2436, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 1399.683 to Section 1399.684, and renumbering of former Section 1399.682 to Section 1399.683 filed 3-29-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 14). For prior history, see Register 82, No. 10.
§1399.684. Renewal Fee.
Note     •     History

NOTE

Authority cited: Section 2499.6, Business and Professions Code. Reference: Section 2499.5, Business and Professions Code.
HISTORY

1. Renumbering of former Section 1399.684 to Section 1399.685, and renumbering and amendment of former Section 1399.683 to Section 1399.684 filed 3-29-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 14).
2. Amendment filed 12-20-84; effective thirtieth day thereafter (Register 84, No. 51).
3. Repealer filed 7-22-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 30).
§1399.685. Penalty Fee.
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Section 2424, Business and Professions Code.
HISTORY

1. Renumbering of former section 1399.685 to section 1399.688 and renumbering of former section 1399.684 to section 1399.685 filed 3-29-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 14).
2. Change without regulatory effect repealing section filed 1-6-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
§1399.686. Duplicate Wall Certificate.
Note     •     History

NOTE

Authority cited: Section 2499.6, Business and Professions Code. Reference: Section 2499.5, Business and Professions Code.
HISTORY

1. New section filed 3-29-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 14).
2. Change without regulatory effect repealing section filed 1-6-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
§1399.687. Special Certification Fees.
Note     •     History

NOTE

Authority cited: Section 2499.6, Business and Professions Code. Reference: Section 2473, Business and Professions Code.
HISTORY

1. New section filed 5-25-84; effective upon filing pursuant to Government Code section 11346.2(d) (Register 84, No. 21).
2. Repealer of subsection (a) filed 7-22-85; effective upon filing pursuant to Government Code section 11346.2(d) (Register 85, No. 30).
3. Change without regulatory effect (Register 87, No. 15).
4. Change without regulatory effect repealing section filed 1-6-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
Article 5. Advertising
§1399.688. Advertising.
Note     •     History

(a) A licensed doctor of podiatric medicine may advertise the provision of any professional services authorized to be provided by such license in a manner authorized by Section 651 of the code so long as such advertising does not promote the excessive or unnecessary use of such services.
(b) A licensed doctor of podiatric medicine may be issued a permit to practice as a sole proprietor or in a partnership, group, or professional corporation under a fictitious name pursuant to Section 2415 of the code so long as it is not deceptive, misleading, or confusing. The fictitious name must include the designation “podiatric,” “podiatry,” “podiatrist,” “foot,” or “ankle.”
NOTE

Authority cited: Sections 651, 2018, 2415 and 2470, Business and Professions Code. Reference: Sections 651, 651.3, 2271 and 2415, Business and Professions Code.
HISTORY

1. New Article 4 (Section 1399.685) filed 4-10-80; effective thirtieth day thereafter (Register 80, No. 15).
2. Renumbering of Article 4 (Section 1399.685) to Article 5 (Section 1399.685) and new Article 4 (Sections 1399.680-1399.684) filed 7-10-81; effective thirtieth day thereafter (Register 81, No. 28).
3. Renumbering of Article 5 (Section 1399.685) to Article 5 (Section 1399.688) filed 3-29-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 14).
4. Amendment designating first paragraph as subsection (a), adopting new subsection (b) and amending Note filed 3-28-2005; operative 4-27-2005 (Register 2005, No. 13).
Article 6. Ankle Surgery
§1399.689. Certification for Ankle Surgery.
Note     •     History

NOTE

Authority cited: Section 2499.6, Business and Professions Code. Reference: Section 2499.5, Business and Professions Code.
HISTORY

1. Renumbering of former Article 6 (Sections 1399.690-1399.697) to Article 7, new Article 6 heading and renumbering of former Section 1399.668.1 to Section 1399.689 filed 12-20-84; effective thirtieth day thereafter (Register 84, No. 51).
2. Change without regulatory effect (Register 87, No. 15).
3. Change without regulatory effect repealing section filed 2-26-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 9).
§1399.690. Definitions.
Note     •     History

NOTE

Authority cited: Section 2470, Business and Professions Code. Reference: Section 2006 and 2484, Business and Professions Code.
HISTORY

1. New article 6 (sections 1399.690-1399.697) filed 3-15-83; effective thirtieth day thereafter (Register 83, No. 12).
2. Editorial correction reprinting article 6 heading and sections 1399.690- 1399.695 inadvertently deleted during Register 83, No. 14 printing process (Register 84, No. 25).
3. Renumbering of former article 6 (Sections 1399.690-1399.697) to article 7 filed 12-20-84; effective thirtieth day thereafter (Register 84, No. 51).
4. Change without regulatory effect (Register 87, No. 15).
5. Change without regulatory effect repealing article heading and section filed 1-6-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
§1399.691. Requirements for Approval of Preceptorships.
Note     •     History

NOTE

Authority cited: Section 2470, Business and Professions Code. Reference: Sections 2006 and 2484, Business and Professions Code.
HISTORY

1. Change without regulatory effect of first paragraph (Register 87, No. 15).
2. Change without regulatory effect repealing section filed 1-6-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
§1399.692. Requirements for Preceptors.
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2006 and 2484, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 1-6-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
§1399.693. Responsibilities of a Preceptor.
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2006 and 2484, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 1-6-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
§1399.694. Preceptee's Responsibilities.
Note     •     History

NOTE

Authority cited: Section 2470, Business and Professions Code. Reference: Sections 2006 and 2484, Business and Professions Code.
HISTORY

1. Change without regulatory effect of subsections (b) and (c) (Register 87, No. 15).
2. Change without regulatory effect repealing section filed 1-6-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12). 
§1399.695. Denial, Suspension or Revocation  of Registration of a Preceptor.
Note     •     History

NOTE

Authority cited: Section 2018, Business and Professions Code. Reference: Sections 2006 and 2484, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 1-6-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
Article 8. Citations and Fines
§1399.696. Citations and Fines.
Note     •     History

(a) The executive officer of the board is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and fines for violations by a licensed doctor of podiatric medicine of the provisions of law referred to in this section. In all cases concerning medical quality of care, or requiring medical judgement, the executive officer shall base his decision on the findings of a board-approved medical consultant or expert.
(b) A citation shall be issued whenever any fine is levied or any order of abatement is issued. Each citation shall be in writing and shall describe with particularity the nature and facts of the violation, including a reference to the statute or regulations alleged to have been violated. The citation shall be served upon the individual personally or by certified mail.
(c) The amount of any fine to be levied by the executive officer shall take into consideration the factors listed in subdivision (b)(3) of Section 125.9 of the code and shall be within the range set forth below.
The fine for a violation of the following provisions shall be from $100.00 to $2500.00:
(1) Business and Professions Code Section 119
(2) Business and Professions Code Section 125
(3) Business and Professions Code Section 125.6
(4) Business and Professions Code Section 496
(5) Business and Professions Code Section 650
(6) Business and Professions Code Section 650.1
(7) Business and Professions Code Section 651
(8) Business and Professions Code Section 654.1
(9) Business and Professions Code Section 654.2
(10)  Business and Professions Code Section 655.5
(11) Business and Professions Code Section 702
(12) Business and Professions Code Section 810
(13) Business and Professions Code Section 2021
(14) Business and Professions Code Section 2052
(15) Business and Professions Code Section 2054
(16) Business and Professions Code Section 2221.1
(17) Business and Professions Code Section 2234
(18) Business and Professions Code Section 2236
(19) Business and Professions Code Section 2238
(20) Business and Professions Code Section 2239
(21) Business and Professions Code Section 2242
(22) Business and Professions Code Section 2243
(23) Business and Professions Code Section 2255
(24) Business and Professions Code Section 2256
(25) Business and Professions Code Section 2259
(26) Business and Professions Code Section 2259.5
(27) Business and Professions Code Section 2261
(28) Business and Professions Code Section 2262
(29) Business and Professions Code Section 2263
(30) Business and Professions Code Section 2264
(31) Business and Professions Code Section 2266
(32) Business and Professions Code Section 2271
(33) Business and Professions Code Section 2272
(34) Business and Professions Code Section 2273
(35) Business and Professions Code Section 2274
(36) Business and Professions Code Section 2278
(37) Business and Professions Code Section 2285
(38) Business and Professions Code Section 2286
(39) Business and Professions Code Section 2305
(40) Business and Professions Code Section 2410
(41)  Business and Professions Code Section 2415
(42) Business and Professions Code Section 2439
(43) Business and Professions Code Section 2440
(44) Business and Professions Code Section 2441
(45) Business and Professions Code Section 2496
(46) Business and Professions Code Section 2630
(47) Business and Professions Code Section 2472
(48) Business and Professions Code Section 2474
(49) Business and Professions Code Section 4080
(50) Business and Professions Code Section 4081
(51) Business and Professions Code Section 17500
(52) Business and Professions Code Section 17537.11
(53) Health and Safety Code Section 1795
(54) Health and Safety Code Section 11167
(55) Health and Safety Code Section 11190
(56) Health and Safety Code Section 11191
(57) Health and Safety Code Section 123110
(58) Penal Code Section 11166
(59) Title 16 Cal. Code Reg. Section 1338(c)
(60) Title 16 Cal. Code Reg. Section 1399.676
(61) Business and Professions Code Section 2225(d)
In her or his discretion, the executive officer may issue an order of abatement without levying a fine for the first violation of any provision set forth in this subsection.
(d) Notwithstanding the administrative fine amounts specified in subsection (c) of section 1399.696, a citation may include a fine between $2,501 and $5,000 if one or more of the following circumstances apply:
1. The citation involves a violation that has an immediate relationship to the health and safety of another person.
2. The cited person has a history of two or more prior citations of the same or similar violations;
3. The citation involves multiple violations that demonstrate a willful disregard of the law.
4. The citation involves a violation or violations perpetrated against a senior citizen or disabled person.
(e) In her or his discretion, the executive officer may issue a citation under Section 1399.696 to a licensee for a violation of a term or condition contained in the decision placing that licensee on probation.
(f) If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, the person cited may request an extension of time from the executive officer in which to complete the correction. Such a request shall be in writing and shall be made within the time set forth for abatement.
(g) When an order of abatement is not contested or if the order is appealed and the person cited does not prevail, failure to abate the violation charged within the time allowed shall constitute a violation and failure to comply with the order of abatement. An order of abatement shall either be personally served or mailed by certified mail, return receipt requested. The time allowed for the abatement of a violation shall begin the first day after the order of abatement has been served or received. Such failure may result in disciplinary action being taken by the board or other appropriate judicial relief being taken against the person cited.
(h) The executive officer of the board is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and fines against persons, partnerships, corporations or associations who are performing or who have performed services for which licensure is required as a doctor of podiatric medicine under the Medical Practice Act but who do not possess a license. Each citation issued shall contain an order of abatement. Where appropriate the executive officer shall levy a fine for such unlicensed activity in accordance with subdivision (b)(3) of Section 125.9 of the code. The provisions of subsections (b), (f) and (g) of this section shall apply to the issuance of citations for unlicensed activity under this subsection. The sanction authorized under this section shall be separate from and in addition to any other civil or criminal remedies.
NOTE

Authority cited: Sections 125.9, 148 and 2470, Business and Professions Code. Reference: Sections 12.5, 125.9 and 148, Business and Professions Code.
HISTORY

1. Relocation of article 8 heading formerly preceding section 1399.698 to precede section 1399.696, and renumbering and amendment of former section 1399.698 to new section 1399.696 filed 7-22-98; operative 8-21-98 (Register 98, No. 30). For prior history of former section 1399.696, see Register 92, No. 12.
2. Change without regulatory effect amending subsections (c)(48)-(49) filed 11-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 47).
3. New subsection (c)(17) and subsection renumbering filed 1-19-2000; operative 2-18-2000 (Register 2000, No. 3).  
4. Amendment of subsection (a), new subsection (c)(52) and subsection renumbering filed 7-3-2001; operative 8-2-2001 (Register 2001, No. 27).
5. New subsections (c)(61), (d) and (e), subsection relettering and amendment of newly designated subsection (h) filed 5-16-2008; operative 6-15-2008 (Register 2008, No. 20).
6. Editorial correction of subsection (d)4. (Register 2008, No. 23).
§1399.697. Contest of Citations.
Note     •     History

(a) In addition to requesting a hearing provided for in subdivision (b)(4) of Section 125.9 of the code, the person cited may, within ten (10) days after service or receipt of the citation, notify the executive officer in writing of his or her request for an informal conference with the executive officer regarding the acts charged in the citation. The time allowed for the request shall begin the first day after the citation has been served or received.
(b) The executive officer shall hold, within 30 days from the receipt of the request, an informal conference with the person cited or his or her legal counsel or authorized representative. At the conclusion of the informal conference the executive officer may affirm, modify or dismiss the citation, including any fine levied or order of abatement issued. The executive officer shall state in writing the reasons for his or her action and serve or mail, as provided in subsection (g) of Section 1399.696, a copy of his or her findings and decision to the person cited within ten days from the date of the informal conference. This decision shall be deemed to be a final order with regard to the citation issued, including the fine levied and the order of abatement.
(c) The person cited does not waive his or her request for a hearing to contest a citation by requesting an informal conference after which the citation is affirmed by the executive officer. If the citation is dismissed after the informal conference, the request for a hearing on the matter of the citation shall be deemed to be withdrawn. If the citation, including any fine levied or order of abatement, is modified, the citation originally issued shall be considered withdrawn and new citation issued. If a hearing is requested for the subsequent citation, it shall be requested within 30 days in accordance with subdivision (b)(4) of Section 125.9.
NOTE

Authority cited: Sections 125.9 and 2470, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. Renumbering of former section 1399.699 to new section 1399.697, including amendment of section and Note, filed 7-22-98; operative 8-21-98 (Register 98, No. 30). For prior history of former section 1399.697, see Register 92, No. 12.
2. Amendment of subsection (b) filed 5-16-2008; operative 6-15-2008 (Register 2008, No. 20).
§1399.698. Public Disclosure; Record Retention.
Note     •     History

Every citation that is issued pursuant to this article shall be disclosed to an inquiring member of the public. Citations that have been resolved, by payment of the administrative fine or compliance with the order of abatement, shall be purged five (5) years from the date of resolution. A citation that has been withdrawn or dismissed shall be purged immediately upon being withdrawn or dismissed.
NOTE

Authority cited: Sections 125.9, 148 and 2470, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 9-2-88; operative 10-2-88 (Register 88, No. 37).
2. Amendment of subsections (a), (c) and (c)(1), repealer of subsections (c)(1)(A)-(c)(2)(N), new subsections (c)(1)(A)-(c)(1)(WW), subsection renumbering, and amendment of newly designated subsection (c)(2) and Note filed 1-6-95; operative 2-6-95 (Register 95, No. 1).
3. New subsection (c)(1)(OO), subsection relettering, and amendment of newly designated subsections (c)(1)(SS)-(VV) filed 10-21-96; operative 11-20-96 (Register 96, No. 43).
4. Relocation of article 8 heading formerly preceding section 1399.698 to precede section 1399.696, renumbering of former section 1399.698 to new section 1399.696 and new section 1399.698 filed 7-22-98; operative 8-21-98 (Register 98, No. 30). 
5. Amendment filed 1-31-2002; operative 3-2-2002 (Register 2002, No. 5).
§1399.699. Contest of Citations.
Note     •     History

NOTE

Authority cited: Sections 125.9, 125.95 and 2470, Business and Professions Code. Reference: Sections 125.9 and 125.95, Business and Professions Code.
HISTORY

1. New section filed 9-2-88; operative 10-2-88 (Register 88, No. 37).
2. Renumbering of former section 1399.699 to new section 1399.697 filed 7-22-98; operative 8-21-98 (Register 98, No. 30). 
Article 9. Information Disclosure
§1399.700. Statement of Policy.
Note     •     History

It is the policy of the Board of Podiatric Medicine to permit the maximum public access to information in its possession consistent with the requirements of the California Public Records Act (Govt. Code § 6250 et seq.), the Information Practices Act (Civ. Code § 1798 et seq.), Section 803.1 of the Business & Professions Code and the individual's right of privacy guaranteed by the California Constitution (Art. I, § 1). 
NOTE

Authority cited: Sections 803, 803.1 and 2470, Business and Professions Code; and Section 6253, Government Code. Reference: Sections 803 and 803.1, Business and Professions Code; and Sections 6250 and 6253, Government Code. 
HISTORY

1. New article 9 (section 1399.700) and section filed 8-14-96; operative 9-13-96 (Register 96, No. 33).
2. Renumbering of former section 1399.700 to section 1399.703 and new section 1399.700 filed 4-15-2004; operative 5-15-2004 (Register 2004, No. 16).
§1399.701. Status of Licensees.
Note     •     History

The Board shall use the following categorical description when referring to licensed doctors of podiatric medicine either in response to public inquiries or in posting information on its website. 
(a) A licensed doctor of podiatric medicine is not considered to be in “good standing” if he or she: 
(1) Is subject to an order issued by the Board or any other civil, criminal or administrative court or agency that limits or in any way restricts his or her practice. 
(2) Has entered into a settlement with either the Board, any other administrative agency, the Attorney General, or any civil or criminal prosecutor which in any way limits or restricts his or her practice. 
(3) Has been suspended following conviction of any crime referred to in Business and Professions Code Section 2237 or Penal Code Sections 187, 261, 262, or 288. 
(4) Has been incarcerated following conviction of a felony. 
(b) Any licensed doctor of podiatric medicine who does not have a “good standing” designation may petition the Board to have this designation changed. The petition shall be heard before an administrative law judge designated in Section 11371 of the Government Code and pursuant to the provisions of the Administrative Procedure Act (Chapter 5 (commencing with Section 11500) of Division 3 of Title 2 of the Government Code).
NOTE

Authority cited: Sections 803, 803.1 and 2470, Business and Professions Code; and Section 6253, Government Code. Reference: Sections 803, 803.1, 2027 and 2236.1, Business and Professions Code; and Section 11504, Government Code. 
HISTORY

1. New section filed 4-15-2004; operative 5-15-2004 (Register 2004, No. 16).
§1399.702. Standard Terminology Describing Different Types of Disciplinary Actions Listed in Subdivision (a) of Section 803.1 of the Business and Professions Code.
Note     •     History

(a) Temporary Restraining Order 
A temporary restraining order is a procedural device which State agencies can seek to prevent violations of the law or to suspend a license before formal disciplinary action is taken. It is also used to preserve the status quo or prevent the occurrence of irreparable injury pending further judicial or administrative proceedings. Such an order can only be issued by a court. Except in very severe emergency situations, the agency must give the licensee notice in order that he or she can be heard by the court. 
(b) Interim Suspension Order 
Interim suspension orders may be issued by administrative law judges following an application by the Board when it appears that continued practice by a doctor of podiatric medicine would endanger the public health, safety, or welfare. The doctor of podiatric medicine is entitled to advance notice of such proceedings unless there is a showing that serious injury will result to the public before a hearing can be held. If an interim suspension order is issued, an accusation must be filed by the Board, a hearing conducted, and a decision issued by the administrative law judge on a very accelerated time frame. If these deadlines are not met, the interim suspension order is dissolved by operation of law. 
(c) Revocations, suspensions, probations, or limitations on practice ordered by the Board 
These penalties may be imposed by the Board, but only after the doctor of podiatric medicine is notified of such proposed action and given an opportunity to be heard before an independent administrative law judge. The most severe penalty is revocation of the license to practice. Lesser penalties include a specified period of probation including the imposition of limitations on the manner or type of practice by the doctor of podiatric medicine. 
(d) Public Letters of Reprimand 
Public letters of reprimand or reproval may be issued by the Board for any act that would constitute grounds to suspend or revoke the license of a doctor of podiatric medicine. Letters of reprimand shall be purged from the file of the doctor of podiatric medicine five (5) years after they are issued. 
(e) Infractions, citations or fines 
A citation is issued by the Board for violations of specified provisions of law found in the Business and Professions Code. The citation may contain an order to stop performing some activity (order of abatement) and/or levy a fine. Any doctor of podiatric medicine served with a citation has a right to a hearing before an independent administrative law judge. 
NOTE

Authority cited: Section 803.1, Business and Professions Code. Reference: Section 803.1, Business and Professions Code. 
HISTORY

1. New section filed 4-15-2004; operative 5-15-2004 (Register 2004, No. 16).
§1399.703. Requirements for Information Disclosure.
Note     •     History

The Board of Podiatric Medicine will disclose the following information, if known, upon any request regarding any doctor of podiatric medicine licensed in California:
(a) Current status of a license, issuance and expiration date of a license, podiatric medical school of graduation, and date of graduation.
(b) Any public action or administrative decision against any doctor of podiatric medicine, and any disposition thereof, taken by the Board, another state or the Federal Government including, but not limited to: 
(1) the filing of an accusation;
(2) licensure revocations;
(3) denial of an application for licensure;
(4) temporary restraining orders;
(5) interim suspension orders;
(6) citations, infractions, or fines imposed;
(7) limitations on practice ordered by the board, including those made part of a probationary order or stipulated agreement; and
(8) public letters of reprimand.
The following disclaimer shall be included with these disclosures: 
“Any adverse judgment or administrative order is subject to appeal or challenge by the doctor of podiatric medicine. For example, if an order revoking the license of a doctor of podiatric medicine is adopted by the Board, he or she can challenge that order by filing a petition for a writ of mandamus in superior court. If this court determines the order was issued contrary to law, it can vacate the Board's action and order that the doctor of podiatric medicine be reinstated.” 
(c) Accusations which have been filed and later withdrawn shall be retained in the board's files for a period of one year after the accusation was withdrawn.
(d) Civil judgments in any amount of a claim or action for damages for death or personal injury caused by the negligence, error, or omission in practice by a doctor of podiatric medicine, or by his or her rendering unauthorized professional services, whether or not vacated by a settlement after entry of the judgment, and not reversed on appeal, including the date and amount of judgment, the court and case number, a brief summary of the circumstances as provided by the court, plus any information the Board possesses pertaining to the disposition of the case following entry of judgment. The Board shall also include the following disclaimer with such disclosures: 
“Any civil judgment is subject to appeal by the losing party. For example, if a judgment is entered against a doctor of podiatric medicine, he or she can appeal to a higher court. If this court determines the judgment was entered in error, it can either vacate it or reduce the amount of any money damages awarded against the podiatrist.” 
(e) Arbitration awards in any amount of a claim or action for damages for death or personal injury caused by the negligence, error, or omission in practice of the doctor of podiatric medicine, or by his or her rendering unauthorized professional services. 
(f) California felony convictions reported to the board on or after January 1, 1991, including the nature of the conviction, the date of conviction, the sentence, if known, the court of jurisdiction, and an appropriate disclaimer including, but not limited to, the accuracy of the information provided.
(g) Summaries of any disciplinary actions taken at a hospital or any other type of health care facility that result in the termination or revocation of staff privileges of a doctor of podiatric medicine for medical disciplinary cause or reason. 
(h) Matters that have been referred to the Attorney General for the filing of an accusation or statement of issues; provided that: 
(1) The matter has not been rejected by the Attorney General; and 
(2) The following disclaimer accompanies the disclosure: 
“Referral of a matter to the Attorney General for the filing of an accusation or statement of issues only occurs after an investigation has been conducted by the Board and a determination has been made that the actions of the doctor of podiatric medicine are of a nature that should warrant disciplinary action. In some instances, however, the Attorney General may determine that disciplinary action is not warranted. Such cases will normally not result in the filing of a formal accusation. When an accusation is filed, the podiatrist will be given notice and the right to request a hearing before an independent administrative law judge. At such a hearing the Board has the burden of proving the allegations contained in the accusation. Unless a legal determination is made that the Board has sustained this burden, no disciplinary action may be taken against the doctor of podiatric medicine.” 
NOTE

Authority cited: Sections 803, 803.1 and 2470, Business and Professions Code; and Section 6253, Government Code. Reference: Sections 803 and 803.1, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1399.700 to section 1399.703 filed 4-15-2004; operative 5-15-2004 (Register 2004, No. 16).
§1399.704. Disclosure of Complaints.
Note     •     History

The Board shall maintain records showing the complaints received against doctors of podiatric medicine and, with respect to such complaints, shall make available to inquiring members of the public the following information: 
(a) The nature of all complaints on file which have been investigated by the Board and referred for legal action to the Attorney General, including: 
(1) The date of the complaint; 
(2) A brief summary of the nature of the complaint; and 
(3) Its disposition. 
(b) Under no circumstances shall the name, identity, or information that might lead to the discovery of the identity of the complainant be disclosed. 
(c) Information concerning the complaint shall be accompanied by the disclaimer set out in Section 1399.703(h)(2). If no action is taken by the Attorney General, records of the complaint shall be deleted from the Board's complaint disclosure system no later than one year after receipt of the decision by the Attorney General to take no action. 
(d) If a complaint results in legal action and is subsequently determined by the Board, the Attorney General, or a court of competent jurisdiction not to have merit, it shall be deleted from the complaint disclosure system. 
NOTE

Authority cited: Sections 803.1 and 2470, Business and Professions Code; and Section 6253, Government Code. Reference: Sections 803 and 803.1, Business and Professions Code; Section 6250, Government Code; and Section 1798.24, Civil Code. 
HISTORY

1. New section filed 4-15-2004; operative 5-15-2004 (Register 2004, No. 16).
§1399.705. Disclosure of Civil Settlements.
Note     •     History

Upon request, the Board will disclose information in its possession concerning settlements entered into on or after January 1, 2003 of civil actions seeking recovery of damages for death or personal injury caused by the professional negligence, errors, or omissions of a doctor of podiatric medicine or his or her unauthorized practice pursuant to Business and Professions Code Section 803.1(b) & 803.1(c) and regulations promulgated by the Medical Board of California. 
NOTE

Authority cited: Sections 803.1 and 2470, Business and Professions Code; and Section 6253, Government Code. Reference: Section 803.1, Business and Professions Code.
HISTORY

1. New article 10 (section 1399.705) and section filed 10-21-96; operative 11-20-96 (Register 96, No. 43).
2. Renumbering of former section 1399.705 to section 1399.707 and new section 1399.705 filed 4-15-2004; operative 5-15-2004 (Register 2004, No. 16).
§1399.706. Disclosure of Information Concerning Licensed Doctors of Podiatric Medicine on the Board's Website.
Note     •     History

For each licensed doctor of podiatric medicine, the Board will maintain on its website all of the information described in subdivision (a) of Section 1399.703 of these regulations as well as information on whether the doctor of podiatric medicine is in “good standing” as that term is used in Section 1399.701. If the doctor of podiatric medicine is not in good standing, the website shall indicate what restrictions, legal actions, orders, or discipline are currently pending. 
NOTE

Authority cited: Sections 803, 803.1 and 2470, Business and Professions Code; and Section 6253, Government Code. Reference: Sections 803.1 and 2470, Business and Professions Code. 
HISTORY

1. New section filed 4-15-2004; operative 5-15-2004 (Register 2004, No. 16).
Article 10. Corrective Shoes
§1399.707. Sale of Corrective Shoes by Unlicensed Persons.
Note     •     History

(a) Pursuant to Section 2477 of the code, unlicensed persons may manufacture, recommend, and sell corrective shoes and appliances for the human feet, including arch supports.
(b) Unlicensed persons may advertise the products and services specified in subsection (a).
(c) Unlicensed persons may not diagnose or treat podiatric medical conditions or otherwise practice podiatric medicine as defined in Business and Professions Code section 2472. Unlicensed persons may not prescribe, furnish, dispense, or sell corrective shoes, orthotics, or any other devices as treatments for podiatric medical conditions.
(d) Unlicensed persons may not advertise the diagnosis or treatment of podiatric medical conditions. Unlicensed persons may not advertise the prescribing, furnishing, dispensing, or sale of shoes or devices as treatments for podiatric medical conditions.
NOTE

Authority cited: Section 2470, Business and Professions Code. Reference: Sections 2052, 2474 and 2477, Business and Professions Code.
HISTORY

1. Renumbering of former section 1399.705 to section 1399.707 filed 4-15-2004; operative 5-15-2004 (Register 2004, No. 16).
Article 11. Disciplinary Guidelines
§1399.710. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400, et seq.), the board shall consider the disciplinary guidelines entitled “Manual of Disciplinary Guidelines with Model Disciplinary Orders” [revised September  2005] which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the board in its sole discretion determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Section 2470, Business and Professions Code; and Section 11400.20, Government Code. Reference: Sections 11400.20 and 11425.50(e), Government Code.
HISTORY

1. New article 11 (section 1399.710) and section filed 10-22-97; operative 10-22-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 43).
2. Amendment filed 1-27-2000; operative 2-26-2000 (Register 2000, No. 4).  
3. Amendment filed 7-10-2001; operative 8-9-2001 (Register 2001, No. 28).
4. Amendment of Manual of Disciplinary Guidelines with Disciplinary Orders (incorporated by reference) filed 1-5-2005; operative 2-4-2006 (Register 2006, No. 1).
Article 12. Fingerprint Requirements
§1399.720. Statement of Policy.
Note     •     History

It is the policy of the Board of Podiatric Medicine to afford maximum protection to consumers and the public of the State of California by insuring that its licensees provide it with information of any criminal convictions which may have occurred prior to application for initial licensure or renewal thereof.
NOTE

Authority cited: Section 2470, Business and Professions Code. Reference: Sections 144, 480, 2222, 2229, 2236 and 2497, Business and Professions Code.
HISTORY

1. New article 12 (sections 1399.720-1399.725) and section filed 9-16-2009; operative 10-16-2009 (Register 2009, No. 38).
§1399.721. Initial Licensure.
Note     •     History

The Board shall collect criminal history information from an applicant and require that he or she furnish a full set of fingerprints pursuant to Business and Professions Code section 144.
NOTE

Authority cited: Section 2470, Business and Professions Code. Reference: Section 144, Business and Professions Code.
HISTORY

1. New section filed 9-16-2009; operative 10-16-2009 (Register 2009, No. 38).
§1399.722. Renewal of License.
Note     •     History

The following categories of licensees shall furnish to the Department of Justice a full set of fingerprints for the purpose of conducting a criminal history record check and to undergo a state and federal level criminal offender record information search.
(a) Any licensee who was initially licensed prior to January 1, 1964.
(b) Any licensee, regardless of the date of initial licensure, for whom an electronic record of the submission of fingerprints no longer exists.
NOTE

Authority cited: Section 2470, Business and Professions Code. Reference: Sections 144, 480, 2222, 2229, 2236 and 2497, Business and Professions Code.
HISTORY

1. New section filed 9-16-2009; operative 10-16-2009 (Register 2009, No. 38).
§1399.723. Procedures.
Note     •     History

(a) The licensee shall pay any cost for furnishing the fingerprints and conducting the searches.
(b) The licensee shall certify on the renewal form whether his or her fingerprints have been furnished to the Department of Justice in compliance with this section.
(c) This requirement is waived if the licensee is disabled, renewed in an inactive or retired status or serving on active duty in the Armed Forces of the United States outside the United States.
(d) A licensee shall retain for at least two years from his or her renewal date a receipt showing:
(1) The electronic transmission of his or her fingerprints to the Department of Justice; or
(2) That the licensee's fingerprints were taken.
NOTE

Authority cited: Section 2470, Business and Professions Code. Reference: Sections 144, 480, 2222, 2229, 2236 and 2497, Business and Professions Code.
HISTORY

1. New section filed 9-16-2009; operative 10-16-2009 (Register 2009, No. 38).
§1399.724. Renewal Reporting Requirements.
Note     •     History

A licensee renewing his or her license shall disclose any of the following events which occurred in the prior renewal cycle:
(a) Criminal convictions except for traffic infractions; and
(b) Disciplinary actions taken against his or her license.
NOTE

Authority cited: Section 2470, Business and Professions Code. Reference: Sections 144, 480, 2222, 2229, 2236 and 2497, Business and Professions Code.
HISTORY

1. New section filed 9-16-2009; operative 10-16-2009 (Register 2009, No. 38).
§1399.725. Conditions.
Note     •     History

(a) No license shall be issued or renewed unless fingerprints have been submitted pursuant to the requirements of Sections 1399.721 or 1399.722.
(b) No license shall be renewed unless the licensee has reported on the existence of any criminal convictions or disciplinary actions pursuant to Section 1399.724.
NOTE

Authority cited: Section 2470, Business and Professions Code. Reference: Sections 144, 480, 2222, 2229, 2236 and 2497, Business and Professions Code.
HISTORY

1. New section filed 9-16-2009; operative 10-16-2009 (Register 2009, No. 38).
Division 14. Board of Registered Nursing
Article 1. General Provisions Section
§1400. Location of Offices. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2715, Business and Professions Code.
HISTORY

1. Amendment filed 2-5-64; effective thirtieth day thereafter (Register 64, No. 3). For prior history see Register 61, No. 24.
2. Amendment filed 2-23-66; effective thirtieth day thereafter (Register 66, No. 6).
3. Amendment refiled 3-8-66; effective thirtieth day thereafter (Register 66, No. 7).
4. Amendment filed 3-28-75 as procedural and organizational; effective upon filing (Register 75, No. 13).
5. Repealer filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39).
§1401. Tenses, Gender, and Number. [Repealed]
History

HISTORY

1. Repealer filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39).
§1402. Definitions.
Note     •     History

For the purpose of this chapter, the term “board” means the California Board of Registered Nursing; and the term “code” means the Business and Professions Code.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2715, Business and Professions Code.
HISTORY

1. Amendment filed 8-28-61 as procedural and organizational; designated effective 9-15-61 (Register 61, No. 17).
2. Amendment filed 3-28-75 as procedural and organizational; effective upon filing (Register 75, No. 13).
3. Amendment filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39).
§1403. Delegation of Certain Functions.
Note     •     History

The power and discretion conferred by law upon the board to receive and file accusations; issue notices of hearing, statements to respondent and statements of issues; receive and file notices of defense; determine the time and place of hearings under Section 11508 of the Government Code; issue subpoenas and subpoenas duces tecum; set and calendar cases for hearing and perform other functions necessary to the efficient dispatch of the business of the board in connection with proceedings under the provisions of Sections 11500 through 11528 of the Government Code, prior to the hearing of such proceedings; and the certification and delivery or mailing of copies of decisions under Section 11518 of said code are hereby delegated to and conferred upon the executive officer, or, in his/her absence from the office of the board, his/her designee.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2708, Business and Professions Code.
HISTORY

1. Amendment filed 5-22-84; effective thirtieth day thereafter (Register 84, No. 21).
§1404. Filing of Names and Addresses. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2715, 2785, 2786, 2786.5 and 2788, Business and Professions Code.
HISTORY

1. Amendment and new subsection (b) filed 6-26-68; effective thirtieth day thereafter (Register 68, No. 24).
2. Repealer filed 4-7-87; operative 5-7-87 (Register 87, No. 16).
§1405. Authority of Executive Officer.
Note     •     History

The executive officer is authorized to:
(a) Plan, direct supervise and organize the work of the staff of the board.
(b) Research nursing practice issues and proposed positions to the board based on the board's interpretation of the Nursing Practice Act and other related statutes or regulations.
(c) Implement regulations adopted by the board.
(d) Administer examinations, collect fees, issue licenses and permits and investigate complaints.
(e) Implement and enforce all standards including those set for schools of nursing, which include inspecting and evaluating schools of nursing and making recommendations on accreditation.
(f) Manage funds and administer the fund and budget according to board directions.
(g) Report to the board on implementation of board policies and responses to board activity.
(h) Represent the board, as appropriate, to the public and the media.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2708, Business and Professions Code.
HISTORY

1. New section filed 10-14-53 as procedural and organizational; effective upon filing (Register 53, No. 18).
2. Renumbering from 1410.5 to 1405 and amendment filed 2-5-64; effective thirtieth day thereafter (Register 64, No. 3).
3. Amendment filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39).
Article 2. Registration and Examination
§1409. Issuance of License.
History

A license as a registered nurse shall be issued only by examination except as provided in Section 2732.1(b) of the code.
HISTORY

1. Amendment filed 2-23-66; effective thirtieth day thereafter (Register 66, No. 6).
2. Amendment refiled 3-8-66; effective thirtieth day thereafter (Register 66, No. 7).
§1409.1. Filing of Names and Addresses.
Note     •     History

Each person holding a certificate, license or any other authority to practice nursing or engage in any activity under any laws administered by the board shall file his/her current name and mailing address with the board at its office in Sacramento within thirty (30) days after any change of name or mailing address, giving both old and new name, and address, as appropriate.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2715, Business and Professions Code.
HISTORY

1. Renumbering of former Section 1419.2 to Section 1409.1 filed 4-7-87; operative 5-7-87 (Register 87, No. 16).
§1410. Application.
Note     •     History

(a) An application for a license as a registered nurse by examination shall be submitted on an application form provided by the board, and filed with the board at its office in Sacramento. An application shall be accompanied by the fee and such evidence, statements or documents as therein required including evidence of eligibility to take the examination. The applicant shall submit an additional application and fee for the examination to the board or to its examination contractor, as directed by the board.  The Board shall provide the contractor's application to the applicant.  No license shall be issued without a complete transcript on file indicating successful completion of the courses prescribed by the board for licensure or documentation deemed equivalent by the Board.
(b) An application for a license as a registered nurse without examination under the provisions of Section 2732.1(b) of the code shall be submitted on an application form prescribed and provided by the board, accompanied by the appropriate fee and by such evidence, statements, or documents as therein required, and filed with the board at its office in Sacramento.
(c) The applicant shall be notified in writing of the results of the evaluation of his/her application for license if the application is rejected.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 480, 2729, 2732.1, 2733, 2736, 2736.5, 2736.6, 2737 and 2815, Business and Professions Code.
HISTORY

1. Amendment filed 1-27-70; effective thirtieth day thereafter (Register 70, No. 5). For prior history, see Register 66, No. 7.
2. Amendment of subsection (a) filed 10-10-75; effective thirtieth day thereafter (Register 75, No. 41).
3. Amendment of subsection (a) filed 5-14-76; effective thirtieth day thereafter (Register 76, No. 20).
4. Amendment of subsection (a) filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39).
5. Amendment of subsections (a) and (c) and amendment of Note filed 10-2-96; operative 11-1-96 (Register 96, No. 40).
6. Amendment of subsection (a) and repealer of subsection (d) filed 5-20-98; operative 6-19-98 (Register 98, No. 21).
§1410.1. Application Processing Times.
Note     •     History

(a) Within 90 calendar days of receipt of an application for original licensure as a registered nurse, provided under the provisions of section 2732.1 of the Code, the board shall inform the applicant in writing that it is either complete and accepted for filing or that it is deficient and what specific information or documentation is required to complete the application.
(b) Within 390 calendar days from the date of filing of a completed examination application for original licensure as a registered nurse, the board shall inform the applicant in writing of its decision regarding the application. This time period applies to applicants whose application is complete on the examination deadline date and who take the first available examination.
(c) Within 365 calendar days from the date of filing a completed application for original licensure as a registered nurse without examination, the board shall inform applicant in writing of its decision regarding the application.
(d) The board's actual time periods for processing an application for original licensure as a registered nurse, from the receipt of the initial application to the final decision, based on the two years preceding the proposal of this section were as follows:

	Application By Examination		Application Without Examination

	Minimum	-	127 days	Minimum	-	11 days
	Median	-	183 days	Median	-	62 days
	Maximum	-	387 days	Maximum	-	332 days

	Time periods take into account section 1410.4(e) which provides for abandonment of incomplete applications after one year.
NOTE

Authority cited: Section 2715, Business and Professions Code; and Section 15376, Government Code. Reference: Section 2732.1, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New section filed 2-13-91; operative 3-15-91 (Register 91, No. 12).
§1410.2. Application Fee to Be Earned Fee. [Repealed]
History

HISTORY

1. New section filed 10-11-60; effective thirtieth day thereafter (Register 60, No. 21).
2. Amendment filed 2-5-64; effective thirtieth day thereafter (Register 64, No. 3).
3. Amendment filed 2-23-66; effective thirtieth day thereafter (Register 66, No. 6).
4. Amendment refiled 3-8-66; effective thirtieth day thereafter (Register 66, No. 7).
5. Repealer filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39).
§1410.4. Abandonment of Application.
Note     •     History

(a) An applicant whose application for examination has been accepted shall be deemed to have abandoned the application if he/she does not take such examination within a two-year period from the date of the written notice of eligibility to take the examination.
(b) An applicant whose application for examination has been rejected shall be deemed to have abandoned the application if he/she does not submit evidence that he/she has removed the deficiencies specified in the written evaluation notice and take an examination within a three-year period from the date of the written evaluation notice.
(c) An applicant whose application for license without examination has been rejected shall be deemed to have abandoned the application if he/she does not submit evidence that he/she has removed the deficiencies specified in the written evaluation notice within a three-year period from the date of the written evaluation notice.
(d) Submission of additional data, requests for reconsideration or re-evaluation, or other inquiries or statements involving an application shall not extend the respective time periods specified in subdivisions (a), (b), (c), and (e) of this section.
(e) An applicant whose application for license is incomplete shall be deemed to have abandoned the application if he/she does not submit all required documents, data and information within a period of one year from the date of mailing to him/her by the board of a written notice addressed to the last address on file with the board.
(f) An application submitted subsequent to the abandonment of a former application shall be treated as a new application.  The applicant must meet all current requirements in effect at the time of reapplication.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2732.1, Business and Professions Code.
HISTORY

1. Amendment filed 10-17-66; effective thirtieth day thereafter (Register 66, No. 36). For prior history, see Register 66, No. 7.
2. Repealer of subsection (f) and renumbering of subsection (g) to (f) filed 10-10-75; effective thirtieth day thereafter (Register 75, No. 41).
3. Amendment filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39).
4. Amendment of subsections (a) and (f) filed 10-2-96; operative 11-1-96 (Register 96, No. 40).
§1411. Criteria for Rehabilitation. [Renumbered]
History

HISTORY

1. Renumbering to Section 1445 filed 3-26-74; effective thirtieth day thereafter (Register 74, No. 13). For history of Section 1411, see Register 73, No. 21.
§1411.1. Examination of Applicants on Terminal Vacation. [Repealed]
History

HISTORY

1. Amendment filed 1-27-70; effective thirtieth day thereafter (Register 70, No. 5). For prior history, see Register 66, No. 7.
2. Repealer filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39).
§1411.5. Examination Procedure.
Note     •     History

The examination for licensure as a registered nurse shall be a written examination as determined by the board. The board may enter into a contractual agreement for said examination with a public or private organization.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2738 and 2740, Business and Professions Code.
HISTORY

1. New section filed 1-27-70; effective thirtieth day thereafter (Register 70, No. 5).
2. Amendment filed 2-9-73; effective thirtieth day thereafter (Register 73, No. 6).
3. Amendment filed 3-23-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 12).
§1411.6. Examination Disclosure.
Note     •     History

An applicant who takes the examination shall not disclose the contents of the written examination questions to anyone other than a person authorized by the Board. No one except as authorized by the Board shall solicit, accept, or compile information regarding the contents of written examination questions, either before, during or after the administration of any examination.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2740, Business and Professions Code.
HISTORY

1. New section filed 3-22-82; effective thirtieth day thereafter (Register 82, No. 13).
§1412. High School Education or the Equivalent.
Note     •     History

An applicant must meet the general preliminary education requirement of a high school education in the United States or the equivalent. Upon request of the Board, an applicant shall provide evidence of education equivalent to completion of a high school course of study in the United States by submitting one of the following:
(a) A high school diploma received from a U.S. high school.
(b) A General Education Development Certificate.
(c) A degree from any junior college, college or university accredited by a state agency authorized to accredit such institutions.
(d) An evaluation by a high school, unified school district, junior college, college, university or board of education which the board determines, after review, establishes that an education equivalent to a high school education in the United States was obtained in this or another state or in any foreign country.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2736, Business and Professions Code.
HISTORY

1. Amendment filed 1-27-70; effective thirtieth day thereafter (Register 70, No. 5). For prior history, see Register 66, No. 7.
2. Amendment filed 3-16-77; effective thirtieth day thereafter (Register 77, No. 12).
3. Amendment filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39).
4. Amendment of subsection (b) filed 4-7-87; operative 5-7-87 (Register 87, No. 16).
5. Amendment filed 9-21-99; operative 10-21-99 (Register 99, No. 39).
§1413. English Comprehension.
History

When the Board has reasonable doubt of an applicant's ability to comprehend the English language to a degree sufficient to permit him to discharge his duties as a Professional Nurse in this State with safety to the public, the Board shall require him to pass an examination to demonstrate such ability.
HISTORY

1. New section filed 2-5-64; effective thirtieth day thereafter (Register 64, No. 3). For history of former Section 1413 see Register 27, No. 5.
§1414. Interim Permits.
Note     •     History

(a) An applicant whose application for licensure in California by examination has been approved will be eligible for an interim permit if the applicant has completed the educational requirements for licensure in nursing. (If the applicant is taking the examination as a graduate, the interim permit may be issued upon graduation. If the applicant is taking the examination as a non-graduate, the interim permit may be issued upon completion of the educational requirements for licensure.)
(b) An interim permit is not renewable and is in effect to the expiration date or until the results of the examination are mailed, at which time it becomes null and void.
(c) A permittee shall practice under the direct supervision of a registered nurse who shall be present and available on the patient care unit during all the time the permittee is rendering professional services. The supervising registered nurse may delegate to the permittee any function taught in the permittee's basic nursing program which, in the judgment of the supervising registered nurse, the permittee is capable of performing.
(d) An interim permittee is not authorized to use any other title or designation than “I.P.” or “permittee” or “nurse permittee” or “nurse interim permittee.”
(e) As an applicant for a license, the permittee is subject to the disciplinary provisions of Sections 2761and 2762 of the Business and Professions Code as is the Registered Nurse.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2732.1, Business and Professions Code.
HISTORY

1. New section filed 4-6-79; effective thirtieth day thereafter (Register 79, No. 14).
2. Amendment of subsection (c) filed 6-17-85; effective thirtieth day thereafter (Register 85, No. 25).
3. Amendment of subsection (c) filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39).
4. Amendment of subsection (a) filed 4-7-87; operative 5-7-87 (Register 87, No. 16).
5. Amendment of subsections (a) and (b) filed 10-2-96; operative 11-1-96 (Register 96, No. 40).
§1414.1. Foreign Licensees.
Note     •     History

An applicant who is currently licensed in a foreign country and who meets the educational requirements in Section 2736 may be issued an interim permit, subject to the conditions set forth in subsections (b), (c), (d), and (e) of Section 1414.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2732.1, 2732.15 and 2736, Business and Professions Code.
HISTORY

1. New section filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
2. Amendment filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39).
§1414.2. Interim Permit Defined. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2732.1 and 2736, Business and Professions Code.
HISTORY

1. New section filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
2. Repealer filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39).
§1414.5. Temporary License.
Note     •     History

(a) A person who meets the requirements of Section 2733 of the code may apply for a temporary license.
(b) An applicant whose application for a temporary license has been rejected shall be deemed to have abandoned the application if he/she does not submit evidence that he/she has removed the deficiencies specified in the written evaluation notice within a one-year period from the date of the written evaluation notice.
NOTE

Authority cited: Sections 2715 and 2733, Business and Professions Code. Reference: Section 2732.1, Business and Professions Code.
HISTORY

1. New section filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39).
§1415. Rescoring of Examination Papers. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2740 and 2815, Business and Professions Code.
HISTORY

1. New section filed 3-21-52; effective thirtieth day thereafter (Register 27, No. 5).
2. Amendment filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18).
3. Repealer filed 10-2-96; operative 11-1-96 (Register 96, No. 40).
§1416. Content of Second and Subsequent Examinations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2740 and 2741, Business and Professions Code.
HISTORY

1. New section filed 3-21-52; effective thirtieth day thereafter (Register 27, No. 5).
2. Amendment filed 2-23-72; effective thirtieth day thereafter (Register 72, No. 9).
3. Amendment filed 3-16-77; effective thirtieth day thereafter (Register 77, No. 12).
4. Amendment filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
5. Amendment filed 3-22-82; effective thirtieth day thereafter (Register 82, No. 13).
6. Repealer filed 4-7-87; operative 5-7-87 (Register 87, No. 16).
§1417. Fees.
Note     •     History

Pursuant to sections 2815, 2815.1, 2815.5, 2815.7, 2816, 2830.7, 2831, 2833, 2836.3 and 2838.2 of the code, the following fees are established and shall become effective January 1, 2011:

(1) Application fee for licensure by examination	$150

(2) Application fee for licensure by endorsement	$100

(3) Biennial license renewal fee	$140

   (a) Renewal fee - BRN	$130

   (b) RN Education Fund	$ 10

     administered by Office of Statewide Health
      Planning and Development

(4) Penalty fee for failure to timely renew a license	$65

(5) Application fee for continuing education provider 
approval	$200

(6) Biennial continuing education provider approval 
renewal fee	$200

(7) Penalty fee for failure to renew a continuing
education provider	$100

(8) Penalty fee for check returned unpaid	$30

(9) Interim permit fee	$50

(10) Temporary license fee	$50

(11) Fee for processing endorsement papers to other states	$60

(12) Certified copy of a school transcript	$30

(13) Duplicate license fee	$30

(14) Fee for evaluation of qualifications to use the title 
“nurse-practitioner”	$75

(15) Application fee for certificate as a nurse-midwife	$75

(16) Biennial nurse-midwife certificate renewal fee	$75

(17) Penalty fee for failure to timely renew a nurse-midwife
certificate	$37

(18) Fee for application for nurse-midwife equivalency
examination	$100

(19) Application fee for nurse-anesthetist certificate	$75

(20) Biennial nurse-anesthetist certificate renewal fee	$75

(21) Penalty fee for failure to timely renew a nurse-anesthetist 
certificate	$37

(22) Application fee for drug/device furnishing number	$50

(23) Biennial drug/device furnishing number renewal fee	$30

(24) Penalty fee for failure to timely renew a drug/device 
furnishing number	$15

(25) Application fee for public health nurse certificate	$75

(26) Application fee for clinical nurse specialist certificate	$75

(27) Biennial clinical nurse specialist certificate renewal 
fee	$75

(28) Penalty fee for failure to timely renew a clinical 
nurse specialist certificate	$37
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 163.5, 2815, 2815.5, 2815.7, 2816, 2830.7, 2831, 2833, 2836.1, 2836.2, 2836.3 and 2838.2, Business and Professions Code.
HISTORY

1. Amendment of subsections (b), (c) and (g) filed 9-3-85; effective upon filing pursuant to Government Code section 11346.2(d) (Register 85, No. 36). For prior history, see Register 84, No. 42.
2. Amendment filed 4-27-87; operative 5-27-87 (Register 87, No. 19).
3. Amendment of subsections (b) and (c) filed 9-27-89; operative 9-27-89 pursuant to Government Code section 11346.2(d) (Register 89, No. 40).
4. Amendment of subsections (a), (b), (c) and (g) filed 2-4-91; operative 7-1-91 (Register 91, No. 10).
5. Change without regulatory effect amending section filed 1-8-92 pursuant to section 100, title 1, California Code of Regulations; operative 1-1-92 (Register 92, No. 11).
6. Amendment of subsection (a), new subsection (a)(25) and amendment of Note filed 9-2-98; operative 10-2-98 (Register 98, No. 36).
7. Amendment of section and Note filed 11-24-2010; operative 12-24-2010 (Register 2010, No. 48).
§1418. Criteria for Evaluation of Equivalent Armed Services Training and Experience.
Note     •     History

A military applicant who has met the qualifications set forth in Section 2736.5 of the Code and who has completed a course of instruction that provided the knowledge and skills necessary to function in accordance with the minimum standards for competency set forth in Section 1443.5 and that contained the theoretical content and clinical experience specified in Section 1426(c)(1) through (e)(7) is deemed to have completed the course of instruction prescribed by the Board for licensure.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2736.5, Business and Professions Code.
HISTORY

1. New section filed 10-28-76; effective thirtieth day thereafter (Register 76, No. 44).
2. Amendment filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39).
3. Repealer and new section filed 3-9-2000; operative 4-8-2000 (Register 2000, No. 10).
§1419. Renewal of License.
Note     •     History

(a) A renewal application shall be on the form provided by the board, accompanied by the fee specified in Section 1417(a)(3) and required information and filed with the board at its office in Sacramento.
(b) For a license that expires on or after March 1, 2009, as a condition of renewal, an applicant for renewal not previously fingerprinted by the board, or for whom  a record of the submission of fingerprints no longer exists, is required to furnish to the Department of Justice, as directed by the board, a full set of fingerprints for the purpose of conducting a criminal history record check and to undergo a state and federal level criminal offender record information search conducted through the Department of Justice. Failure to submit a full set of fingerprints to the Department of Justice on or before the date required for renewal of a license is grounds for discipline by the board. It shall be certified on the renewal form whether the fingerprints have been submitted. This requirement is waived if the license is renewed in an inactive status, or the licensee is actively serving in the military outside the country.
(c) As a condition of renewal, an applicant for renewal shall disclose on the renewal form whether, since he or she last renewed his or her license, he or she has been convicted of any violation of the law in this or any other state, the United States or its territories, military court, or other country, omitting traffic infractions under $300 not involving alcohol, dangerous drugs, or a controlled substance.
(d) As a condition of renewal, an applicant for renewal shall disclose on the renewal form whether, since he or she last renewed his or her license, he or she has had a license disciplined by a government agency or other disciplinary body. Discipline includes, but is not limited to, suspension, revocation, voluntary surrender, probation, reprimand, or any other restriction on a license held.
(e) Failure to provide all of the information required by this section renders any application for renewal incomplete and not eligible for renewal.
NOTE

Authority cited: Sections 2708.1, 2715, 2761(a)(4) and 2761(f), Business and Professions Code. Reference: Sections 2715, 2761(f), 2765 and 2811, Business and Professions Code; and Section 11105(b)(10), Penal Code.
HISTORY

1. New section filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39). For history of former Section 1419, see Registers 64, No. 3, and 27, No. 5.
2. Amendment filed 2-1-96; operative 3-2-96 (Register 96, No. 5).
3. Amendment of section and Note filed 11-24-2008 as an emergency; operative 11-24-2008 (Register 2008, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-26-2009 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-24-2008 order, including further amendment of section and Note, transmitted to OAL 4-29-2009 and filed 6-2-2009 (Register 2009, No. 23).
5. Editorial correction of subsection (b) (Register 2009, No. 25).
§1419.1. Inactive License.
Note     •     History

A license may be maintained in an inactive status by paying the renewal fee as it becomes due. The licensee shall not practice nursing during the time the license is inactive.
To activate an inactive license, the licensee must submit a written request and evidence of 30 hours of approved continuing education taken during the two year period immediately preceding the request for activation. A licensee activating a license pursuant to this section shall furnish a full set of fingerprints as required by and set out in section 1419(b) as a condition of activation.
NOTE

Authority cited: Sections 2708.1, 2715 and 2761(f), Business and Professions Code. Reference: Sections 2734 and 2761(f), Business and Professions Code; and Section 11105(b)(10), Penal Code.
HISTORY

1. New section filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39).
2. Amendment of second paragraph and Note filed 11-24-2008 as an emergency; operative 11-24-2008 (Register 2008, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-26-2009 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-24-2008 order transmitted to OAL 4-29-2009 and filed 6-2-2009 (Register 2009, No. 23).
§1419.2. Renewal Processing Times.
Note     •     History

(a) Within 60 calendar days of receipt of a renewal form from a registered nurse, the board shall inform the nurse in writing that it is either complete and accepted for processing or that it is deficient and what specific information or documentation is required to complete the renewal form.
(b) Within 60 calendar days of receipt of a completed renewal form from a registered nurse, the board shall inform the nurse in writing of the renewal decision.
(c) The board's actual time periods for processing registered nurse renewals, from the receipt of the initial renewal form to the final decision, based on the two years preceding the proposal of this section were as follows:

	Minimum	-	9 days
	Median	-	19 days
	Maximum	-	107 days
NOTE

Authority cited: Section 2715, Business and Professions Code; and Section 15376, Government Code. Reference: Section 2811, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New section filed 2-13-91; operative 3-15-91 (Register 91, No. 12).
§1419.3. Reinstatement of Expired License.
Note     •     History

In the event a licensee does not renew his/her license as provided in Section 2811 of the code, the license expires. A licensee renewing pursuant to this section shall furnish a full set of fingerprints as required by and set out in section 1419(b) as a condition of renewal.
(a) A licensee may renew a license that has not been expired for more than eight years by paying the renewal and penalty fees as specified in Section 1417 and providing evidence of 30 hours of continuing education taken within the prior two-year period.
(b) A licensee may renew a license that has been expired for more than eight years by paying the renewal and penalty fees specified in Section 1417 and providing evidence that he or she holds a current valid active and clear registered nurse license in another state, a United States territory, or Canada, or by passing the Board's current examination for licensure.
NOTE

Authority cited: Sections 2708.1, 2715, 2761(f) and 2811.5, Business and Professions Code. Reference: Sections 2761(f), 2811 and 2811.5, Business and Professions Code; and Section 11105(b)(10), Penal Code.
HISTORY

1. New section filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39).
2. Change without regulatory effect amending section filed 12-29-98 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 1).
3. Amendment filed 9-19-2001; operative 10-19-2001 (Register 2001, No. 38).
4. Amendment of first paragraph and Note filed 11-24-2008 as an emergency; operative 11-24-2008 (Register 2008, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-26-2009 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 11-24-2008 order transmitted to OAL 4-29-2009 and filed 6-2-2009 (Register 2009, No. 23).
§1419.4. Issuance of Duplicate License.
Note     •     History

A licensee shall report a lost or stolen license within ten (10) days of the loss and shall request, in writing, replacement of the lost license and pay the fee specified in Section 1417(a)(13). A licensee may be required to submit a notarized statement explaining the circumstances of the loss, and/or file a license renewal form provided by the board.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2815, Business and Professions Code.
HISTORY

1. New section filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39).
2. Amendment filed 4-7-87; operative 5-7-87 (Register 87, No. 16).
3. Amendment filed 2-1-96; operative 3-2-96 (Register 96, No. 5).
Article 3. Prelicensure Nursing Programs
§1420. Definitions.
Note     •     History

For purposes of this article, the term:
(a) “Affiliated institution” means a non-institution of higher education, such as a hospital, that is approved or has applied for board approval for a nursing program and is affiliated with an institution of higher education pursuant to section 2786 of the code;
(b) “Approved nursing program” means a school, program, department or division of nursing in this state approved under the provisions of sections 2785 through 2789 of the code and this article;
(c) “Assistant Director” means a registered nurse administrator or faculty member who meets the qualifications of section 1425(b) and is designated by the director to assist in the administration of the program and perform the functions of the director when needed;
(d) “Clinically competent” means that the nursing program faculty member possesses and exercises the degree of learning, skill, care and experience ordinarily possessed and exercised by staff level registered nurses of the nursing area to which the faculty member is assigned;
(e) “Clinical practice” means the planned learning experiences designed for students to apply nursing knowledge and skills to meet course objectives in a variety of board-approved clinical settings. Clinical practice includes learning experiences provided in various health care agencies as well as nursing skills labs, simulation labs, and computer labs; 
(f) “Content expert” means an instructor who has the responsibility to review and monitor the program's entire curricular content for a designated nursing area of geriatrics, medical-surgical, mental health/psychiatric nursing, obstetrics, or pediatrics; 
(g) “Course of instruction” means the minimum education program that meets the requirements of section 1426 for eligibility to take the licensing examination and that is not less than two (2) academic years or equivalent;
(h) “Director” means the registered nurse administrator or faculty member who meets the qualifications of section 1425(a) and has the authority and responsibility to administer the program. The director coordinates and directs all activities in developing, implementing, and managing a nursing program, including its fiscal planning;
(i) “Faculty” means all registered nurses who teach in an approved  nursing program;
(j) “Institution of higher education” means an educational setting that provides post-secondary or higher education, such as a university, a community college offering an associate degree, or other collegial institution that grants associate of arts degrees or baccalaureate or higher degrees to graduates of the nursing program;
(k) “Learning experience” means those activities planned for students by the faculty that are designed to meet the objectives of the required course of instruction, including the basic standards of competent performance in section 1443.5;
(l) “Nursing process” means the application of scientific, evidence-based knowledge in the identification and treatment of actual or potential patient health problems. The nursing process includes assessment, nursing diagnosis, planning and outcome identification, implementation, and evaluation; 
(m) “Non-faculty” means all persons other than faculty members who meet the minimum qualifications of clinical teaching assistant and are selected by the nursing program to teach or supervise nursing students in designated nursing areas;
(n) “Preceptor” means a registered nurse who meets the qualifications set out in section 1426.1(b)(3)(A) through (D), employed by a health care agency, who is assigned to assist and supervise nursing students in an educational experience that is designed and directed by a faculty member;
(o) “Prelicensure registered nursing program” means an institution of higher education or affiliated institution that offers a course of instruction to prepare students for entry level registered nurse practice and to take the licensing examination;
(p) “Technology” means equipment, tools, and devices that are used to facilitate and support the teaching and learning of the nursing program's board-approved curriculum.
(q) “Year” means an academic year, unless otherwise specified.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2785-2788, Business and Professions Code.
HISTORY

1. Repealer of Article 3 (Sections 1420-1435.5, not consecutive) and new Article 3 (Sections 1420-1430, not consecutive) filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39). For prior history, including former Sections 1419, 1422.2, 1422.3, 1424, 1425.5, 1426, 1427.5, 1427.6, 1429, 1430, 1433.05, 1433.1-1433.3, 1436 and 1437, see Registers 85, No. 25; 78, No. 9; 77, Nos. 47 and 34; 76, No. 47; 75, Nos. 41 and 33; 74, No. 13; 73, No. 40; 72, No. 53; 70, No. 5; 68, No. 24; 66, Nos. 37, 7 and 6; 64, No. 3; 61, Nos. 13 and 7; 60, No. 21; 57, No. 15; 55, No. 4; 54, No. 8; 53, No. 18; 27, No. 5; 26, No. 4 and 20, No. 1.
2. Amendment of article heading and section filed 9-21-2010; operative 10-21-2010 (Register 2010, No. 39).
§1421. Application for Approval.
Note     •     History

(a) An institution of higher education or affiliated institution applying for approval of a new prelicensure registered nursing program (program applicant) shall be in the state and shall comply with the requirements specified in the board's document entitled, “Instructions for Institutions Seeking Approval of a New Prelicensure Registered Nursing Program”, (EDP-I-01Rev 03/10), (“Instructions”), which is hereby incorporated by reference, including:
(1) Notify the board in writing of its intent to offer a new program that complies with board requirements; 
(2) Submit a feasibility study in accordance with the requirements specified in the “Instructions”; 
(3) Appoint a director who meets the requirements of section 1425(a). Such appointment shall be made upon board acceptance of the feasibility study for the proposed program.
(4) After acceptance of the feasibility study by the board, and no later than six (6) months prior to the proposed date for enrollment of students, submit a self-study to the board in accordance with the requirements specified in the “Instructions” demonstrating how the program will meet the requirements of sections 1424 through 1432 of this article and sections 2786.6(a) and (b) of the code.
(5) Have a representative at public meetings of the board and board committee pursuant to the “Instructions” when the feasibility study and self-study are considered.
(b) The board shall consider the feasibility study and accept, reject, or defer action on the study to permit the program applicant time to provide additional information to be considered, based upon the following criteria: 
(1) Evidence of initial and sustainable budgetary provisions for the proposed program;
(2) Institution of higher education's authority to grant an associate of arts, baccalaureate, or higher degree;
(3) For an affiliated institution, an agreement with an institution of higher education in the same general location authorized to grant an associate of arts, baccalaureate, or higher degree to students successfully completing the nursing program;
(4) Evidence of availability of clinical placements for students of the proposed program;
(5) Plans for administrative and faculty recruitment to staff the proposed program.
(c) The board's designee shall review the self-study, conduct a site visit of the proposed program, and submit a written report to the board that contains findings as to whether the application and supporting documentation for the proposed program comply with the requirements set forth in (a)(4).
(d) The board shall consider the application along with the written report and may thereafter grant or deny approval, or defer action on the application. The board's decision is based on the applicant's demonstration that it meets the requirements of sections 1424 through 1432 and sections 2786.6(a) and (b) of the code. 
NOTE

Authority cited: Sections 2715, 2786 and 2786.6, Business and Professions Code. Reference: Sections 2786 and 2786.6, Business and Professions Code.
HISTORY

1. Amendment of section heading and section filed 9-21-2010; operative 10-21-2010 (Register 2010, No. 39).
§1422. Certificate of Approval.
Note     •     History

(a) A certificate of approval shall be issued to each nursing program when it is initially approved by the board.
(b) The board shall revoke a nursing program's approval, and the program shall return the certificate of approval to the board under the following conditions:
(1) The institution of higher education cannot grant degrees; or 
(2) The board determines that the nursing program is in non-compliance with the requirements set forth in this article or sections 2786 through 2788 of the code.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2786-2788, Business and Professions Code.
HISTORY

1. Amendment of section heading and section filed 9-21-2010; operative 10-21-2010 (Register 2010, No. 39).
§1423. Approval Requirements.
Note     •     History

(a) In order for a program to be approved by the board or to retain its approval, it shall comply with all requirements set forth in this article and in sections 2786 through 2788 of the code.
(b) A material misrepresentation of fact by a program applicant or an approved nursing program in any information required to be submitted to the board is grounds for denial of approval or revocation of the program's approval.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2786-2788, Business and Professions Code.
HISTORY

1. Amendment of section heading and section filed 9-21-2010; operative 10-21-2010 (Register 2010, No. 39).
§1424. Administration and Organization of the Nursing Program.
Note     •     History

(a) There shall be a written statement of philosophy and objectives that serves as a basis for curriculum structure. Such statement shall take into consideration the individual difference of students, including their cultural and ethnic background, learning styles, goals, and support systems. It shall also take into consideration the concepts of nursing and man in terms of nursing activities, the environment, the health-illness continuum, and relevant knowledge from related disciplines.
(b) The policies and procedures by which the program is administered shall be in writing, shall reflect the philosophy and objectives of the program, and shall be available to all students.
(1) The nursing program shall have a written plan for evaluation of the total program, including admission and selection procedures, attrition and retention of students, and performance of graduates in meeting community needs.
(2) The program shall have a procedure for resolving student grievances.
(c) There shall be an organizational chart which identifies the relationships, lines of authority and channels of communication within the program, between the program and other administrative segments of the institution with which it is affiliated, and between the program, the institution and clinical agencies.
(d) The program shall have sufficient resources, including faculty, library, staff and support services, physical space and equipment, including technology, to achieve the program's objectives.
(e) The director and the assistant director shall dedicate sufficient time for the administration of the program.
(f) The program shall have a board-approved assistant director who is knowledgeable and current regarding the program and the policies and procedures by which it is administered, and who is delegated the authority to perform the director's duties in the director's absence.
(g) Faculty members shall have the primary responsibility for developing policies and procedures, planning, organizing, implementing and evaluating all aspects of the program.
(h) The faculty shall be adequate in type and number to develop and implement the program approved by the board, and shall include at least one qualified instructor in each of the areas of nursing required by section 1426(d) who will be the content expert in that area. Nursing faculty members whose teaching responsibilities include subject matter directly related to the practice of nursing shall be clinically competent in the areas to which they are assigned.
(i) When a non-faculty individual participates in the instruction and supervision of students obtaining clinical experience, his or her responsibilities shall be described in writing and kept on file by the nursing program.
(j) The assistant director shall function under the supervision of the director. Instructors shall function under the supervision of the director or the assistant director. Assistant instructors and clinical teaching assistants shall function under the supervision of an instructor.
(k) The student/teacher ratio in the clinical setting shall be based on the following criteria:
(1) Acuity of patient needs;
(2) Objectives of the learning experience;
(3) Class level of the students;
(4) Geographic placement of students;
(5) Teaching methods; and
(6) Requirements established by the clinical agency.
NOTE

Authority cited: Sections 2715, 2786 and 2786.6, Business and Professions Code. Reference: Sections 2786-2788, Business and Professions Code.
HISTORY

1. Amendment of subsections (b) and (g) filed 4-27-87; operative 5-27-87 (Register 87, No. 18).
2. Amendment filed 9-21-2010; operative 10-21-2010 (Register 2010, No. 39).
§1425. Faculty--Qualifications and Changes.
Note     •     History

All faculty, the director, and the assistant director shall be approved by the board pursuant to the document, “Faculty Qualifications and Changes Explanation of CCR 1425 (EDP-R-02 Rev 02/09), which is incorporated herein by reference. A program shall report to the board all changes in faculty, including changes in teaching areas, prior to employment of, or within 30 days after, termination of employment of a faculty member. Such changes shall be reported on forms provided by the board: Faculty Approval/Resignation Notification form (EDP-P-02, Rev 02/09) and Director or Assistant Director Approval form (EDP-P-03, Rev 02/09), which are herein incorporated by reference. Each faculty member, director, and assistant director shall hold a clear and active license issued by the board and shall possess the following qualifications:
(a) The director of the program shall meet the following minimum qualifications:
(1) A master's or higher degree from an accredited college or university which includes course work in nursing, education or administration;
(2) One (1) year's experience as an administrator with validated performance of administrative responsibilities consistent with section 1420(h);
(3) Two (2) years' experience teaching in pre- or post-licensure registered nursing programs; and
(4) One (1) year's continuous, full-time or its equivalent experience direct patient care as a registered nurse; or
(5) Equivalent experience and/or education, as determined by the board.
(b) The assistant director shall meet the education requirements set forth in subsection (a)(1) above and the experience requirements set forth in subsections (a)(3) and (a)(4) above, or such experience as the board determines to be equivalent.
(c) An instructor shall meet the following minimum qualifications:
(1) The education requirements set forth in subsection (a)(1); and
(2) Direct patient care experience within the previous five (5) years in the nursing area to which he or she is assigned, which can be met by: 
(A) One (1) year's continuous, full-time or its equivalent experience providing direct patient care as a registered nurse in the designated nursing area; or 
(B) One (1) academic year of registered nurse level clinical teaching experience in the designated nursing area or its equivalent that demonstrates clinical competency; and
(3) Completion of at least one (1) year's experience teaching courses related to registered nursing or completion of a post-baccalaureate course which includes practice in teaching registered nursing.
(d) An assistant instructor shall meet the following minimum qualifications:
(1) A baccalaureate degree from an accredited college which shall include courses in nursing, or in natural, behavioral or social sciences relevant to nursing practice;
(2) Direct patient care experience within the previous five (5) years in the nursing area to which he or she will be assigned, which can be met by:
(A) One (1) year's continuous, full-time or its equivalent experience providing direct patient care as a registered nurse in the designated nursing area; or 
(B) One (1) academic year of registered nurse level clinical teaching experience in the designated nursing area or its equivalent that demonstrates clinical competency.
(e) A clinical teaching assistant shall have at least one (1) year continuous, full-time or its equivalent experience in the designated nursing area within the previous five (5) years as a registered nurse providing direct patient care.
(f) A content expert shall be an instructor and shall possess the following minimum qualifications:
(1) A master's degree in the designated nursing area; or
(2) A master's degree that is not in the designated nursing area and shall: 
(A) Have completed thirty (30) hours of continuing education or two (2) semester units or three (3) quarter units of nursing education related to the designated nursing area; or have national certification in the designated nursing area from an accrediting organization, such as the American Nurses Credentialing Center (ANCC); and
(B) Have a minimum of two hundred forty (240) hours of clinical experience within the previous three (3) years in the designated nursing area; or have a minimum of one (1) academic year of registered nurse level clinical teaching experience in the designated nursing area within the previous five (5) years.
NOTE

Authority cited: Section 2715 and 2786, Business and Professions Code. Reference: Sections 2786-2788, Business and Professions Code.
HISTORY

1. Amendment filed 3-24-86; effective thirtieth day thereafter (Register 86, No. 13).
2. Amendment of first paragraph and subsection (b)(5) filed 4-27-87; operative 5-27-87 (Register 87, No. 18).
3. Amendment filed 9-21-2010; operative 10-21-2010 (Register 2010, No. 39).
§1425.1. Faculty Responsibilities.
Note     •     History

(a) Each faculty member shall assume responsibility and accountability for instruction, evaluation of students, and planning and implementing curriculum content.
(b) Each faculty member shall participate in an orientation program, including, but not limited to, the program's curriculum, policies and procedures, strategies for teaching, and student supervision and evaluation.
(c) A registered nurse faculty member shall be responsible for clinical supervision only of those students enrolled in the registered nursing program.
(d) Each faculty member shall be clinically competent in the nursing area in which he or she teaches. The board document, “Faculty Remediation Guidelines” (EDP-R-08 Rev. 02/09), which provides guidelines for attaining and documenting clinical competency, is herein incorporated by reference.
NOTE

Authority cited: Sections 2715, 2786 and 2786.6, Business and Professions Code. Reference: Sections 2786-2788, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 4-27-87; operative 5-27-87 (Register 87, No. 18).
2. Amendment filed 9-21-2010; operative 10-21-2010 (Register 2010, No. 39).
§1426. Required Curriculum.
Note     •     History

(a) The curriculum of a nursing program shall be that set forth in this section, and shall be approved by the board. Any revised curriculum shall be approved by the board prior to its implementation.
(b) The curriculum shall reflect a unifying theme, which includes the nursing process as defined by the faculty, and shall be designed so that a student who completes the program will have the knowledge, skills, and abilities necessary to function in accordance with the registered nurse scope of practice as defined in code section 2725, and to meet minimum competency standards of a registered nurse.
(c) The curriculum shall consist of not less than fifty-eight (58) semester units, or eighty-seven (87) quarter units, which shall include at least the following number of units in the specified course areas:
(1) Art and science of nursing, thirty-six (36) semester units or fifty-four (54) quarter units, of which eighteen (18) semester or twenty-seven (27) quarter units will be in theory and eighteen (18) semester or twenty-seven (27) quarter units will be in clinical practice.
(2) Communication skills, six (6) semester or nine (9) quarter units. Communication skills shall include principles of oral, written, and group communication.
(3) Related natural sciences (anatomy, physiology, and microbiology courses with labs), behavioral and social sciences, sixteen (16) semester or twenty-four (24) quarter units.
(d) Theory and clinical practice shall be concurrent in the following nursing areas: geriatrics, medical-surgical, mental health/psychiatric nursing, obstetrics, and pediatrics. Instructional outcomes will focus on delivering safe, therapeutic, effective, patient-centered care; practicing evidence-based practice; working as part of interdisciplinary teams; focusing on quality improvement; and using information technology. Instructional content shall include, but is not limited to, the following: critical thinking, personal hygiene, patient protection and safety, pain management, human sexuality, client abuse, cultural diversity, nutrition (including therapeutic aspects), pharmacology, patient advocacy, legal, social and ethical aspects of nursing, and nursing leadership and management.
(e) The following shall be integrated throughout the entire nursing curriculum:
(1) The nursing process;
(2) Basic intervention skills in preventive, remedial, supportive, and rehabilitative nursing;
(3) Physical, behavioral, and social aspects of human development from birth through all age levels;
(4) Knowledge and skills required to develop collegial relationships with health care providers from other disciplines;
(5) Communication skills including principles of oral, written, and group communications;
(6) Natural science, including human anatomy, physiology, and microbiology; and
(7) Related behavioral and social sciences with emphasis on societal and cultural patterns, human development, and behavior relevant to health-illness.
(f) The program shall have tools to evaluate a student's academic progress, performance, and clinical learning experiences that are directly related to course objectives.
(g) The course of instruction shall be presented in semester or quarter units or the equivalent under the following formula:
(1) One (1) hour of instruction in theory each week throughout a semester or quarter equals one (1) unit.
(2) Three (3) hours of clinical practice each week throughout a semester or quarter equals one (1) unit. With the exception of an initial nursing course that teaches basic nursing skills in a skills lab, 75% of clinical hours in a course must be in direct patient care in an area specified in section 1426(d) in a board-approved clinical setting.
NOTE

Authority cited: Sections 2715 and 2786.6, Business and Professions Cod. Reference: Sections 2785-2788, Business and Professions Code.
HISTORY

1. Amendment of subsection (d) filed 4-27-87; operative 5-27-87 (Register 87, No. 18).
2. Amendment of section heading and section filed 9-21-2010; operative 10-21-2010 (Register 2010, No. 39).
§1426.1. Preceptorship.
Note     •     History

A preceptorship is a course, or component of a course, presented at the end of a board-approved curriculum, that provides students with a faculty-planned and supervised experience comparable to that of an entry-level registered nurse position. A program may choose to include a preceptorship in its curriculum. The following shall apply: 
(a) The course shall be approved by the board prior to its implementation. 
(b) The program shall have written policies and shall keep policies on file for conducting the preceptorship that include all of the following:
(1) Identification of criteria used for preceptor selection;
(2) Provision for a preceptor orientation program that covers the policies of the preceptorship and preceptor, student, and faculty responsibilities;
(3) Identification of preceptor qualifications for both the primary and the relief preceptor that include the following requirements: 
(A) An active, clear license issued by the board;
(B) Clinically competent, and meet the minimum qualifications specified in section 1425(e);
(C) Employed by the health care agency for a minimum of one (1) year; and
(D) Completed a preceptor orientation program prior to serving as a preceptor.
(E) A relief preceptor, who is similarly qualified to be the preceptor is present and available on the primary preceptor's days off.
(4) Communication plan for faculty, preceptor, and student to follow during the preceptorship that addresses:
(A) The frequency and method of faculty/preceptor/student contact;
(B) Availability of faculty and preceptor to the student during his or her preceptorship experience;
1. Preceptor is present and available on the patient care unit the entire time the student is rendering nursing services during the preceptorship.
2. Faculty is available to the preceptor and student during the entire time the student is involved in the preceptorship learning activity.
(5) Description of responsibilities of the faculty, preceptor, and student for the learning experiences and evaluation during preceptorship, that include the following activities:
(A) Faculty member conducts periodic on-site meetings/conferences with the preceptor and the student;
(B) Faculty member completes and conducts the final evaluation of the student with input from the preceptor; 
(6) Maintenance of preceptor records that includes names of all current preceptors, registered nurse licenses, and dates of preceptorships; and
(7) Plan for an ongoing evaluation regarding the continued use of preceptors.
(c) Faculty/student ratio for preceptorship shall be based on the following criteria:
(1) Student/preceptor needs;
(2) Faculty's ability to effectively supervise;
(3) Students' assigned nursing area; and
(4) Agency/facility requirements.
NOTE

Authority cited: Sections 2715 and 2786.6, Business and Professions Code. Reference: Sections 2785-2788, Business and Professions Code.
HISTORY

1. New section filed 9-21-2010; operative 10-21-2010 (Register 2010, No. 39).
§1427. Clinical Facilities.
Note     •     History

(a) A nursing program shall not utilize any agency or facility for clinical experience without prior approval by the board. Each program must submit evidence that it has complied with the requirements of subdivisions (b), (c), and (d) of this section and the policies outlined by the board.
(b) A program that utilizes an agency or facility for clinical experience shall maintain written objectives for student learning in such facilities, and shall assign students only to facilities that can provide the experience necessary to meet those objectives. 
(c) Each such program shall maintain written agreements with such facilities and such agreements shall include the following:
(1) Assurance of the availability and appropriateness of the learning environment in relation to the program's written objectives;
(2) Provision for orientation of faculty and students;
(3) A specification of the responsibilities and authority of the facility's staff as related to the program and to the educational experience of the students;
(4) Assurance that staff is adequate in number and quality to ensure safe and continuous health care services to patients;
(5) Provisions for continuing communication between the facility and the program; and
(6) A description of the responsibilities of faculty assigned to the facility utilized by the program.
(d) In selecting a new clinical agency or facility for student placement, the program shall take into consideration the impact that an additional group of students would have on students of other nursing programs already assigned to the agency or facility.
NOTE

Authority cited: Sections 2715 and 2786, Business and Professions Code. Reference: Sections 2786-2788, Business and Professions Code.
HISTORY

1. Amendment filed 9-21-2010; operative 10-21-2010 (Register 2010, No. 39).
§1428. Student Participation.
Note     •     History

Students shall be provided opportunity to participate with the faculty in the identification of policies and procedures related to students including but not limited to:
(a) Philosophy and objectives;
(b) Learning experience; and
(c) Curriculum, instruction, and evaluation of the various aspects of the program, including clinical facilities.
NOTE

Authority cited: Sections 2715 and 2786, Business and Professions Code. Reference: Sections 2786-2788, Business and Professions Code.
HISTORY

1. Amendment filed 9-21-2010; operative 10-21-2010 (Register 2010, No. 39).
§1428.6. Policies Relating to Establishing Eligibility for Examination.
Note     •     History

(a) At least four (4) weeks prior to its established graduation date, the nursing program shall submit to the board a roster of names of those students and their expected date to successfully complete required course work. Except as provided below such a student shall be deemed eligible to take the examination after the date on which the student successfully completed the required course work.
(b) The nursing program shall notify the board immediately by telephone, facsimile, or e-mail of any student who fails to maintain eligibility and such individuals shall be deemed ineligible to take the examination.
NOTE

Authority cited: Sections 2715 and 2786, Business and Professions Code. Reference: Sections 2786-2788, Business and Professions Code.
HISTORY

1. Amendment filed 10-2-96; operative 11-1-96 (Register 96, No. 40).
2. Amendment filed 9-21-2010; operative 10-21-2010 (Register 2010, No. 39).
§1429. Licensed Vocational Nurses, Thirty (30) Semester or Forty-Five (45) Quarter Unit Option.
Note     •     History

(a) An applicant who is licensed in California as a vocational nurse is eligible to apply for licensure as a registered nurse if such applicant has successfully completed the courses prescribed below and meets all the other requirements set forth in section 2736 of the code. Such applicant shall submit evidence to the board, including a transcript, of successful completion of the requirements set forth in subsection (c) and of successful completion or challenge of courses in physiology and microbiology comparable to such courses required for licensure as a registered nurse.
(b) The school shall offer objective counseling of this option and evaluate each licensed vocational nurse applicant for admission to its registered nursing program on an individual basis. A school's determination of the prerequisite courses required of a licensed vocational nurse applicant shall be based on an analysis of each applicant's academic deficiencies, irrespective of the time such courses were taken.
(c) The additional education required of licensed vocational nurse applicants shall not exceed a maximum of thirty (30) semester or forty-five (45) quarter units. Courses required for vocational nurse licensure do not fulfill the additional education requirement. However, other courses comparable to those required for licensure as a registered nurse, as specified in section 1426, may fulfill the additional education requirement.
Nursing courses shall be taken in an approved nursing program and shall be beyond courses equivalent to the first year of professional nursing courses. The nursing content shall include nursing intervention in acute, preventive, remedial, supportive, rehabilitative and teaching aspects of nursing. Theory and courses with concurrent clinical practice shall include advanced medical-surgical, mental health, psychiatric nursing and geriatric nursing. The nursing content shall include the basic standards for competent performance prescribed in section 1443.5 of these regulations.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2736, 2736.6 and 2786, Business and Professions Code.
HISTORY

1. Amendment of section heading and section filed 9-21-2010; operative 10-21-2010 (Register 2010, No. 39).
§1430. Previous Education Credit.
Note     •     History

An approved nursing program shall have a process for a student to obtain credit for previous education or for other acquired knowledge in the field of nursing through equivalence, challenge examinations, or other methods of evaluation. The program shall make the information available in published documents, such as college catalog or student handbook, and online.
NOTE

Authority cited: Sections 2715 and 2786.6, Business and Professions Code. Reference: Sections 2736 and 2786.6, Business and Professions Code.
HISTORY

1. Renumbering of former section 1430 to new section 1432 and new section 1430 filed 9-21-2010; operative 10-21-2010 (Register 2010, No. 39).
§1431. Licensing Examination Pass Rate Standard.
Note     •     History

The nursing program shall maintain a minimum pass rate of seventy-five percent (75%) for first time licensing examination candidates.
(a) A program exhibiting a pass rate below seventy-five percent (75%) for first time candidates in an academic year shall conduct a comprehensive program assessment to identify variables contributing to the substandard pass rate and shall submit a written report to the board. The report shall include the findings of the assessment and a plan for increasing the pass rate including specific corrective measures to be taken, resources, and timeframe.
(b) A board-approval visit will be conducted if a program exhibits a pass rate below seventy-five percent (75%) for first time candidates for two (2) consecutive academic years.

(c) 	The board may place a program on warning status with intent to revoke the program's approval and may revoke approval if a program fails to maintain the minimum pass rate pursuant to section 2788 of the code.
NOTE

Authority cited: Sections 2715 and 2788, Business and Professions Code. Reference: Section 2788, Business and Professions Code.
HISTORY

1. New section filed 9-21-2010; operative 10-21-2010 (Register 2010, No. 39).
§1432. Changes to an Approved Program.
Note     •     History

(a) Each nursing program holding a certificate of approval shall:
(1) File its legal name and current mailing address with the board at its principal office and shall notify the board at said office of any change of name or mailing address within thirty (30) days prior to such change. It shall give both the old and the new name or address.
(2) Notify the board within ten (10) days of any:
(A) Change in fiscal condition that will or may potentially adversely affect applicants or students enrolled in the nursing program.
(B) Substantive change in the organizational structure, administrative responsibility, or accountability in the nursing program, the institution of higher education in which the nursing program is located or with which it is affiliated that will affect the nursing program. 
(b) An approved nursing program shall not make a substantive change without prior board authorization. These changes include:
(1) Change in location. 
(2) Change in ownership.
(3) Addition of a new campus or location.
(4) Significant change in the agreement between an approved nursing program that is not an institution of higher education and the institution of higher education with which it is affiliated. 
NOTE

Authority cited: Sections 2715, 2786 and 2788, Business and Professions Code. Reference: Sections 2715, 2786 and 2788, Business and Professions Code.
HISTORY

1. Renumbering of former section 1430 to new section 1432, including amendment of section heading, section and Note, filed 9-21-2010; operative 10-21-2010 (Register 2010, No. 39).
Article 3.5. Citations and Fines
§1435. Citations--Content and Service.
Note     •     History

(a) The Executive Officer of the board or his/her designee, in lieu of filing an accusation against any licensee, may issue a citation which may contain an administrative fine and/or order of abatement against that licensee for any violation of law which would be grounds for discipline or of any regulation adopted by the board pursuant thereto.
(b) Each citation shall be in writing and shall describe with particularity the nature and facts of each violation specified in the citation, including a reference to the statute or regulation alleged to have been violated.
(c) The citation may contain an assessment of an administrative fine, an order of abatement fixing a reasonable time for abatement of the violation, or both.
(d) The citation shall inform the cited individual of the right to an informal citation conference concerning the matter and of the right to an administrative hearing.
(e) The citation shall be served upon the individual personally or by certified mail.
NOTE

Authority cited: Sections 125.9, 148 and 2715, Business and Professions Code.  Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New Article 3.5 (sections 1435-1435.7) and section 1435 filed 7-12-96; operative 8-11-96 (Register 96, No. 28).
2. Amendment of subsection (a) filed 12-16-2002; operative 1-15-2003 (Register 2002, No. 51).
§1435.1 Exceptions.
Note     •     History

A citation shall not be issued in any of the following circumstances:
(a) The violation is of such a nature and/or severity that revocation of the license or restrictions on the license are necessary in order to ensure consumer protection.
(b) The licensee's conduct displayed a disregard for the patient and/or the patient's rights.  This includes but is not limited to physical abuse; neglect; abandonment; fiduciary abuse (as defined in Article 2, Chapter 11 commencing with Section 15610 of the Welfare and Institutions Code with additional modification of the definitions to include all types of patients); or the deprivation of care or services which are necessary to avoid physical harm or mental suffering.
(c) The licensee failed to comply with any requirement of any previous citation, including any order of abatement or fine.
(d) The licensee has been previously disciplined by the board or has previously been denied a license by the board for the same or similar actions.
(e) The violation involves unprofessional conduct related to controlled substances or dangerous drugs.
(f) The violation involves unprofessional conduct related to sexual abuse, misconduct or relations with a patient.
(g) The licensee was convicted of an offense substantially related to the qualifications, functions, and duties of a registered nurse and there is insufficient evidence of rehabilitation.
NOTE

Authority cited: Sections 125.9, 148 and 2715, Business and Professions Code.  Reference: Sections 125.9 and 148, Business and Professions Code; Article 2, Chapter 11 commencing with Section 15610, Welfare and Institutions Code.
HISTORY

1. New section filed 7-12-96; operative 8-11-96 (Register 96, No. 28).
§1435.2. Violations and Fines.
Note     •     History

(a) In any citation, the Executive Officer of the board or his/her designee may assess a fine for violations of the Nursing Practice Act, any regulation adopted pursuant thereto, or any applicable section of the Business and Profession Code governing the practice of registered nursing. 
(b) The range of fines shall be from $0.00 - $2500. Fines shall be assessed based on criteria stated in section 1435.4. In no case shall the total fines exceed $2,500 for each investigation.
(c) Notwithstanding the administrative fine amounts specified in subsection (b), a citation may include a fine between $2,501 and $5,000 if one or more of the following circumstances apply:
1. The citation involves a violation that has an immediate relationship to the health and safety of another person.
2. The cited person has a history of two or more prior citations of the same or similar violations;
3. The citation involves multiple violations that demonstrate a willful disregard of the law.
4. The citation involves a violation or violations perpetrated against a senior citizen or person with disability.
NOTE

Authority cited: Sections 125.9, 148, 2715 and 2761(d), Business and Professions Code.  Reference: Sections 119, 125, 125.6, 125.9, 136, 148, 496, 498, 499, 810(a), 2725.1, 2732, 2732.05, 2761, 2795, 2796 and 2797, Business and Professions Code and Sections 1411.6, 1414(c), 1414(d), 1443.5, 1451(d), 1451(e), 1453 and 1474, Title 16, California Code of  Regulations.
HISTORY

1. New section filed 7-12-96; operative 8-11-96 (Register 96, No. 28).
2. Amendment filed 12-16-2002; operative 1-15-2003 (Register 2002, No. 51).
3. Designation of first and second sentences as subsections (a) and (b), respectively, and new subsections (c)-(c)4. filed 3-12-2008; operative 4-11-2008 (Register 2008, No. 11).
§1435.15. Citation Disclosure and Record Purge.
Note     •     History

(a) Every citation that is issued pursuant to this article shall be disclosed to an inquiring member of the public.
(b) Every citation, once it has been resolved by payment of the administrative fine and/or compliance with the order of abatement, shall be purged three (3) years from the date of resolution, except for citations referenced in subsection (c).
(c) No citation shall be purged if issued pursuant to CCR Section 1435.3, and no citation shall be purged for any citation issued against an unlicensed individual using the title “registered nurse” or the letters “RN” after his or her name.
(d) A citation that has been withdrawn or dismissed shall be purged from the board's file as soon as administratively feasible, but no more than one year.
NOTE

Authority cited: Sections 125.9, 148 and 2715, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 12-16-2002; operative 1-15-2003 (Register 2002, No. 51).
§1435.2. Violations and Fines.
Note     •     History

In any citation, the Executive Officer of the board or his/her designee may assess a fine for violations of the Nursing Practice Act, any regulation adopted pursuant thereto, or any applicable section of the Business and Profession Code governing the practice of registered nursing. The range of fines shall be from $0.00 - $2500. Fines shall be assessed based on criteria stated in section 1435.4. In no case shall the total fines exceed $2,500 for each investigation.
NOTE

Authority cited: Sections 125.9, 148, 2715 and 2761(d), Business and Professions Code.  Reference: Sections 119, 125, 125.6, 125.9, 136, 148, 496, 498, 499, 810(a), 2725.1, 2732, 2732.05, 2761, 2795, 2796 and 2797, Business and Professions Code and Sections 1411.6, 1414(c), 1414(d), 1443.5, 1451(d), 1451(e), 1453 and 1474, Title 16, California Code of  Regulations.
HISTORY

1. New section filed 7-12-96; operative 8-11-96 (Register 96, No. 28).
2. Amendment filed 12-16-2002; operative 1-15-2003 (Register 2002, No. 51).
§1435.3. Citations for Unlicensed Individual.
Note     •     History

The Executive Officer of the board or his/her designee may issue citations, in accordance with Section 148 of the Code, against any individual (as defined in section 302(e) of the Code) who is performing or who has performed services for which licensure is required under the Nursing Practice Act or regulations adopted pursuant thereto.  Citations issued under this section shall meet the requirements set forth in subdivisions (b), (c), (d), and (e) of Section 1435 and shall be subject to the provisions of Sections 1435.2, 1435.4, 1435.5 and subdivisions (a), (b), and (c) of Section 1435.6.  Each citation issued under this section shall contain an order of abatement.  The sanction authorized under this section shall be separate from and in addition to any other civil or criminal remedies.
NOTE

Authority cited: Sections 125.9, 148 and 2715, Business and Professions Code.  Reference: Sections 125.9, 148 and 302(e), Business and Professions Code.
HISTORY

1. New section filed 7-12-96; operative 8-11-96 (Register 96, No. 28).
2. Amendment filed 12-16-2002; operative 1-15-2003 (Register 2002, No. 51).
§1435.4 Criteria to be Considered in Assessing a Fine or Order of Abatement.
Note     •     History

In any citation which includes a fine or order of abatement, the following factors shall be considered in determining the amount of the fine to be assessed or the terms of the order of abatement:
(a) Gravity of the violation.
(b) History of previous violations of the same or similar nature.
(c) Length of time that has passed since the date of the violation.
(d) Consequences of the violation, including potential or actual patient harm.
(e) The good or bad faith exhibited by the cited individual.
(f) Evidence that the violation was willful.
(g) The extent to which the individual cooperated with the board's investigation.
(h) The extent to which the individual has remediated any knowledge and/or skills deficiencies which could have injured a patient.
(i) Any other mitigating or aggravating factors.
NOTE

Authority cited: Sections 125.9, 148 and 2715, Business and Professions Code.  Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 7-12-96; operative 8-11-96 (Register 96, No. 28).
§1435.5. Contested Citations.
Note     •     History

(a) The individual cited may, within 14 calendar days after service of the citation, submit a written request for an informal citation conference with the Executive Officer or his/her designee. The citation decision shall be stayed upon receipt of the written request until a final decision has been issued.
(b) The Executive Officer or his/her designee shall, within 30 calendar days from receipt of the written request, hold an informal citation conference with the individual cited and his/her legal counsel or authorized representative, if desired.
(c) The Executive Officer or his/her designee may affirm, modify or dismiss the citation, including any fine or order of abatement, at the conclusion of the informal citation conference.  A written decision, including the reasons for the decision, shall be mailed to the individual and his/her legal counsel, if any, within 14 calendar days from the date of the informal citation conference. If the citation is affirmed or modified, the individual may, within 30 calendar days from the mailing date of the informal citation conference decision, request an administrative hearing. The request for an administrative hearing shall be in writing.
(d) In addition to the appeal rights in (a) through (c) above, the individual may request an administrative hearing provided for in subdivision (b)(4) of Section 125.9 of the Code within 30 days of the date of issuance of the citation or assessment.
NOTE

Authority cited: Sections 125.9, 148 and 2715, Business and Professions Code.  References: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 7-12-96; operative 8-11-96 (Register 96, No. 28).
2. Amendment filed 12-16-2002; operative 1-15-2003 (Register 2002, No. 51).
§1435.6. Compliance with Citation/Order of Abatement.
Note     •     History

(a) Orders of abatement may be extended for good cause.  If a cited individual who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his/her control after the exercise of reasonable diligence, then he/she may request from the Executive Officer or his/her designee an extension of time within which to complete the correction.  Such a request shall be in writing and shall be made within the time set forth for abatement.
(b) If a citation is not contested, or if the order is appealed and the individual cited does not prevail, failure to abate the violation or to pay the assessed fine within the time allowed shall constitute a violation and a failure to comply with the citation or order of abatement.
(c) Failure to timely comply with an order of abatement or pay an assessed fine may result in disciplinary action being taken by the board or other appropriate judicial relief being taken against the individual cited.
(d) If a fine is not paid after a citation has become final, the fine shall be added to the cited individual's license renewal fee.  A license shall not be renewed without payment of renewal fee and fine.
NOTE

Authority cited: Sections 125.9, 148 and 2715, Business and Professions Code.  Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 7-12-96; operative 8-11-96 (Register 96, No. 28).
2. Amendment of subsection (a) filed 12-16-2002; operative 1-15-2003 (Register 2002, No. 51).
§1435.7 Notification to Other Boards and Agencies.
Note     •     History

After a citation has become final, it shall be reported to other boards of registered nursing and other regulatory agencies.
NOTE

Authority cited: Sections 125.9, 148 and 2715, Business and Professions Code.  Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 7-12-96; operative 8-11-96 (Register 96, No. 28).
Article 4. Grounds for Discipline, Disciplinary Proceedings and Rehabilitation
§1442. Gross Negligence.
Note     •     History

As used in Section 2761 of the code, “gross negligence” includes an extreme departure from the standard of care which, under similar circumstances, would have ordinarily been exercised by a competent registered nurse. Such an extreme departure means the repeated failure to provide nursing care as required or failure to provide care or to exercise ordinary precaution in a single situation which the nurse knew, or should have known, could have jeopardized the client's health or life.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2761, Business and Professions Code.
HISTORY

1. New Article 4 (Sections 1442 and 1443) filed 3-26-74; effective thirtieth day thereafter. (Register 74, No. 13). For history of former Article 4 (Sections 1442 and 1443), see Registers 57, No. 15, and 64, No. 3.
2. Amendment filed 5-29-81; effective thirtieth day thereafter (Register 81, No. 22).
3. Amendment filed 6-17-85; effective thirtieth day thereafter (Register 85, No. 25).
§1443. Incompetence.
Note     •     History

As used in Section 2761 of the code, “incompetence” means the lack of possession of or the failure to exercise that degree of learning, skill, care and experience ordinarily possessed and exercised by a competent registered nurse as described in Section 1443.5.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2761, Business and Professions Code.
HISTORY

1. Amendment filed 5-29-81; effective thirtieth day thereafter (Register 81, No. 22).
2. Amendment filed 6-17-85; effective thirtieth day thereafter (Register 85, No. 25).
§1443.5. Standards of Competent Performance.
Note     •     History

A registered nurse shall be considered to be competent when he/she consistently demonstrates the ability to transfer scientific knowledge from social, biological and physical sciences in applying the nursing process, as follows:
(1) Formulates a nursing diagnosis through observation of the client's physical condition and behavior, and through interpretation of information obtained from the client and others, including the health team.
(2) Formulates a care plan, in collaboration with the client, which ensures that direct and indirect nursing care services provide for the client's safety, comfort, hygiene, and protection, and for disease prevention and restorative measures.
(3) Performs skills essential to the kind of nursing action to be taken, explains the health treatment to the client and family and teaches the client and family how to care for the client's health needs.
(4) Delegates tasks to subordinates based on the legal scopes of practice of the subordinates and on the preparation and capability needed in the tasks to be delegated, and effectively supervises nursing care being given by subordinates.
(5) Evaluates the effectiveness of the care plan through observation of the client's physical condition and behavior, signs and symptoms of illness, and reactions to treatment and through communication with the client and health team members, and modifies the plan as needed.
(6) Acts as the client's advocate, as circumstances require, by initiating action to improve health care or to change decisions or activities which are against the interests or wishes of the client, and by giving the client the opportunity to make informed decisions about health care before it is provided.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2725 and 2761, Business and Professions Code.
HISTORY

1. New section filed 6-17-85; effective thirtieth day thereafter (Register 85, No. 25).
§1444. Substantial Relationship Criteria.
Note     •     History

A conviction or act shall be considered to be substantially related to the qualifications, functions or duties of a registered nurse if to a substantial degree it evidences the present or potential unfitness of a registered nurse to practice in a manner consistent with the public health, safety, or welfare. Such convictions or acts shall include but not be limited to the following:
(a) Assaultive or abusive conduct including, but not limited to, those violations listed in subdivision (d) of Penal Code Section 11160.
(b) Failure to comply with any mandatory reporting requirements.
(c) Theft, dishonesty, fraud, or deceit.
(d) Any conviction or act subject to an order of registration pursuant to Section 290 of the Penal Code.
NOTE

Authority cited: Sections 481 and 2715, Business and Professions Code. Reference: Sections 480, 481, 2736 and 2761, Business and Professions Code.
HISTORY

1. New section filed 5-14-75; effective thirtieth day thereafter (Register 75, No. 20).
2. Amendment filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39).
3. Amendment of first paragraph, repealer of subsections (a)-(e), new subsections (a)-(d), and amendment of Note filed 6-6-2001; operative 7-6-2001 (Register 2001, No. 23).
§1444.5. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), the Board shall consider the disciplinary guidelines entitled: “Recommended Guidelines for Disciplinary Orders and Conditions of Probation” (10/02) which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the board in its sole discretion determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Section 2715, Business and Professions Code; and Section 11400.20, Government Code. Reference: Sections 2750, 2759, 2761 and 2762, Business and Professions Code; and Sections 11400.20 and 11425.50(c), Government Code.
HISTORY

1. New section filed 6-17-97; operative 6-17-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 25).
2. Amendment of “Recommended Guidelines for Disciplinary Orders and Conditions of Probation” (incorporated by reference) and amendment of section filed 6-14-2000; operative 7-14-2000 (Register 2000, No. 24).
3. Amendment of section and Note filed 4-24-2003; operative 5-24-2003 (Register 2003, No. 17).
§1445. Criteria for Rehabilitation.
Note     •     History

(a) When considering the denial of a license under Section 480 of the code, the board, in evaluating the rehabilitation of the applicant and his/her present eligibility for a license will consider the following criteria:
(1) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the code.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(5) Evidence, if any, of rehabilitation submitted by the applicant.
(b) When considering the suspension or revocation of a license on the grounds that a registered nurse has been convicted of a crime, the board, in evaluating the rehabilitation of such person and his/her eligibility for a license will consider the following criteria:
(1) Nature and severity of the act(s) or offense(s).
(2) Total criminal record.
(3) The time that has elapsed since commission of the act(s) or offense(s).
(4) Whether the licensee has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against the licensee.
(5) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(6) Evidence, if any, of rehabilitation submitted by the licensee.
NOTE

Authority cited: Sections 482 and 2715, Business and Professions Code. Reference: Sections 483, 2736, 2761 and 2762, Business and Professions Code.
HISTORY

1. New section filed 5-25-73; effective thirtieth day thereafter (Register 73, No. 21). For history of former section, see Register 70, No. 5.
2. Renumbering from Section 1411 filed 3-26-74; effective thirtieth day thereafter (Register 74, No. 13).
3. Amendment of subsections (a) and (b) and new subsection (c) filed 5-14-75; effective thirtieth day thereafter (Register 75, No. 20).
4. Amendment filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39).
§1445.1. Petition for Reinstatement.
Note     •     History

(a) A person may petition for reinstatement of a license under the provisions of Section 11522 of the Government Code by:
(1) Obtaining the appropriate forms from the board office in Sacramento and
(2) Submitting the required form of petition and supplementary documentation to the board at least forty-five (45) days in advance of the date on which the person desires to be heard, as directed in the written instructions which accompany the forms.
(b) The burden of proving rehabilitation is upon the petitioner. When considering a petition for reinstatement of a license, the board shall evaluate and consider evidence of rehabilitation submitted by the petitioner, using those criteria specified in Section 1445 of this article.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 11522, Government Code.
HISTORY

1. New section filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39).
Article 4.1. Diversion Program Guidelines
§1446. Definitions.
Note     •     History

As used in this article:
(a) “Program” means the alcohol and drug abuse and mental illness diversion program for registered nurses authorized pursuant to Article 3.1 (commencing with Section 2770) of Chapter 6 of Division 2 of the Business and Professions Code.
(b) “Committee” means diversion evaluation committee consisting of the following members: Three registered nurses, one physician and one public member all of whom have expertise in the area of chemical dependency.
(c) “Board” means Board of Registered Nursing.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2770.1 and 2770.2, Business and Professions Code.
HISTORY

1. New Article 4.1 (Sections 1446, 1447, 1447.1-1447.2, 1448, 1448.1 and 1449) filed 5-7-85; effective thirtieth day thereafter (Register 85, No. 19).
§1447. Criteria for Admission.
Note

An applicant shall meet the following criteria for admission to the program:
(a) Is a registered nurse licensed in this state.
(b) Resides in California.
(c) Is mentally ill or abuses alcohol and/or drugs in a manner which may affect the applicant's ability to safely perform the duties of a registered nurse.
(d) Voluntarily requests admission to the program.
(e) Agrees to undergo reasonable medical and/or psychiatric examinations necessary for evaluation for participation in the program.
(f) Cooperates by providing such medical information, disclosure authorizations and releases of liability as may be requested by the committee.
(g) Agrees in writing to comply with all elements of the diversion program.
(h) Has not had her/his license previously disciplined by the Board for substance abuse or mental illness.
(i) Has not been terminated from this or any other diversion program for non-compliance.
NOTE

Authority cited: Sections 2715 and 2770.7, Business and Professions Code. Reference: Section 2770.7, Business and Professions Code.
§1447.1. Procedure for Review of Applicants.
Note

The following procedures shall be used to review applicants for admission to the program:
(a) The program director and a nurse or physician consultant shall interview each applicant. They shall recommend such medical and/or psychiatric examinations as may be necessary to determine the applicant's eligibility for the program and shall request such other information, authorizations and releases as may be necessary for participation in the program. The DEC shall advise the applicant that the applicant is responsible for costs incurred for the examinations and rehabilitation aspects of the program.
(b) The program director and the nurse or physician consultant shall each make a recommendation to the committee as to whether the applicant should be admitted to the program.
(c) The committee shall review each application and make its decision on admission of the applicant based upon its evaluation and the recommendations from the program director and the nurse or physician consultant.
(d) The committee's decision on admission of an applicant shall be final.
NOTE

Authority cited: Sections 2715 and 2770.7, Business and Professions Code. Reference: Section 2770.7, Business and Professions Code.
§1447.2. Causes for Denial of Admission.
Note

The committee may deny an applicant admission to the program for any of the following reasons:
(a) The applicant does not meet the requirements set forth in Section 1447.
(b) Information is received by the board which, after investigation, indicates that the applicant may have violated a provision of the laws governing the practice of nursing, Chapter 6 (commencing with Section 2700) of Division 2 of the Code, excluding Section 2762.
(c) The applicant is diverting controlled substances for sale.
(d) The committee determines that the applicant will not substantially benefit from participation in the program or that the applicant's participation in the program creates too great a risk to the public health, safety or welfare.
NOTE

Authority cited: Sections 2715 and 2770.7, Business and Professions Code. Reference: Section 2770.7, Business and Professions Code.
§1448. Causes for Termination from the Program.
Note

The committee may terminate a nurse's participation in the program for any of the following reasons:
(a) Successful completion of the program designated by the committee.
(b) Failure to comply with the rehabilitation program designated by the committee.
(c) Failure to comply with any of the requirements set forth in Section 1447.
(d) Failure to substantially benefit from participation in the program.
(e) Receipt of information by the board which, after investigation, indicates the participant may have violated a provision of the laws governing the practice of nursing, Chapter 6 (commencing with Section 2700) of Division 2 of the Code, excluding Section 2762.
NOTE

Authority cited: Sections 2715 and 2770.7, Business and Professions Code. Reference: Section 2770.7, Business and Professions Code.
§1448.1. Notification of Termination.
Note

Whenever a nurse's participation is terminated for any reasons other than successful completion of the program, the committee shall, within thirty days, report such fact to the board in writing. The committee's written notification to the board shall consist solely of the participant's name and license number.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2770.11, Business and Professions Code.
§1449. Confidentiality of Records.
Note

(a) All board, committee and program records relating to application to and participation in the program shall be kept confidential pursuant to Section 2770.12 of the Code. Such records shall be purged when a nurse's participation in the program is terminated.
(b) Information or records received by the board prior to the acceptance of the applicant into the program or which do not relate to application for the program may be utilized by the board in any disciplinary or criminal proceedings instituted against the participant.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2770.12, Business and Professions Code.
Article 5. Continuing Education
§1450. Definitions.
Note     •     History

(a) For purposes of this Article:
(1) “Continuing Education” means the variety of forms of learning experiences, including, but not limited to, lectures, conferences, academic studies, in service education, institutes, seminars, workshops, extension studies, and independent/home study programs undertaken by registered nurses for relicensure. These learning experiences are meant to enhance the knowledge of the registered nurse in the practice of nursing in direct and indirect patient care.
(2) “Course” means a systematic learning experience, at least one hour in length, which deals with and is designed for the acquisition of knowledge, skills, and information in direct and indirect patient care.
(3) “Content Relevant to the Practice of Nursing” means content related to the development and maintenance of current competency in the delivery of nursing care as specified in Section 1456.
(4) “Independent/Home Study Courses” means continuing education courses offered for individual study by an approved provider.
(5) “Hour” means at least fifty (50) minutes of participation in an organized learning experience;
(6) “Approved Providers” means those individuals, partnerships, corporations, associations, organizations, organized health care systems, educational institutions, or governmental agencies offering continuing education as approved by the Board.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2811.1, Business and Professions Code.
HISTORY

1. New Article 5 (Sections 1450-1456) filed 10-10-75; effective thirtieth day thereafter (Register 75, No. 41).
2. Amendment filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§1451. License Renewal Requirements.
Note     •     History

(a) Pursuant to Section 2811 of the Code, each licensee shall pay the renewal fee and submit proof, satisfactory to the Board that during the preceding renewal period or preceding two years, the licensee has started and successfully completed thirty (30) hours of continuing education approved by the Board.
(b) Licensees shall submit proof to the Board of successful completion of the required number of approved continuing education hours by signing a statement under penalty of perjury, indicating compliance and agreeing to supply supporting documents on request.
(c) Licensees shall not be allowed to claim partial credit for a continuing education course, however, instructors who participate in a part of an offering may receive full credit if the total offering is attended.
(d) Licensees shall keep the certificates or gradeslips from academic institutions pursuant to Section 1458(b)(7) for four years from the date they complete approved continuing education courses and must submit such certificates or gradeslips to the Board when requested.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2811.5, Business and Professions Code.
HISTORY

1. Amendment filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
2. Change without regulatory effect repealing subsection (b), relettering subsections, and amending newly designated subsection (d) filed 12-29-98 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 1).
§1451.1. Expiration of Licenses.
Note     •     History

(a) Licenses issued by the Board will expire unless renewed. To renew a license, the applicant shall submit proof, satisfactory to the Board of completion of thirty (30) hours of continuing education and shall pay the renewal fee.
(b) A licensee who participates in and successfully completes a continuing education course which overlaps a renewal period may apply the credit earned for the renewal period in which the course ends.
(c) An expired license may, within eight years of the date of expiration, be reinstated by the Board if the applicant meets the requirements of Section 2811 of the Code and is otherwise eligible to obtain a reinstatement, and if the applicant meets the requirements set forth in Section 1419.3.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2811 and 2811.5, Business and Professions Code.
HISTORY

1. New section filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
2. Amendment of subsection (c) and repealer of subsections (d) and (e) filed 4-7-87; operative 5-7-87 (Register 87, No. 16).
§1451.2. Continuing Education Courses.
Note     •     History

(a) Continuing Education course credit may be given for the following continuing education courses:
(1) Courses offered by an approved Provider as specified in Section 1454. In addition to classroom courses, courses may be designed by an approved Provider for participation in activities which include nursing practice, publishing and/or research, provided that such courses meet the requirements of Section 1456.
(2) Out of state courses which have been approved for voluntary or mandatory continuing education by Registered Nurse licensing agencies of other states and/or state nurses' associations, as well as offerings by nationally recognized health associations and/or their regional subdivisions provided that such courses meet the requirements of Section 1456.
(3) Out of state academic courses in an accredited * post-secondary institution which are related to the specific knowledge and/or technical skills required for the practice of nursing.
(4) Other courses as may be approved by the Board at its sole discretion.

* Minimum requirement is regional accreditation.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2811.5, Business and Professions Code.
HISTORY

1. New section filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§1452. Exemption from Continuing Education Requirements.
Note     •     History

(a) During the first two years immediately following initial licensure in California or other jurisdictions, licensees shall be exempt from completion of the continuing education requirements specified in Section 1451.
(b) At the time of making application for renewal, an applicant may request exemption from continuing education requirements if:
(1) The licensee is requesting inactive status for the license; or
(2) The licensee can show evidence, satisfactory to the Board that
(A) he or she has been employed overseas for a period of one (1) year or more, or a resident overseas for a period of one (1) year or more and currently employed; or
(B) he or she is employed by a Federal Institution or Agency or one of the Military Services (USA), where that person is practicing nursing outside of the State of California on a California license, or
(C) he or she has had hardship of one or more years' duration, if
1. there is a total physical disability for one (1) year or more and verification of readiness or ability to return to work; or
2. there is a total disability of a member of the immediate family for whom licensee has total responsibility for one (1) year or more.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2811.5, Business and Professions Code.
HISTORY

1. Amendment filed 3-2-78; effective thirtieth day thereafter (Register 78, No. 9).
2. Repealer and new section filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§1453. Falsifying Renewal Application.
Note     •     History

A licensee who falsifies or makes a material misrepresentation of fact on a renewal application will be subject to disciplinary action as provided for in Section 2750 of the Business and Professions Code.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2761 and 2811.5, Business and Professions Code.
HISTORY

1. Amendment filed 3-2-78; effective thirtieth day thereafter (Register 78, No. 9).
2. Repealer and new section filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§1454. Approved Providers.
Note     •     History

(a) For the purpose of this Article, the title “approved provider” can only be used when an individual, partnership, corporation, association, organization, organized health care system, educational institution or governmental agency, having committed no act which would lead to disciplinary action pursuant to Section 1459.1, has submitted a provider application on forms supplied by the Board, remitted the appropriate fee and has been issued a provider number.
(b) An individual, partnership, corporation, association, organized health care system, governmental agency, educational institution and other organizations may be issued only one provider number; provided, however, that any autonomous entity within such organization may be issued one provider number.
(c) An approved provider shall have a written and published policy, available on request, which provides information on:
(1) refunds in cases of non-attendance
(2) time period for return of fees
(3) notification if course is cancelled.
(d) The approved provider is required to accept full responsibility for each and every course, including, but not limited to recordkeeping, advertising course content as related to Board standards, issuance of certificates and instructor qualifications. When two or more providers co-sponsor a course, only one provider number shall be used for that course and that provider must assume full responsibility for recordkeeping, advertising course content as related to Board standards, issuance of certificates and instructor(s') qualifications.
(e) Providers may not grant partial credit for continuing education.
(f) Approved providers shall keep the following records for a period of four years in one location within the State of California, or in a place approved by the Board:
(1) course outlines of each course given
(2) record of time and places each course given
(3) course instructor vitaes or resumes
(4) name and license number of registered nurses taking any approved course and a record of any certificate issued to them.
(g) Approved providers must notify the Board, within thirty (30) days, of any changes in organizational structure of a provider and/or the person(s) responsible for the provider's continuing education course(s), including name and address changes.
(h) Provider approval is non-transferable.
(i) The Board shall audit records, courses, instructors and related activities of a provider.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2811.5, Business and Professions Code.
HISTORY

1. Repealer and new section filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
2. Amendment of subsection (a) filed 2-1-96; operative 3-2-96 (Register 96, No. 5).
§1455. Continuing Education Hours.
Note     •     History

The Board will accept hours of approved continuing education on the following bases:
(a) Each hour of theory shall be accepted as one hour of continuing education.
(b) Each three hours in course-related clinical practice will be accepted as one hour of continuing education.
(c) Courses less than one (1) hour in duration will not be approved.
(d) One (1) CEU (continuing education unit) is equal to ten (10) continuing education contact hours.
(e) One (1) academic quarter unit is equal to ten (10) continuing education hours.
(f) One (1) academic semester unit is equal to fifteen (15) continuing education hours.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2811.5, Business and Professions Code.
HISTORY

1. Renumbering of former Section 1455 to Section 1456 and new section filed 3-2-78; effective thirtieth day thereafter (Register 78, No. 9).
2. Amendment filed 9-15-78; effective thirtieth day thereafter (Register 78, No. 37).
3. Repealer and new section filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§1456. Continuing Education Courses.
Note     •     History

The content of all courses of continuing education must be relevant to the practice of nursing and must:
(a) be related to the scientific knowledge and/or technical skills required for the practice of nursing, or
(b) be related to direct and/or indirect patient/client care.
(c) Learning experiences are expected to enhance the knowledge of the Registered Nurse at a level above that required for licensure. Courses related to the scientific knowledge for the practice of nursing include basic and advanced courses in the physical, social, and behavioral sciences, as well as advanced nursing in general or specialty areas. Content which includes the application of scientific knowledge to patient care in addition to advanced nursing courses may include courses in related areas, i.e., human sexuality; death, dying, and grief; foreign languages (conversational); therapeutic interpersonal relationship skills; pharmacology; and those related to specialty areas of nursing practice.
Courses in nursing administration, management, education, research, or other functional areas of nursing relating to indirect patient/client care would be acceptable.
Courses which deal with self-improvement, changes in attitude, financial gain, and those courses designed for lay people are not acceptable for meeting requirements for license renewal.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2811.5, Business and Professions Code.
HISTORY

1. Renumbering of Section 1455 to Section 1456 filed 3-2-78; effective thirtieth day thereafter (Register 78, No. 9).
2. Repealer and new section filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§1457. Instructor Qualifications.
Note     •     History

(a) It is the responsibility of each approved provider to use qualified instructors.
(b) Instructors teaching approved continuing education courses shall have the following minimum qualifications:
(1) The registered nurse instructor, shall
(A) hold a current valid license to practice as a registered nurse and be free from any disciplinary action by this Board, and
(B) be knowledgeable, current and skillful in the subject matter of the course as evidenced through:
1. holding a baccalaureate or higher degree from an accredited college or university and validated experience in subject matter; or
2. experience in teaching similar subject matter content within the two years preceding the course; or
3. have at least one year's experience within the last two years in the specialized area in which he/she is teaching.
(2) The non-nurse instructor, shall
(A) be currently licensed or certified in his/her area of expertise if appropriate, and
(B) show evidence of specialized training, which may include, but not be limited to a certificate of training or an advanced degree in given subject area, and
(C) have at least one year's experience within the last two years in the practice of teaching of the specialized area in which he/she teaches.
(3) Nothing in this Section exempts an individual from the legal requirements of the California Nursing Practice Act.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2811.5, Business and Professions Code.
HISTORY

1. Renumbering of Section 1456 to Section 1457 filed 3-2-78; effective thirtieth day thereafter (Register 78, No. 9).
2. Repealer and new section filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§1458. Course Verification.
Note     •     History

(a) Approved providers shall issue a document of proof, i.e., gradeslip, or transcript to each licensee to show that the individual has met the established criteria for successful completion of a course.
(b) A certificate or diploma documenting successful completion shall contain the following information:
(1) Name of student and registered nurse license number or other identification number.
(2) Course title.
(3) Provider name (as approved by the Board), address, and provider number.
(4) Date of course.
(5) Number of continuing education contact hours.
(6) Signature of instructor and/or provider, or provider designee.
(7) This document must be retained by the licensee for a period of four years after the course concludes.
(c) Course verification must be issued within a reasonable length of time after the completion of the course, not to exceed ninety days.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2811.5, Business and Professions Code.
HISTORY

1. New section filed 5-13-77; effective thirtieth day thereafter (Register 77, No. 20).
2. Renumbering of Section 1457 to Section 1458 filed 3-2-78; effective thirtieth day thereafter (Register 78, No. 9).
3. Repealer and new section filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§1459. Advertisement.
Note     •     History

Information disseminated by approved providers publicizing continuing education shall be true and not misleading and shall include the following:
1. The statement “Provider approved by the California Board of Registered Nursing, Provider Number ______ for ______ contact hours.”
2. Provider's policy on refunds in cases of non-attendance by the registrant.
3. A clear, concise description of the course content and/or objectives.
4. Provider name as officially on file with the Board.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2811.5, Business and Professions Code.
HISTORY

1. New section filed 12-18-81; effective thirtieth day thereafter (Registered 81, No. 51).
§1459.1. Withdrawal of Approval.
Note     •     History

(a) The Board may withdraw its approval of a provider or deny a provider application for causes which include, but are not limited to, the following:
(1) Conviction of a felony or any offense substantially related to the activities of a provider.
(2) Failure to comply with any provision of Chapter 6, Division 2, of the Business and Professions Code and/or Chapter 14 of Title 16 of the California Code of Regulations.
(b) Any material misrepresentation of fact by a continuing education provider or applicant in any information required to be submitted to the Board is grounds for withdrawal of approval or denial of an application.
(c) The board may withdraw its approval of a provider after giving the provider written notice setting forth its reason for withdrawal and after affording a reasonable opportunity to be heard by the board or its designee after thirty (30) days written notice of the specific charges to be heard.
(d) Should the BRN deny the provider approval, applicant has the opportunity to formally appeal the action to the Board within a thirty (30) day period.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2811.5, Business and Professions Code.
HISTORY

1. New section filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
2. Amendment of subsection (c) filed 3-23-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 12).
3. Amendment of subsection (a)(2) filed 2-1-96; operative 3-2-96 (Register 96, No. 5).
Article 6. Nurse-Midwives
§1460. Qualifications for Certification.
Note     •     History

(a) Initial certification.
(1) An applicant for certification to practice midwifery must meet the following conditions:
(A) Be licensed as a registered nurse under the Nursing Practice Act, Business and Professions Code, Section 2700, et seq. , and
(B) Be a graduate of a Board approved program in nurse-midwifery.
(2) Equivalency. A registered nurse applicant not meeting the above requirements shall be eligible for certification, providing one of the following conditions exists:
(A) A graduate of a nurse-midwifery program not meeting Board of Registered Nursing standards who shows evidence satisfactory to the Board that deficiencies have been corrected in a Board approved nurse-midwifery program, or have been corrected through successful completion of specific courses which have been approved by the Board.
(B) Certification as a nurse-midwife by a national or state organization whose standards are satisfactory to the Board.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2746, 2746.2, 2746.5, Business and Professions Code.
HISTORY

1. New Article 6 (§§ 1460-1465, not consecutive) filed 10-10-75; effective thirtieth day thereafter (Register 75, No. 41).
2. New subsections (b) and (c) filed 1-9-76; effective thirtieth day thereafter (Register 76, No. 2).
3. Repealer and new section filed 4-7-79; effective thirtieth day thereafter (Register 79, No. 14).
4. Amendment of subsection (a)(2)(A) filed 5-29-81; effective thirtieth day thereafter (Register 81, No. 22).
5. Repealer of subsections (a)(2)(C)-(a)(2)(D)2. filed 1-25-2000; operative 2-24-2000 (Register 2000, No. 4).  
§1461. Nurse-Midwifery Committee.
Note     •     History

The board shall appoint a committee comprised of at least one nurse-midwife and one physician, who have demonstrated familiarity with consumer needs, collegial practice and accompanied liability, and related educational standards in the delivery of maternal-child health care. This committee shall also include at least one public member and may include such other members as the board deems appropriate. The purpose of this committee is to advise the board on all matters pertaining to nurse-midwifery as established by the board, and, if necessary, to assist the board or its designated representatives in the evaluation of applications for nurse-midwifery certification.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2746.2, Business and Professions Code.
HISTORY

1. Renumbering from Section 1461 to Section 1466 filed 4-6-79; effective thirtieth day thereafter (Register 79, No. 14).
2. New section filed 4-6-79; effective thirtieth day thereafter (Register 79, No. 14).
3. Amendment filed 12-4-85; effective thirtieth day thereafter (Register 85, No. 49).
§1462. Standards for Nurse-Midwifery Programs.
Note     •     History

(a) Program of study. The program of study preparing a nurse-midwife shall:
(1) Have as its primary purpose the preparation of nurse-midwives;
(2) Have its philosophy clearly defined and available in written form;
(3) Have its objectives, reflective of the philosophy, stated in behavioral terms, which describe the theoretical knowledge base and clinical competencies expected of the graduates.
(b) Curriculum.
(1) The curriculum shall be no less than twelve(12) months in length, and shall be specifically designed to provide a knowledge and skills base necessary for nurse-midwifery management of women and neonates. Such content shall include, but not be limited to, the following:
(A) Anatomy; physiology; genetics; obstetrics and gynecology; embryology and fetal development; neonatology; child growth and development; pharmacology; nutrition; laboratory and diagnostic tests and procedures; and physical assessment.
(B) Concepts in psycho-social, emotional, and cultural aspects of maternal/child care; human sexuality; counseling and teaching; maternal/infant/family bonding process; breast feeding; family planning; principles of preventive health; and community health.
(C) All aspects of the management of normal pregnancy, labor and delivery, postpartum period, newborn care, family planning and/or routine gynecological care in alternative birth centers, homes and hospitals.
(2) The program shall provide concurrent theory and clinical practice in a setting in the United States.
(3) The program shall include the nurse-midwifery management process which includes the following steps:
(A) Obtains or updates a defined and relevant data base for assessment of the health status of the client.
(B) Identifies problems/diagnosis based upon correct interpretation of the data base.
(C) Prepares a defined needs/problem list with corroboration from the client.
(D) Consults and collaborates with and refers to, appropriate members of the health care team.
(E) Provides information to enable clients to make appropriate decisions and to assume appropriate responsibility for their own health.
(F) Assumes direct responsibility for the development of comprehensive, supportive care for the client and with the client.
(G) Assumes direct responsibility for implementing the plan of care.
(H) Initiates appropriate measures for obstetrical and neonatal emergencies.
(I) Evaluates, with corroboration from the client, the achievement of health care goals and modifies plan of care appropriately.
(4) The program shall prepare the nurse-midwife to practice as follows:
(A) Management of the normal pregnancy.
(B) Management of normal labor and delivery in all birth settings, including the following when indicated:
1. Administration of intravenous fluids, analgesics, and postpartum oxytocics.
2. Amniotome during labor.
3. Application of external or internal monitoring devices.
4. Administration of local anesthesia: paracervical blocks, pudendal blocks, and local infiltration.
5. Episiotomy.
6. Repair of episiotomies and lacerations.
7. Resuscitation of the newborn.
(C) Management of the normal postpartum period.
(D) Management of the normal newborn care.
(E) Management of family planning and/or routine gynecological care including: fitting vaginal diaphragms, insertion of intrauterine devices, selection of contraceptive agents from approved formulary.
(c) Faculty. Faculty of the nurse-midwifery educational program shall comply with the following requirements:
(1) Faculty shall include one or more nurse-midwives and one or more physicians with current training and practice in obstetrics.
(2) Faculty teaching in the program shall be current in knowledge and practice in the specialty being taught.
(3) Nurse-midwives, clinical instructors, and physicians who participate in teaching, supervising and evaluating students shall show evidence of current practice.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2746, 2746.2 and 2746.5, Business and Professions Code.
HISTORY

1. New section filed 4-6-79; effective thirtieth day thereafter (Register 79, No. 14).
2. Amendment filed 12-4-85; effective thirtieth day thereafter (Register 85, No. 49).
§1463. Scope of Practice.
Note     •     History

The scope of nurse-midwifery practice includes:
(a) Providing necessary supervision, care and advice in a variety of settings to women during the antepartal, intrapartal, postpartal, interconceptional periods, and family planning needs.
(b) Conducting deliveries on his or her own responsibility and caring for the newborn and the infant. This care includes preventive measures and the detection of abnormal conditions in mother and child.
(c) Obtaining physician assistance and consultation when indicated.
(d) Providing emergency care until physician assistance can be obtained.
(e) Other practices and procedures may be included when the nurse-midwife and the supervising physician deem appropriate by using the standardized procedures as specified in Section 2725 of the Code.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2746, 2746.2 and 2746.5, Business and Professions Code.
HISTORY

1. New section filed 4-6-79; effective thirtieth day thereafter (Register 79, No. 14).
2. Editorial correction to subsection designations (Register 79, No. 14).
3. Amendment of subsection (e) and repealer of subsection (f) filed 12-4-85; effective thirtieth day thereafter (Register 85, No. 49).
§1464. Supervising Physician.
Note     •     History

NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2746, 2746.2 and 2746.5, Business and Professions Code.
HISTORY

1. New section filed 4-6-79; effective thirtieth day thereafter (Register 79, No. 14).
2. Repealer filed 6-17-85; effective thirtieth day thereafter (Register 85, No. 25).
§1465. Ratio of Nurse-Midwives to Physicians.
Note     •     History

NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2725 and 2761, Business and Professions Code.
HISTORY

1. Repealer filed 6-17-85; effective thirtieth day thereafter (Register 85, No. 25).
§1466. Renewal of Certificates.
Note     •     History

Certificates to practice nurse-midwifery may be renewed biennially by application for renewal on a form provided by the board and payment of the renewal fee.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2815.5, Business and Professions Code.
HISTORY

1. Renumbering from Section 1461 to Section 1466 filed 4-6-79; effective thirtieth day thereafter (Register 79, No. 14).
2. Amendment filed 12-4-85; effective thirtieth day thereafter (Register 85, No. 49).
§1467. Fees.
Note     •     History

NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2746.1, 2746.2, 2746.3, 2746.4, 2746.5, 2746.6, 2746.7 and 2746.8, Business and Professions Code.
HISTORY

1. New section filed 4-6-79; effective thirtieth day thereafter (Register 79, No. 14).
2. Repealer filed 1-8-82; effective thirtieth day thereafter (Register 82, No. 2).
Article 7. Standardized Procedure Guidelines
§1470. Purpose.
Note     •     History

The Board of Registered Nursing in conjunction with the Medical Board of California (see the regulations of the Medical Board of California, Article 9.5, Chapter 13, Title 16 of the California Code of Regulations) intends, by adopting the regulations contained in the article, to jointly promulgate guidelines for the development of standardized procedures to be used in organized health care systems which are subject to this rule. The purpose of these guidelines is:
(a) To protect consumers by providing evidence that the nurse meets all requirements to practice safely.
(b) To provide uniformity in development of standardized procedures.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2725 and 2811.5, Business and Professions Code.
HISTORY

1. New Article 7 (Sections 1470-1474, inclusive) filed 9-8-76; effective thirtieth day thereafter (Register 76, No. 37).
2. Amendment filed 6-17-85; effective thirtieth day thereafter (Register 85, No. 25).
3. Amendment of first paragraph filed 2-1-96; operative 3-2-96 (Register 96, No. 5).
§1471. Definitions.

For purposes of this article:
(a) “Standardized procedure functions” means those functions specified in Business and Professions Code Section 2725(c) and (d) which are to be performed according to “standardized procedures”;
(b) “Organized health care system” means a health facility which is not licensed pursuant to Chapter 2 (commencing with Section 1250), Division 2 of the Health and Safety Code and includes, but is not limited to, clinics, home health agencies, physicians' offices and public or community health services;
(c) “Standardized procedures” means policies and protocols formulated by organized health care systems for the performance of standardized procedure functions.
§1472. Standardized Procedure Functions.

An organized health care system must develop standardized procedures before permitting registered nurses to perform standardized procedure functions. A registered nurse may perform standardized procedure functions only under the conditions specified in a health care system's standardized procedures; and must provide the system with satisfactory evidence that the nurse meets its experience, training, and/or education requirements to perform such functions.
§1473. Standardized Procedures.
Note     •     History

NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2725, Business and Professions Code.
HISTORY

1. Repealer filed 12-4-85; effective thirtieth day thereafter (Register 85, No. 49).
§1474. Standardized Procedure Guidelines.
Note     •     History

Following are the standardized procedure guidelines jointly promulgated by the Medical Board of California and by the Board of Registered Nursing:
(a) Standardized procedures shall include a written description of the method used in developing and approving them and any revision thereof.
(b) Each standardized procedure shall:
(1) Be in writing, dated and signed by the organized health care system personnel authorized to approve it.
(2) Specify which standardized procedure functions registered nurses may perform and under what circumstances.
(3) State any specific requirements which are to be followed by registered nurses in performing particular standardized procedure functions.
(4) Specify any experience, training, and/or education requirements for performance of standardized procedure functions.
(5) Establish a method for initial and continuing evaluation of the competence of those registered nurses authorized to perform standardized procedure functions.
(6) Provide for a method of maintaining a written record of those persons authorized to perform standardized procedure functions.
(7) Specify the scope of supervision required for performance of standardized procedure functions, for example, immediate supervision by a physician.
(8) Set forth any specialized circumstances under which the registered nurse is to immediately communicate with a patient's physician concerning the patient's condition.
(9) State the limitations on settings, if any, in which standardized procedure functions may be performed.
(10) Specify patient record keeping requirements.
(11) Provide for a method of periodic review of the standardized procedures.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2725, Business and Professions Code.
HISTORY

1. Amendment of first paragraph and new Note filed 2-1-96; operative 3-2-96 (Register 96, No. 5).
Article 8. Standards for Nurse Practitioners
§1480. Definitions.
Note     •     History

(a) “Nurse practitioner” means a registered nurse who possesses additional preparation and skills in physical diagnosis, psycho-social assessment, and management of health-illness needs in primary health care, and who has been prepared in a program conforms to board standards as specified in Section 1484.
(b) “Primary health care” is that which occurs when a consumer makes contact with a health care provider who assumes responsibility and accountability for the continuity of health care regardless of the presence or absence of disease.
(c) “Clinically competent” means that one possesses and exercises the degree of learning, skill, care and experience ordinarily possessed and exercised by a member of the appropriate discipline in clinical practice.
(d) “Holding oneself out” means to use the title of nurse-practitioner.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2834, Business and Professions Code.
HISTORY

1. New Article 8 (Sections 1480-1485) filed 7-13-79; effective thirtieth day thereafter (Register 79, No. 28).
2. Amendment filed 12-7-85; effective thirtieth day thereafter (Register 85, No. 49).
§1481. Categories of Nurse Practitioners.
Note     •     History

A registered nurse who has met the requirements of Section 1482 for holding out as a nurse practitioner, may be known as a nurse practitioner and may place the letters “R.N., N.P.” after his/her name alone or in combination with other letters or words identifying categories of specialization, including but not limited to the following: adult nurse practitioner, pediatric nurse practitioner, obstetrical-gynecological nurse practitioner, and family nurse practitioner.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2834 and 2836, Business and Professions Code.
HISTORY

1. Amendment filed 12-4-85; effective thirtieth day thereafter (Register 85, No. 49).
§1482. Requirements for Holding Out As a Nurse Practitioner.
Note     •     History

The requirements for holding oneself out as a nurse practitioner are:
(a) Active licensure as a registered nurse in California; and
(b) One of the following:
(1) Successful completion of a program of study which conforms to board standards; or
(2) Certification by a national or state organization whose standards are equivalent to those set forth in Section 1484; or
(3) A nurse who has not completed a nurse practitioner program of study which meets board standards as specified in Section 1484, shall be able to provide:
(A) Documentation of remediation of areas of deficiency in course content and/or clinical experience, and
(B) Verification by a nurse practitioner and by a physician who meet the requirements for faculty members specified in Section 1484(c), of clinical competence in the delivery of primary health care.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2835 and 2836, Business and Professions Code.
HISTORY

1. Amendment filed 12-4-85; effective thirtieth day thereafter (Register 85, No. 49).
§1483. Evaluation of Credentials.
Note     •     History

An application for evaluation of a registered nurse's qualifications to hold out as a nurse practitioner shall be filed with the board on a form prescribed by the board and shall be accompanied by the fee prescribed in Section 1417 and such evidence, statements or documents as therein required by the board to conform with Sections 1482 and 1484.
The board shall notify the applicant in writing that the application is complete and accepted for filing or that the application is deficient and what specific information is required within 30 days from the receipt of an application. A decision on the evaluation of credentials shall be reached within 60 days from the filing of a completed application. The median, minimum, and maximum times for processing an application, from the receipt of the initial application to the final decision, shall be 42 days, 14 days, and one year, respectively, taking into account Section 1410.4(e) which provides for abandonment of incomplete applications after one year.
NOTE

Authority cited: Section 2715 and 2718, Business and Professions Code. Reference: Sections 2815 and 2835.5, Business and Professions Code.
HISTORY

1. Repealer and new section filed 8-21-86; effective thirtieth day (Register 86, No. 34).
§1484. Standards of Education.
Note

The program of study preparing a nurse practitioner shall meet the following criteria:
(a) Purpose, Philosophy and Objectives
(1) have as its primary purpose the preparation of registered nurses who can provide primary health care;
(2) have a clearly defined philosophy available in written form;
(3) have objectives which reflect the philosophy, stated in behavioral terms, describing the theoretical knowledge and clinical competencies of the graduate.
(b) Administration
(1) Be conducted in conjunction with one of the following:
(A) An institution of higher education that offers a baccalaureate or higher degree in nursing, medicine, or public health.
(B) A general acute care hospital licensed pursuant to Chapter 2 (Section 1250) of Division 2 of the Health and Safety Code, which has an organized outpatient department.
(2) Have admission requirements and policies for withdrawal, dismissal and readmission clearly stated and available to the student in written form.
(3) Have written policies for clearly informing applicants of the academic status of the program.
(4) Provide the graduate with official evidence indicating that he/she has demonstrated clinical competence in delivering primary health care and has achieved all other objectives of the program.
(5) Maintain systematic, retrievable records of the program including philosophy, objectives, administration, faculty, curriculum, students and graduates. In case of program discontinuance, the board shall be notified of the method provided for record retrieval.
(6) Provide for program evaluation by faculty and students during and following the program and make results available for public review.
(c) Faculty. There shall be an adequate number of qualified faculty to develop and implement the program and to achieve the stated objectives.
(1) Each faculty person shall demonstrate current competence in the area in which he/she teaches.
(2) The director or co-director of the program shall:
(A) be a registered nurse;
(B) hold a Master's or higher degree in nursing or a related health field from an accredited college or university;
(C) have had one academic year's experience, within the last five (5) years, as an instructor in a school of professional nursing, or in a program preparing nurse practitioners.
(3) Faculty in the theoretical portion of the program must include instructors who hold a Master's or higher degree in the area in which he or she teaches.
(4) A clinical instructor shall hold active licensure to practice his/her respective profession and demonstrate current clinical competence.
(5) A clinical instructor shall participate in teaching, supervising and evaluating students, and shall be appropriately matched with the content and skills being taught to the students.
(d) Curriculum
(1) The program shall include all theoretical and clinical instruction necessary to enable the graduate to provide primary health care for persons for whom he/she will provide care.
(2) The program shall provide evaluation of previous education and/or experience in primary health care for the purpose of granting credit for meeting program requirements.
(3) Training for practice in an area of specialization shall be broad enough, not only to detect and control presenting symptoms, but to minimize the potential for disease progression.
(4) Curriculum, course content, and plans for clinical experience shall be developed through collaboration of the total faculty.
(5) Curriculum, course content, methods of instruction and clinical experience shall be consistent with the philosophy and objectives of the program.
(6) Outlines and descriptions of all learning experiences shall be available, in writing, prior to enrollment of students in the program.
(7) The program may be full-time or part-time and shall be comprised of not less than thirty (30) semester units, (forty-five (45) quarter units), which shall include theory and supervised clinical practice.
(8) The course of instruction shall be calculated according to the following formula:
(A) One (1) hour of instruction in theory each week throughout a semester or quarter equals one (1) unit.
(B) Three (3) hours of clinical practice each week throughout a semester or quarter equals one (1) unit.
(C) One (1) semester equals 16-18 weeks and one (1) quarter equals 10-12 weeks.
(9) Supervised clinical practice shall consist of two phases:
(A) Concurrent with theory, there shall be provided for the student, demonstration of and supervised practice of correlated skills in the clinical setting with patients.
(B) Following acquisition of basic theoretical knowledge prescribed by the curriculum the student shall receive supervised experience and instruction in an appropriate clinical setting.
(C) At least 12 semester units or 18 quarter units of the program shall be in clinical practice.
(10) The duration of clinical experience and the setting shall be such that the student will receive intensive experience in performing the diagnostic and treatment procedures essential to the practice for which the student is being prepared.
(11) The program shall have the responsibility for arranging for clinical instruction and supervision for the student.
(12) The curriculum shall include, but is not limited to:
(A) Normal growth and development
(B) Pathophysiology
(C) Interviewing and communication skills
(D) Eliciting, recording and maintaining a developmental health history
(E) Comprehensive physical examination
(F) Psycho-social assessment
(G) Interpretation of laboratory findings
(H) Evaluation of assessment date to define health and developmental problems
(I) Pharmacology
(J) Nutrition
(K) Disease management
(L) Principles of health maintenance
(M) Assessment of community resources
(N) Initiating and providing emergency treatments
(O) Nurse practitioner role development
(P) Legal implications of advanced practice
(Q) Health care delivery systems
(13) The course of instruction of a program conducted in a non-academic setting shall be equivalent to that conducted in an academic setting.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2836, Business and Professions Code.
§1485. Scope of Practice.
Note     •     History

Nothing in this article shall be construed to limit the current scope of practice of the registered nurse authorized pursuant to the Business and Professions Code, Division 2, Chapter 6. The nurse practitioner shall function within the scope of practice as specified in the Nursing Practice Act and as it applies to all registered nurses.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2834 and 2837, Business and Professions Code.
HISTORY

1. Amendment filed 12-4-85; effective thirtieth day thereafter (Register 85, No. 49). 
Article 9. Public Health Nurse
§1490. Public Health Nurse Certificate.
Note     •     History

(a) A Public Health Nurse Certificate shall be issued by the Board to a person who:
(1) Completes and submits an application pursuant to Section 1492; and
(2) Meets the qualifications and requirements specified in Section 1491.
(b) A Public Health Nurse Certificate shall remain valid as long as the person's license to practice as a registered nurse in California is active.
(c) The Board may issue a duplicate certificate to a person who states in writing that his or her certificate has been lost, stolen or destroyed.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2818, Business and Professions Code.
HISTORY

1. Amendment filed 12-8-45 (Register 3).
2. Amendment filed 9-24-51 designated to be effective 1-1-54 (Register 25, No. 6).
3. Amendment filed 12-18-61; effective thirtieth day thereafter (Register 61, No. 26).
4. Repealer of subsection (c) filed 6-9-67; effective thirtieth day thereafter (Register 67, No. 22).
5. Repealer of subsection (d) filed 4-14-72; effective thirtieth day thereafter (Register 72, No. 16).
6. Amendment filed 3-9-87; effective thirtieth day thereafter (Register 87, No. 11).
7. New article 9 and renumbering of former title 17, section 4500 to new title 16, section 1490, and amendment of subsections (a)-(a)(2) and (c) and Note filed 1-26-96; operative 2-28-96. Submitted to OAL for printing only (Register 96, No. 5).
8. Amendment of Note filed 9-2-98; operative 10-2-98 (Register 98, No. 36).
§1491. Qualifications and Requirements.
Note     •     History

An applicant for a Public Health Nurse Certificate shall have a license, in active status, to practice as a registered nurse in California and shall have met the education and clinical experience requirements as follows:
(1) Possession of a baccalaureate or entry-level master's degree in nursing from a nursing school accredited by a Board-approved accrediting body, such as the National League for Nursing Accrediting Commission, or the Commission on Collegiate Nursing Education. The baccalaureate or entry-level master's program must have included coursework in public health nursing, including a supervised clinical experience in public health settings; or
(2) Possession of a baccalaureate or entry-level master's degree in nursing from a nursing school which is not accredited by a Board-approved accrediting body, such as the National League for Nursing Accrediting Commission or the Commission on Collegiate Nursing Education, but the Board has determined that the nursing school's public health nursing  coursework and the supervised clinical experience are equivalent to that of a nursing school accredited by a Board-approved accrediting body; or
(3) Possession of a baccalaureate degree in a field other than nursing and completion of a specialized public health nursing program that includes a supervised clinical experience at a baccalaureate school of nursing accredited by a Board-approved accrediting body, such as the National League for Nursing Accrediting Commission or the Commission on Collegiate Nursing Education.
(4) Theoretical content for a Public Health Nurse Certificate shall include, but is not limited to, the following areas:
(A) Physical, mental, and developmental assessment: child and adult;
(B) Surveillance and epidemiology: chronic and communicable diseases;
(C) Health promotion and disease prevention;
(D) Multicultural nursing concepts;
(E) Research methodology and statistics;
(F) Health teaching concepts and strategies;
(G) Population based practice: assessment and development of community collaboration at the level of systems, community and family/individual;
(H) Assessment of health needs of individuals and families, to include environment, and interventions across the lifespan;
(I) Legal and health care financing issues;
(J) Family violence, e.g., child, adult, domestic, elder abuse, etc., prevention, detection, intervention, treatment, and California reporting requirements;
(K) Case management/care coordination; and
(L) Emergency preparedness and response.
(5) A faculty member of the nursing program shall be responsible for coordinating students' clinical experience and supervision.
(6) Supervised clinical experience shall be:
(A) In public health settings with individuals, families, and community;
(B) Concurrent with or following acquisition of theoretical knowledge prescribed by the curriculum; and
(C) A minimum of 90 hours.
(7) Training in the prevention, early detection, intervention, California reporting requirements, and treatment of child neglect and abuse that shall be at least seven (7) hours in length and shall be acquired through:
(A) A baccalaureate nursing program or a specialized public health nursing program; or
(B) A course of instruction in the prevention, early detection, intervention, California reporting requirements, and treatment of child neglect and abuse that is offered by a continuing education provider approved by the Board.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Sections 2817 and 2818, Business and Professions Code.
HISTORY

1. New section filed 4-14-72; effective thirtieth day thereafter (Register 72, No. 16).
2. Amendment filed 3-9-87; effective thirtieth day thereafter (Register 87, No. 11).
3. Editorial correction of subsection (a)(2) (Register 90, No. 35).
4. Renumbering and amendment of former title 17, section 4501 to new title 16, section 1491 and amendment of Note  filed 1-26-96; operative 2-28-96. Submitted to OAL for printing only (Register 96, No. 5).
5. Amendment of section and Note filed 9-2-98; operative 10-2-98 (Register 98, No. 36).
6. Amendment of section and Note filed 5-12-2005; operative 6-11-2005 (Register 2005, No. 19).
§1492. Application for Public Health Nurse Certificate.
Note     •     History

(a) A person seeking a Public Health Nurse Certificate shall complete and submit an application on the forms prescribed by the Board and shall submit a nonrefundable fee as prescribed by Section 1417 to the Board of Registered Nursing.
(b) Receipt of an application, information, documents, or fees supporting an application shall be deemed to occur on the date the application, information, documents, or fees are received by the Board. 
(c) An application shall be considered complete when all required documents, information, and fees have been received by the Board.
(d) The applicant shall sign a statement contained on the application form prescribed by the Board that certifies under penalty of perjury pursuant to the laws of the State of California that the information contained in the application is true and correct.
NOTE

Authority cited: Sections 2715 and 2816, Business and Professions Code. Reference: Section 2816, Business and Professions Code.
HISTORY

1. New section filed 3-9-87; effective thirtieth day thereafter (Register 87, No. 11).
2. Renumbering and amendment of former title 17, section 4502 to new title 16, section 1492 and amendment of Note  filed 1-26-96; operative 2-28-96. Submitted to OAL for printing only (Register 96, No. 5).
3. Amendment of subsection (a), repealer of subsections (b) and (f)-(f)(3), subsection relettering, amendment of newly designated subsections (b) and (d)  and amendment of Note filed 9-2-98; operative 10-2-98 (Register 98, No. 36).
§1493. Issuance of Certificate.
Note     •     History

(a) The Board shall provide written notification to the applicant within 30 calendar days of receipt of an application and fee for a Public Health Nurse Certificate that:
(1) The application is complete and accepted for processing; or
(2) The application is deficient and what specific information, documentation, or fee is required to complete the application.
(b) The Board's time periods for processing an initial application for Public Health Nurse Certificate are as follows:
(1) The median time for processing an initial application is 42 calendar days.
(2) The minimum time for processing an initial application is 14 calendar days.
(3) The maximum time for processing an initial application is 365 calendar days.
(c) Written notification by the Board shall be deemed to have occurred on the date such notification is deposited in the U.S. mail.
(d) If an applicant fails to respond within a period of one year to a written request by the Board for additional information, documentation, or fees, the application shall be deemed to have been abandoned by the applicant.
(e) An applicant whose application was deemed abandoned pursuant to subdivision (d) may reapply by submitting a complete new application, fee, and documentation to meet all current requirements.
NOTE

Authority cited: Section 2715, Business and Professions Code. Reference: Section 2818, Business and Professions Code.
HISTORY

1. New section filed 3-9-87; effective thirtieth day thereafter (Register 87, No. 11).
2. Renumbering and amendment of former title 17, section 4503 to new title 16, section 1493 and amendment of Note  filed 1-26-96; operative 2-28-96. Submitted to OAL for printing only (Register 96, No. 5).
3. Editorial correction of subsection (a)(2) (Register 98, No. 36).
4. Amendment of section heading, section and Note filed 9-2-98; operative 10-2-98 (Register 98, No. 36).
§1494. Appeal Process.
Note     •     History

NOTE

Authority cited: Section 15378, Government Code. Reference: Section 15376 and 15378, Government Code.
HISTORY

1. New section filed 3-9-87; effective thirtieth day thereafter (Register 87, No. 11). 
2. Renumbering and amendment of former title 17, section 4504 to new title 16, section 1494 and amendment of Note  filed 1-26-96; operative 2-28-96. Submitted to OAL for printing only (Register 96, No. 5).
3. Repealer filed 9-2-98; operative 10-2-98 (Register 98, No. 36).
Division 15. State Board of Optometry

(Originally Printed 12-5-46)
Article 1. General Provisions
§1500. Location of Offices. [Repealed]
Note     •     History

NOTE

Authority cited: Section 3025, Business and Professions Code. Reference: Section 3026, Business and Professions Code.
HISTORY

1. Amendment filed 3-3-78; effective thirtieth day thereafter (Register 78, No. 9.)
2. Repealer filed 10-25-83; effective thirtieth day thereafter (Register 83, No. 44).
§1501. Tenses, Gender, and Number. [Repealed]
Note     •     History

NOTE

Authority cited: Section 3025, Business and Professions Code. Reference: Section 3025, Business and Professions Code.
HISTORY

1. Repealer filed 10-25-83; effective thirtieth day thereafter (Register 83, No. 44).
§1501.1. Definitions.
Note     •     History

For the purpose of the rules and regulations contained in this chapter, the following definitions shall apply:
(a) The term “Board” means State Board of Optometry.
(b) The term “code” means, unless otherwise designated, Business and Professions Code.
(c) The term “office,” as defined in Section 3077 of the code, means any office or other place for the practice of optometry.
NOTE

Additional authority cited: Sections 3025, 3025.5, and 3077, Business and Professions Code. Reference: Section 3077, Business and Professions Code.
HISTORY

1. New section filed 1-31-64; effective thirtieth day thereafter (Register 64, No. 3).
2. Amendment of subsection (c) filed 3-3-78; effective thirtieth day thereafter (Register 78, No. 9.)
§1502. Delegation of Certain Functions.
Note     •     History

The power and discretion conferred by law upon the Board to receive and file accusations; issue notices of hearing, statements to respondent and statements of issues; receive and file notices of defense; determine the time and place of hearings under Section 11508 of the Government Code; issue subpoenas and subpoenas duces tecum; set and calendar cases for hearing and perform other functions necessary to the business-like dispatch of the business of the Board in connection with proceedings under the provisions of Sections 11500 through 11528 of the Government Code, prior to the hearing of such proceedings; and the certification and delivery or mailing of copies of decisions under Section 11518 of said code are hereby delegated to and conferred upon the executive officer.
NOTE

Authority cited: Section 3025, Business and Professions Code. Reference: Section 3027, Business and Professions Code.
HISTORY

1. Amendment filed 12-1-83; effective thirtieth day thereafter (Register 83, No. 49).
2. Amendment filed 3-15-94; operative 4-14-94 (Register 94, No. 11).
Article 2. Location of Practice
§1505. Notification of Intention to Engage in Practice.
Note     •     History

(a) The notification of intention to engage in the practice of optometry which is required by Section 3070 of the code shall be addressed to the Board at its office in Sacramento.
(b) Such notification of intention to engage in the practice of optometry includes notifying the Board of intention to accept employment to practice optometry, the name or names of the optometrist or optometrists, or those who by law may employ an optometrist and the address or addresses of the office or offices at which the licensee will be employed.
(c) Such notification of intention to engage in the practice of optometry includes notifying the Board prior to the establishment of any office or offices to practice optometry of the intention to establish such office or offices and the location or locations to be occupied.
NOTE

Authority cited: Section 3025, Business and Professions Code. Reference: Sections 3070 and 3077, Business and Professions Code.
HISTORY

1. Amendment filed 1-31-64; effective thirtieth day thereafter (Register 64, No. 3).
2. Amendment filed 3-3-78; effective thirtieth day thereafter (Register 78, No. 9).
3. Amendment filed 12-1-83; effective thirtieth day thereafter (Register 83, No. 49).
4. Change without regulatory effect amending subsection (b) filed 1-6-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 2).
§1506. Certificates--Posting.
Note     •     History

(a) A certificate of registration, i.e., original wall certificate, is an original certificate of registration and license to practice optometry in California granted by the Board to a natural person who has qualified for the same pursuant to the provisions of Chapter 7 of Division 2 of the Code and it may not be assigned or transferred to another person but shall; notwithstanding whether it is replaced by a certification of the issuance of a certificate of registration, i.e., duplicate wall certificate, as provided by subdivision (b) of this section; remain valid and in force unless it is revoked or suspended and not reinstated or it is expired and not renewed or restored.
(b) A certification of the issuance of a certificate of registration is a certification by the Board that the person named thereon to whom it is conveyed is the holder of the certificate of registration designated thereon and shall be issued to such person as prima facie evidence that such person is the holder of such certificate of registration designated thereon and to replace the same or a previous certification of the issuance of a certificate of registration issued to the same person, provided that:
(1) There is furnished proof satisfactory to the Board of a change in name authorized by law of such person or of the loss of, destruction of or severe damage to such certificate of registration or previous certification of the issuance of such certificate of registration.
(2) Such certificate of registration or previous certification of the issuance of such certificate of registration is, unless it is lost or destroyed, surrendered to the Board.
(3) There is payment of the fee prescribed by Section 3152(h) of the code for the issuance of a certification of registration.
(c) The principal place of practice of an optometrist shall be deemed by the Board to be that office, other than his/her branch office or offices, wherein he/she owns, singly or jointly with any others, the practice of optometry, provided however:
(1) Where the optometrist does not own a practice, singly or jointly with any others, but practices optometry in a single office as an employee, that office shall be his/her principal place of practice.
(2) Where the optometrist does not own a practice, singly or jointly with any others, but practices optometry in two or more offices as an employee, he/she shall inform the Board in writing as to which of such offices shall be deemed his/her principal place of practice.
(d) When the optometrist owns, singly or jointly with any others, the practice of optometry in more than one office or is employed to practice optometry in more than one office and it is infeasible to have his/her certificate posted in more than one of such offices, he/she shall have a numbered statement of licensure issued by the Board and signed by its executive officer conspicuously posted in each of such additional offices wherein he/she owns, singly or jointly with any others, the practice of optometry or wherein he/she practices optometry as an employee, provided that:
(1) He/she shall first send a written request to the Board for such statement of licensure or statements of licensure and shall include in such request the exact location of the office wherein it or each of them is to be posted in lieu of his/her certificate.
(2) He/she shall not have a statement of licensure posted in any office other than as authorized by such statement of licensure.
(3) A statement of licensure shall not be altered or assigned.
(4) A statement of licensure is to be immediately surrendered to the Board by the optometrist to whom it is issued upon the occurrence of any of the following:
(A) His/her certificate becomes expired, is suspended or is revoked.
(B) He/she terminates ownership of the practice or his/her employment to practice optometry in the office wherein he/she is authorized by such statement of licensure to post the same in lieu of his/her certificate.
(C) The office wherein he/she is authorized by such statement of licensure to post the same becomes the only office wherein he/she has ownership of the practice and/or practices optometry as an employee.
NOTE

Authority cited: Section 3025, Business and Professions Code. Reference: Section 3075, Business and Professions Code.
HISTORY

1. Amendment filed 6-28-67; effective thirtieth day thereafter (Register 67, No. 26).
2. Amendment filed 8-7-69; effective thirtieth day thereafter (Register 69, No. 32).
3. Amendment filed 3-3-78; effective thirtieth day thereafter (Register 78, No. 9.)
4. Amendment filed 10-25-83; effective thirtieth day thereafter (Register 83, No. 44).
§1507. Extended Optometric Clinical Facilities.
Note     •     History

(a) As used in this regulation “extended optometric clinical facility” means and includes any clinical facility employed by an approved optometry school for instruction in optometry which exists outside or beyond the walls, boundaries, or precincts of the primary campus of the approved optometry school, and in which optometric services are rendered.
(b) It is the intent of this section to provide a procedure whereby an extended optometric clinical facility may be identified, qualified and approved by the Board as an adjunct to, and an extension of, the clinical department of an approved optometry school.
(c) Optometric services provided by optometry students at undergraduate and graduate levels in an extended optometric clinical facility shall constitute a part of the optometric education program.
(d) Approved optometry schools shall register extended optometric clinical facilities with the Board. Such registration shall be accompanied with information supplied by the optometry school pertaining to faculty supervision, scope of practice to be rendered, name and location of the facility, date operation will commence, discipline of which such instruction is a part, and a brief description of the equipment and facilities available. The foregoing information shall be supplemented with a copy of the agreement between the approved optometry school or parent university and the affiliated institution establishing the relationship. Any change in the information initially provided to the Board shall be communicated to the Board.
(e) Mobile optometric facilities may only function as a part of a school teaching program as approved by the Board.
(f) The itinerary of the mobile optometric unit must be submitted to the Board with 30 days prior notice.
NOTE

Authority cited: Sections 3023.1, 3025 and 3077, Business and Professions Code. Reference: Sections 3023, 3023.1 and 3077, Business and Professions Code.
HISTORY

1. New section filed 5-11-73; effective thirtieth day thereafter (Register 73, No. 19).
2. Amendment filed 12-1-83; effective thirtieth day thereafter (Register 83, No. 49).
§1507.1. Mobile Optometric Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 3025, Business and Professions Code. Reference: Sections 3023, 3023.1 and 3077, Business and Professions Code.
HISTORY

1. New section filed 5-11-73; effective thirtieth day thereafter (Register 73, No. 19).
2. Repealer filed 10-25-83; effective thirtieth day thereafter (Register 83, No. 44).
Article 3. Professional Rules
§1510. Professional Inefficiency.
Note     •     History

Inefficiency in the profession is indicated by the failure to use, or the lack of proficiency in the use of the ophthalmoscope, the retinoscope, the ophthalmometer (or keratometer), tonometer, biomicroscope, any one of the modern refracting instruments such as the phoroptor, refractor, etc., or the phorometer-trial frame containing phoria and duction measuring elements or a multicelled trial frame, trial lenses, and prisms, in the conduct of an ocular examination; the failure to make and keep an accurate record of findings; lack of familiarity with, or neglect to use, a tangent screen or perimeter or campimeter; and the failure to make a careful record of the findings when the need of the information these instruments afford is definitely indicated.
NOTE

Authority cited: Sections 3025 and 3025.5, Business and Professions Code. Reference: Sections 3025.5 and 3090, Business and Professions Code.
HISTORY

1. Amendment filed 12-1-83; effective thirtieth day thereafter (Register 83, No. 49).
§1511. Use of Prefix or Suffix. [Repealed]
Note     •     History

NOTE

Authority cited: Section 3025, Business and Professions Code. Reference: Section 3098, Business and Professions Code.
HISTORY

1. Amendment filed 1-31-64; effective thirtieth day thereafter (Register 64, No. 3).
2. Repealer filed 10-25-83; effective thirtieth day thereafter (Register 83, No. 44).
§1512. Representation of Exceptional Proficiency.
Note     •     History

(a) No title, subtitle, or phrase shall be used which conveys the impression of exceptional proficiency in any phase of optometric practice except as provided in Section 651(h) of the Code.
(b) There shall be no statements in advertising tending to imply that the use of some particular system or procedure in the examination of the eyes and their functions, is superior to or safer than that taught in accredited schools and constituting the legally defined and accepted practice of optometry.
NOTE

Authority cited: Sections 651 and 3025, Business and Professions Code. Reference: Section 651, Business and Professions Code.
HISTORY

1. Amendment filed 10-25-83; effective thirtieth day thereafter (Register 83, No. 44).
§1513. Registered Name Only.
Note     •     History

All signs, cards, stationery or other advertising must clearly and prominently identify the individual optometrist or optometrists.
NOTE

Authority cited: Sections 651 and 3025, Business and Professions Code. Reference: Sections 651 and 3125, Business and Professions Code.
HISTORY

1. Amendment filed 1-31-64; effective thirtieth day thereafter (Register 64, No. 3).
2. Amendment filed 4-3-75; effective thirtieth day thereafter (Register 75, No. 14).
3. Amendment filed 12-1-83; effective thirtieth day thereafter (Register 83, No. 49).
§1514. Renting Space from and Practicing on Premises of Commercial (Mercantile) Concern.
Note     •     History

Where an optometrist rents or leases space from and practices optometry on the premises of a commercial (mercantile) concern, all of the following conditions shall be met:
(a) The practice shall be owned by the optometrist and in every phase be under his/her exclusive control. The patient records shall be the sole property of the optometrist and free from any involvement with a person unlicensed to practice optometry. The optometrist shall make every effort to provide for emergency referrals.
(b) The rented space shall be definite and apart from space occupied by other occupants of the premises.
(c) All signs, advertising, and display shall likewise be separate and distinct from that of the other occupants and have the optometrist's name and the word “optometrist” prominently displayed in connection therewith.
(d) There shall be no legends as “Optical Department,” “Optometrical Department,” “Optical Shoppe,” or others of similar import, displayed on any part of the premises or in any advertising.
(e) There shall be no linking of the optometrist's name, or practice, in advertising or in any other manner with that of the commercial (mercantile) concern from whom he/she is leasing space.
NOTE

Authority cited: Sections 3025 and 3025.5, Business and Professions Code. Reference: Sections 651 and 3025, Business and Professions Code.
HISTORY

1. Amendment filed 12-1-83; effective thirtieth day thereafter (Register 83, No. 49).
§1515. Advertising of Services. [Repealed]
Note     •     History

NOTE

Authority cited: Section 651, Business and Professions Code. Reference: Sections 651, 651.3, 3129 and 17500, Business and Professions Code.
HISTORY

1. Amendment filed 3-3-78; effective thirtieth day thereafter (Register 78, No. 9.)
2. New subsection (c) filed 2-15-80; effective thirtieth day thereafter (Register 80, No. 7).
3. Amendment filed 12-1-83; effective thirtieth day thereafter (Register 83, No. 49).
4. Change without regulatory effect repealing section filed 3-13-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 11).
§1516. Criteria for Rehabilitation.
Note     •     History

(a) When considering the denial of a certificate of registration under Section 480 of the Code, the Board, in evaluating the rehabilitation of the applicant and his/her present eligibility for a certificate of registration, will consider the following criteria:
(1) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the Code.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(5) Evidence, if any, of rehabilitation submitted by the applicant.
(b) When considering the suspension or revocation of a certificate of registration on the grounds that the registrant has been convicted of a crime, the Board, in evaluating the rehabilitation of such person and his/her present eligibility for a license, will consider the following criteria:
(1) Nature and severity of the act(s) or offense(s).
(2) Total criminal record.
(3) The time that has elapsed since commission of the act(s) or offense(s).
(4) Whether the licensee has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against the licensee.
(5) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(6) Evidence, if any, of rehabilitation submitted by the licensee.
(c) When considering a petition for reinstatement of a certificate of registration under Section 11522 of the Government Code, the Board shall evaluate evidence of rehabilitation submitted by the petitioner, considering those criteria of rehabilitation specified in subsection (b).
NOTE

Authority cited: Sections 3023, 3023.1 and 3025, Business and Professions Code. Reference: Sections 475, 480, 481 and 482, Business and Professions Code; and Section 11522, Government Code.
HISTORY

1. New section filed 5-11-73; effective thirtieth day thereafter (Register 73, No. 19).
2. Amendment filed 2-4-75 as an emergency; effective upon filing (Register 75, No. 6).
3. Certificate of Compliance filed 3-28-75 (Register 75, No. 13).
4. Amendment filed 10-25-83; effective thirtieth day thereafter (Register 83, No. 44).
§1517. Substantial Relationship Criteria.
Note     •     History

For the purpose of denial, suspension, or revocation of the certificate of registration of an optometrist pursuant to Division 1.5 (commencing with Section 475) of the Code, a crime or act shall be considered to be substantially related to the qualifications, functions, and duties of an optometrist if to a substantial degree it evidences present or potential unfitness of an optometrist to perform the functions authorized by his/her certificate of registration in a manner consistent with the public health, safety, or welfare. Such crimes or acts shall include, but not be limited to, those involving the following:
(a) Any violation of the provisions of Article 2, Chapter 1, Division 2 of the Code (Sections 525 et seq. of the Code).
(b) Any violation of the provisions of Article 6, Chapter 1, Division 2 of the Code (Sections 650 et. seq. of the Code) except Sections 651.4 and 654.
(c) Any violation of the provisions of Chapter 5.4, Division 2 of the Code (Sections 2540 et seq. of the Code).
(d) Any violation of the provisions of Chapter 7, Division 2 of the Code (Sections 3000 et seq. of the Code).
NOTE

Authority cited: Section 3025, Business and Professions Code. Reference: Sections 475, 480, 481 and 482, Business and Professions Code.
HISTORY

1. New section filed 2-4-75 as an emergency; effective upon filing (Register 75, No. 6).
2. Certificate of Compliance filed 3-28-75 (Register 75, No. 13).
3. Amendment filed 10-25-83; effective thirtieth day thereafter (Register 83, No. 44).
§1518. Fictitious or Group Names.
Note     •     History

(a) Applications for a permit to use a fictitious or group name shall be submitted on a form provided by the Board containing such information as is required therein, and accompanied by the initial permit fee of $50. The permit shall be renewed annually with a renewal fee of $50 due on January 31 each year. Failure to renew a fictitious name permit in a timely manner will result in a $25 delinquency fee added to the renewal fee.
(b) No permit shall be issued authorizing the use of a name which is deceptive or inimical to enabling a rational choice for the consumer public and which does not contain at least one of the following designations: “optometry” or “optometric.” In considering whether a name is deceptive or inimical to enabling a rational choice for the consumer public the Board may consider, among other things, whether it has a tendency to deceive the public or is so similar to a name previously authorized in the same geographical area as to be deceptive or misleading.
(c) When an optometrist or optometrists acquire the ownership in an optometric practice of another optometrist or other optometrists, the successor optometrist or optometrists may use in connection with such practice the name or names of the predecessor optometrist or optometrists for a reasonable time not in excess of two years thereafter providing:
(1) The acquisition of the ownership in the practice of the predecessor optometrist or optometrists includes permission to use his/her or their names.
(2) The acquisition of the ownership includes the active patient records and prescription files of the practice.
(3) In any signs, professional cards, envelopes, billheads, letterheads, or advertising of any nature, the name or names of the successor optometrist or optometrists shall appear first and be followed by the term “succeeding,” “successor to,” or “formerly” and then the name or names of the predecessor optometrist or optometrists which shall not appear in letters larger than the letters in the name or names of the successor optometrist or optometrists.
NOTE

Authority cited: Section 3078, Business and Professions Code. Reference: Sections 3078, 3152 and 3163, Business and Professions Code.
HISTORY

1. New section filed 3-3-78; effective thirtieth day thereafter (Register 78, No. 9.)
2. Amendment of subsection (b) and repealer of subsections (c) and (d) filed 2-15-80; effective thirtieth day thereafter (Register 80, No. 7).
3. Amendment filed 12-1-83; effective thirtieth day thereafter (Register 83, No. 49).
4. Amendment of subsection (a) and Note filed 2-8-2011; operative 3-10-2011 (Register 2011, No. 6).
§1519. Ophthalmic Device Standards.
Note     •     History

The minimum quality standards for prescription ophthalmic devices sold, dispensed or furnished by licensed optometrists shall be the 1972 standards of the American National Standards Institute Z80.1 and Z80.2.
NOTE

Authority cited: Section 2541.3, Business and Professions Code. Reference: Section 2541.3, Business and Professions Code.
HISTORY

1. New section filed 11-17-76; effective thirtieth day thereafter (Register 76, No. 47).
Article 4. Sanitary and/or Hygienic Facilities--Standards Governing Services
§1520. Infection Control Guidelines.
Note     •     History

(a) Optometrists and staff, which also includes assistants in the office of an optometrist, must comply with all the applicable Standard Precautions.
(b) Standard Precautions combine the major features of Universal Precautions and Body Substance Isolation and are based on the principle that all blood, body fluids, secretions, excretions (except sweat), non-intact skin, and mucus membranes may contain transmissible infectious agents. All contact with these substances is treated as if known to be infectious for Human Immunodeficiency Virus (HIV), Hepatitis, and other transmissible infectious agents. Standard Precautions are also intended to protect patients by ensuring that optometric staff do not carry infectious agents to patients on their hands or via equipment used when providing optometric services. Standard Precautions must be used in the care of all patients, regardless of suspected or confirmed infection status, and in all settings wherein optometric services are provided. Standard Precautions include:
(1) Proper Hand Hygiene
(A) Each office shall have a hand washing facility that is entirely within the confines of the premises or space occupied by such office and not elsewhere, and which shall be for the exclusive use of the optometrist or optometrists practicing in such office and his/her or their assistants and patients and shall not be used by other persons.
(B) For the purpose of this section, a hand washing facility is a facility affording, at minimum, the following:
1. A wash basin or sink with hot and cold running water which complies with Title 24, California Administrative Code, Part 5 (commencing with Section P100).
2. Liquid hand washing detergent in a dispensing device.
3. Single service sanitary towels in a dispensing device or a sanitary hot-air blower hand drying apparatus.
(C) Hand washing facilities shall be maintained in a condition of cleanliness and good repair.
(D) The optometrists and staff shall maintain at all times a high standard of cleanliness and personal hygiene in order to ensure proper patient care.
(E) The optometrists and staff shall avoid unnecessary touching of face, nose, and surfaces in close proximity to the patient to prevent both contamination of clean hands from environmental surfaces and transmission of pathogens from contaminated hands to surfaces, when providing optometric services.
(F) When hands are visibly soiled, hands shall be washed with soap and water for a 20-second scrub and 10-second rinse or an antimicrobial hand wash. If hands are not visibly soiled, an acceptable alternative of hand decontamination is with an alcohol-based hand rub (except in cases of spores, as described below).
(G) Hands shall be washed or decontaminated as follows:
1. Before having direct contact with any patient, immediately after a procedure (such as eye examinations or other procedures involving contact with tears), and in between patients.
2. After removing gloves, ensure that hands will not carry potential infectious material that might have penetrated through unrecognized cuts or lacerations in the gloves, or that could contaminate the hands during glove removal.
3. Artificial fingernails or extenders shall not be worn if duties include direct contact with patients at high risk for infection and associated adverse outcomes.
(H) After each patient session ends, hands must be washed with soap and water or an antimicrobial hand wash if contact with spores (including but not limited to C. difficile or Bacillus anthracis) is likely to have occurred. The physical action of washing and rinsing hands in such circumstances is required because alcohols, chlorhexidine, iodophors, and other antiseptic agents have poor activity against spores.
(I) If an optometrist or staff member has exudative lesions or weeping dermatitis of the hand, direct patient care and the handling of patient care equipment by the person with the condition must stop until the condition resolves.
(2) Use of Personal Protective Equipment 
(A) The optometrists and staff must routinely use gloves to prevent skin exposure when anticipating direct contact with blood or body fluids, mucous membranes, nonintact skin, and other potentially infectious material or surfaces soiled with such fluids.
(B) The optometrists and staff shall discard gloves after contact with each patient to prevent transmission of infectious material.
(C) The optometrists and staff shall change gloves if patient interaction involves touching portable computer keyboards or other mobile equipment that is transported from room to room.
(D) The optometrists and staff shall not reuse gloves.
(E) The optometrists and staff must wear masks, gloves and protective eye wear in situations where blood, respiratory secretions, or contaminated fluids may be sprayed or splashed into the eyes of an optometrist or staff member. 
(F) The optometrists and staff must wear masks, gloves and protective eye wear if the optometrist, staff or patient is known or suspected to have a pathogen, which can be transmitted by airborne, contact or droplet routes. If an optometrist or staff member is infected with a pulmonary or other disease that is transmitted by airborne, contact or droplet routes, then that optometrist or staff member must wear a mask, gloves and protective eyewear to protect the patient.
(G) Protective eyewear must be washed and disinfected between each patient or when visibly soiled.
(3) Handling of Sharp Instruments
(A) Precautions must be taken in order to prevent injuries caused by needles, scalpels, and other sharp instruments or devices when:
1. Performing procedures, including but not limited to venipuncture;
2. Cleaning used instruments;
3. Disposing of used needles; and 
4. Handling sharp instruments after procedures.
(B) To prevent needle stick injuries, optometrists and staff shall be instructed in the proper handling of needles, including but not limited to when needles must not be recapped, or purposely bent or broken by hand, removed from disposable syringes, or otherwise manipulated by hand.
(C) Optometrists and staff must be instructed to place disposable syringes and needles, scalpel blades and other sharp items in puncture resistant containers following their use. Puncture resistant containers shall be provided and shall be located as close as practical to the area where needles and syringes are in use. 
(D) Pursuant to Cal/OSHA's Bloodborne Pathogens Standard, Title 8, Cal. Code Regs., Section 5193, employers governed by this rule must establish, maintain, review and update at least annually and whenever necessary their Exposure Control Plan to reflect changes in technology that eliminate or reduce exposure to bloodborne pathogens, and establish and maintain a Sharps Injury Log. This rule applies to all employers with employees who have occupational exposure to blood or other potentially infectious materials. 
(E) Optometrists and staff shall adhere to all federal and state requirements for handling of sharp instruments (including but not limited to the Medical Waste Management Act, California Health and Safety Code sections 117600-118360).
(4) Disinfection Requirements
(A) Germicides and/or disinfectants must be used in order to eliminate most of all pathogenic microorganisms from inanimate objects, such as medical devices or equipment. If there are questions on how to disinfect a particular medical device, the office may contact the manufacturer of the product. 
(B) Contact lenses and carrying cases used in trial and follow-up fittings shall be handled in the following manner:
1. Discarding the trial contact lenses is recommended. This procedure however is inapplicable to rigid gas permeable and non-disposable hydrogel trial contact lenses.
2. Disinfecting between each fitting by one of the following regimens:
a. U.S. Food and Drug Administration (FDA) approved chemical disinfection system appropriate for the contact lens type.
b. Heat disinfection.
(C) When using eye drops, optometrists and assistants shall not permit the bottle tip to come into direct contact with the patient's tears or conjunctiva. If the tip touches the patient, the bottle shall be discarded.
(D) Optometrists and staff shall follow employer-established policies and procedures for routine and targeted cleaning of environmental surfaces as indicated by the service-delivery setting, the level of patient contact, and degree of soiling.
(E) Optometrists and staff shall clean and disinfect surfaces that are likely to be contaminated with pathogens, especially those in close proximity to the patient and frequently touched surfaces in the patient care environment. 
(c) Optometrists and staff shall comply with all minimum standards for infection control practices issued by local, state, and federal governmental agencies in response to emergency health and safety situations.
NOTE

Authority cited: Sections 3010.1, 3025, 3025.5 and 3110, Business and Professions Code. Reference: Sections 2544, 2564.5, 3025.5, 3025.6 and 3110, Business and Professions Code.
HISTORY

1. New Article 4 (Section 1520) filed 131-63; effective thirtieth day thereafter (Register 64. No. 3).
2. Amendment of subsection (d) filed 3-3-78; effective thirtieth day thereafter (Register 78, No. 9.)
3. Amendment filed 12-1-83; effective thirtieth day thereafter (Register 83, No. 49).
4. Amendment of section heading, section and Note filed 12-20-2010; operative 1-19-2011 (Register 2010, No. 52).
Article 5. Application for Licensure Examination
§1523. Licensure and Examination Requirements.
Note     •     History

(a)(1) Application for licensure as an optometrist shall be made on a form prescribed by the Board (Form 39A-1. Rev. 7-09), which is hereby incorporated by reference, and shall show that the applicant is at least 18 years of age.
(2) Application for licensure by an out of state licensed optometrist as defined in Business and Professions Code Section 3057, shall be made on forms prescribed by the Board (Form OLA-2, Rev. 11/07 and Form LBC-4, rev. 2/07), which are hereby incorporated by reference, and shall show that the applicant is at least 18 years of age.
(b) An application shall be accompanied by the following:
(1) The fees fixed by the Board pursuant to Section 1524 in this Article.
(2) Satisfactory evidence of graduation from an accredited school or college of optometry approved by the Board.
(3) One classifiable set of fingerprints on a form provided by the Board.
(c) An incomplete application shall be returned to the applicant together with a statement setting forth the reason(s) for returning the application and indicating the amount of money, if any, which will be refunded.
(d) Each applicant must achieve passing grades in all Board required examinations before being granted a license to practice optometry.
(e) Permission to take the California Laws and Regulations Examination (CLRE) shall be granted to those applicants who have submitted a paid application.
(f) Licensure shall be contingent on the applicants passing the Clinical Skills portion of the National Board of Examiners in Optometry examination as provided in Section 1531 in this Article and passing the CLRE.
(g) Admission into the examinations shall not limit the Board's authority to seek from an applicant additional information deemed necessary to evaluate the applicant's qualifications for licensure.
NOTE

Authority cited: Sections 3025, 3044, 3045 and 3057, Business and Professions Code. Reference: Sections 3044, 3045 and 3057, Business and Professions Code.
HISTORY

1. New article 5 (sections 1523-1524) and section filed 5-12-97; operative 6-11-97 (Register 97, No. 20). For prior history, see Register 83, No. 44.
2. Amendment of section heading, redesignation of subsection (a) as new subsection (a)(1) and new subsection (a)(2), amendment of subsections (b)-(b)(1) and amendment of Note filed 11-7-2007; operative 11-7-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 45).
3. Amendment filed 2-8-2011; operative 3-10-2011 (Register 2011, No. 6).
§1524. Fees.
Note     •     History

The following fees are established:

(a) Application fee for certificate of registration as an 
optometrist by examination	$275

(b) Biennial renewal of a certificate of registration as an 
optometrist	$425

(c) Delinquency fee for failing to renew a certificate of
registration timely	$50

(d) Application fee for a branch office license	$75

(e) Annual renewal of a branch office license	$75

(f) Penalty fee for failure to renew a branch office license 
timely	$25

(g) Issuance fee for a certificate of registration or upon 
change of name of a person holding a certificate of 
registration	$25

(h) Application fee for a fictitious name permit	$50

(i) Annual renewal of a fictitious name permit	$50

	(1) Delinquency fee for failure to renew a fictitious 
	name permit timely	$25

(j) Application fee for a statement of licensure	$40

	(1) Biennial renewal of a statement of licensure	$40

	(2) Penalty fee for failure to renew a statement of 
	licensure timely	$20

(k) Application fee for a certificate to use therapeutic 
pharmaceutical agents	$25

(l) Application fee for approval of a continuing education 
course	$50

(m) Application fee for a certificate to treat primary 
open angle glaucoma	$35

(n) Application fee for a certificate to perform lacrimal 
irrigation and dilation	$25
NOTE

Authority cited: Sections 3025, 3044, 3075, 3152 and 3152.5, Business and Professions Code. Reference: Sections 3075, 3078, 3152 and 3152.5, Business and Professions Code.
HISTORY

1. New section filed 5-12-97; operative 6-11-97 (Register 97, No. 20). 
2. Amendment of subsections (b)-(e) and (h)-(i), new subsections (i)(1), (j)(1)-(2) and (l)-(n) and amendment of Note filed 4-28-2009; operative 4-28-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 18). 
Article 5.1. Fingerprint Requirements
§1525. Optometrist License Renewal.
Note     •     History

(a) A license issued pursuant to Business and Professions Code Section 3055 expires at midnight on the last day of the licensee's birth month following its original issuance and thereafter at midnight on the last day of the licensee's birth month every two years if not renewed.
(b) A renewal for licensure as an optometrist shall be made on a form prescribed by the Board (Form R1POPT, Rev. 3-10), which is hereby incorporated by reference, and shall be accompanied by the fee specified in Section 1524 and filed with the Board at its office in Sacramento.
(c) Failure to provide all of the information required by this section renders any application for renewal incomplete and not eligible for renewal.
(d) Failure of a licensee to comply with subdivision (b) is grounds for disciplinary action by the board against the license.
NOTE

Authority cited: Sections 3010.1, 3010.5, 3024 and 3025, Business and Professions Code. Reference: Sections 3055, 3056, 3059 and 3110, Business and Professions Code; and Section 11105, Penal Code.
HISTORY

1. New article 5.1 (sections 1525-1525.2) and section filed 6-21-2010; operative 6-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 26). 
§1525.1. Fingerprint Requirements.
Note     •     History

(a) As a condition of renewal for a licensee who was initially licensed prior to January 1, 1998, or for whom an electronic record of the submission of fingerprints no longer exists, such licensee shall furnish to the Department of Justice a full set of fingerprints for the purpose of conducting a criminal history record check and to undergo a state and federal criminal offender record information search conducted through the Department of Justice.
(1) The licensee shall pay any costs for furnishing the fingerprints to the Department of Justice and conducting the searches.
(2) A licensee shall certify when applying for renewal whether his or her fingerprints have been furnished to the Department of Justice in compliance with this section.
(3) This requirement is waived if the license is renewed in an inactive status, or if the licensee is actively serving in the military outside the country. The board shall not return a license to active status until the licensee has complied with subsection (a).
(4) A licensee shall retain, for at least three years from the renewal date, either a receipt showing the electronic transmission of his or her fingerprints to the Department of Justice or a receipt evidencing that the licensee's fingerprints were taken.
(b) As a condition of renewal, a licensee shall disclose whether, since the licensee last applied for renewal, he or she has been convicted of any violation of the law in this or any other state and, the United States, and its territories, military court, or other country, omitting traffic infractions under $300 not involving alcohol, dangerous drugs, or controlled substances.
(c) As a condition of renewal, a licensee shall disclose whether, since the licensee last applied for renewal, he or she has been denied a license or had a license disciplined by another licensing authority of this state, of another state, of any agency of the federal government, or of another country.
(d) Failure to comply with the requirements of this section renders any application for renewal incomplete and the license will not be renewed until the licensee demonstrates compliance with all requirements.
(e) Failure to furnish a full set of fingerprints to the Department of Justice as required by this section on or before the date required for renewal of a license is grounds for discipline by the Board.
(f) As a condition of petitioning the board for reinstatement of a revoked or surrendered license or registration, an applicant shall comply with subsection (a).
NOTE

Authority cited: Sections 144, 3010.1, 3010.5, 3024 and 3025, Business and Professions Code. Reference: Section 3110, Business and Professions Code; and Section 11105, Penal Code.
HISTORY

1. New section filed 6-21-2010; operative 6-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 26). 
§1525.2. Response to Board Inquiry.
Note     •     History

If the board or its designee asks a licensee to provide criminal history information, a licensee shall respond to that request within 30 days. The licensee shall make available all documents and other records requested and shall respond with accurate information. Failure to comply with the requirements of this section is grounds for discipline by the board.
NOTE

Authority cited: Sections 3010.1, 3010.5, 3024 and 3025, Business and Professions Code. Reference: Sections 144, 3055, 3056, 3059 and 3110, Business and Professions Code; and Section 11105, Penal Code.
HISTORY

1. New section filed 6-21-2010; operative 6-21-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 26). 
Article 6. Examinations
§1526. Proof of Cardiopulmonary Resuscitation Certification (CPR). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 3025 and 3053, Business and Professions Code. Reference: Sections 3023.1, 3053 and 3059, Business and Professions Code.
HISTORY

1. New section filed 2-21-89; operative 3-23-89 (Register 89, No. 10).
2. Repealer filed 5-8-96; operative 6-7-96 (Register 96, No. 19).
§1530. Examination Results. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 3025, 3053 and 3054, Business and Professions Code. Reference: Sections 3053 and 3054, Business and Professions Code.
HISTORY

1. New Article 6 (Sections 1530-1535) filed 5-4-67 as an emergency; effective upon filing (Register 67, No. 18).
2. Article 6 (Sections 1530 through 1535) refiled 6-28-67; effective thirtieth day thereafter (Register 67, No. 26).
3. Amendment of subsections (d) and (e) filed 1-24-80; effective thirtieth day thereafter (Register 80, No. 4).
4. Amendment filed 10-25-83; effective thirtieth day thereafter (Register 83, No. 44).
5. Repealer and new section filed 5-8-96; operative 6-7-96 (Register 96, No. 19).
6. Change without regulatory effect repealing section filed 3-14-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 11).
§1530.1. Qualifications of Foreign Graduates.
Note     •     History

Applicants who meet the requirements of Section 3057.5 of the Code shall be admitted to the examination upon furnishing satisfactory evidence that the course of instruction completed is reasonably equivalent, as determined by the Board, to the course of instruction given by a school accredited by the Board; provided, however, that an applicant who is unable to furnish satisfactory evidence of equivalency may take those courses or subjects, in an accredited school or in another program of instruction acceptable to the Board, which would remedy areas of deficiency.
NOTE

Authority cited: Sections 3023.1 and 3025, Business and Professions Code. Reference: Sections 3023.1, 3025, 3047, 3050 and 3057.5, Business and Professions Code.
HISTORY

1. New section filed 7-26-72 as an emergency; effective upon filing (Register 72, No. 31).
2. Certificate of Compliance filed 11-22-72 (Register 72, No. 48). 3. Repealer of subsection (d) filed 1-24-80; effective thirtieth day thereafter (Register 80, No. 4).
4. Amendment filed 12-1-83; effective thirtieth day thereafter (Register 83, No. 49).
5. Amendment filed 5-6-86; effective thirtieth day thereafter (Register 86, No. 19).
§1531. Licensure Examination.
Note     •     History

(a) The licensure examinations are composed of:
Section I -- Applied Basic Science written cognitive examination approved by the Board and developed by the National Board of Examiners in Optometry (NBEO).
Section II -- Patient Assessment and Management/Treatment and Management of Ocular Disease examination developed by the NBEO.
Section III -- Clinical Skills Examination developed by the NBEO.
Section IV -- California Laws and Regulations Examination developed and administered by the Board or its contractor.
(b) All examinations for licensure developed by the NBEO and the Board prior to January 2010 may be accepted on a case by case basis in the evaluation of an applicant's qualifications for licensure.
NOTE

Authority cited: Sections 3025, 3041.2 and 3053, Business and Professions Code. Reference: Sections 3041.2 and 3053, Business and Professions Code.
HISTORY

1. Amendment filed 11-22-77; effective thirtieth day thereafter (Register 77, No. 48).
2. Amendment filed 5-20-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 21).
3. Amendment filed 8-9-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 32).
4. Amendment of subsection (d) filed 2-21-89; operative 3-23-89 (Register 89, No. 10).
5. Amendment of section heading, section and Note filed 5-8-96; operative 6-7-96 (Register 96, No. 19).
6. Amendment of section and Note filed 6-24-97; operative 7-24-97 (Register 97, No. 26).
7. Amendment filed 1-28-2002; operative 1-28-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 5). 
8. Amendment filed 2-8-2011; operative 3-10-2011 (Register 2011, No. 6).
§1532. Re-Examination.
Note     •     History

An applicant who has failed to pass either section II of the National Board of Examiners in Optometry (NBEO) examination or the California Laws and Regulations Examination after a period of five consecutive calendar years from the date of the first examination, must retake sections II and III of the NBEO examination and the California Laws and Regulations Examination.
NOTE

Authority cited: Section 3025, Business and Professions Code. Reference: Section 3054, Business and Professions Code.
HISTORY

1. Amendment filed 4-3-75; effective thirtieth day thereafter (Register 75, No. 14).
2. Editorial correction (Register 75, No. 30).
3. Amendment of subsection (b) filed 1-24-80; effective thirtieth day thereafter (Register 80, No. 4).
4. Amendment filed 12-1-83; effective thirtieth day thereafter (Register 83, No. 49).
5. Amendment of subsections (a) and (b) filed 5-8-96; operative 6-7-96 (Register 96, No. 19).
6. Amendment filed 6-24-97; operative 7-24-97 (Register 97, No. 26).
7. Amendment of section and Note filed 2-8-2011; operative 3-10-2011 (Register 2011, No. 6).
§1533. Re-Scoring of California Laws and Regulations Examination.
Note     •     History

Any person who fails to pass the California Laws and Regulations Examination may request that the examination be re-scored by the Board. The request shall be submitted in writing and mailed to the principal office of the Board. The request shall be postmarked no later than 75 days after the date the examination results are mailed.
NOTE

Authority cited: Section 3025, Business and Professions Code. Reference: Section 3054, Business and Professions Code.
HISTORY

1. Amendment filed 12-1-83; effective thirtieth day thereafter (Register 83, No. 49).
2. Amendment filed 2-21-89; operative 3-23-89 (Register 89, No. 10).
3. Amendment of first paragraph and subsections (a), (b), (d), (f) and (g) filed 5-8-96; operative 6-7-96 (Register 96, No. 19).
4. Amendment of section heading and first paragraph and repealer of subsections (a)-(i) filed 7-5-2001; operative 8-4-2001 (Register 2001, No. 27).
5. Amendment of section heading, section and Note filed 2-8-2011; operative 3-10-2011 (Register 2011, No. 6).
§1533.1. Examination Appeals. [Repealed]
Note     •     History

NOTE

Authority cited: Section 3025, Business and Professions Code. Reference: Section 3025, Business and Professions Code.
HISTORY

1. New section filed 10-11-89; operative 11-10-89 (Register 89, No. 41).
2. Repealer filed 4-25-2001; operative 5-25-2001 (Register 2001, No. 17).
§1534. National Board of Examiners in Optometry (NBO). [Repealed]
Note     •     History

NOTE

Authority cited: Section 3025, Business and Professions Code. Reference: Section 3053, Business and Professions Code.
HISTORY

1. Amendment of subsection (c) filed 1-24-80; effective thirtieth day thereafter (Register 80, No. 4).
2. Repealer filed 10-25-83; effective thirtieth day thereafter (Register 83, No. 44).
§1535. Examination Requirements. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 3025, 3041.2 and 3053, Business and Professions Code. Reference: Sections 3041.2 and 3053, Business and Professions Code.
HISTORY

1. Amendment filed 8-7-69; effective thirtieth day thereafter (Register 69, No. 32).
2. Amendment filed 11-22-77; effective thirtieth day thereafter (Register 77, No. 48).
3. Amendment filed 4-20-81; effective thirtieth day thereafter (Register 81, No. 17).
4. Amendment filed 5-20-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 21).
5. Amendment filed 2-21-89; operative 3-23-89 (Register 89, No. 10).
6. Editorial correction of printing error of HISTORY No. 5 filing date (Register 89, No. 20).
7. Amendment of section heading and former subsection (a), and repealer of subsection designations and former section (b) filed 5-8-96; operative 6-7-96 (Register 96, No. 19.
8. Repealer filed 6-24-97; operative 7-24-97 (Register 97, No. 26).
Article 6.5. Continuing Optometric Education
§1536. Continuing Optometric Education; Purpose and Requirements.
Note     •     History

(a) Except as otherwise provided in Section 1536(b), each licensee shall complete 40 hours of formal continuing optometric education course work within the two years immediately preceding the license expiration date. Such course work shall be subject to Board approval. Up to eight hours of course work may be in the area of patient care management or ethics in the practice of optometry. Business management courses are not accepted by the Board.
(b) An optometrist certified to use therapeutic pharmaceutical agents pursuant to Business and Professions Code Section 3041.3 shall complete a total of 50 hours of continuing optometric education every two years in order to renew his or her license. Thirty-five of the required 50 hours of continuing optometric education shall be on the diagnosis, treatment and management of ocular disease and consistent with Business and Professions Code section 3059, subdivision (e).
(c) Up to 20 hours of required biennial course work may be accomplished by using any or all of the following alternative methods:
(1) Documented and accredited self study through correspondence or an electronic medium.
(2) Teaching of continuing optometric education courses if attendance at such course would also qualify for such credit, providing none are duplicate courses within the two-year period.
(3) Writing articles that have been published in optometric journals, magazines or newspapers, pertaining to the practice of optometry (or in other scientific, learned, refereed journals on topics pertinent to optometry), providing no articles are duplicates. One hour of credit will be granted for each full page of printing or the equivalent thereof.
(4) A full day's attendance at a California State Board of Optometry Board meeting. Up to two credit hours shall be granted for a full day.
(5) Completion of a course to receive certification in cardiopulmonary resuscitation (CPR) from the American Red Cross, the American Heart Association, or other association approved by the Board. Up to four credit hours shall be granted for this course.
(d) A credit hour is defined as one classroom hour, usually a 50-minute period, but no less than that.
(e) Continuing optometric education programs which are approved as meeting the required standards of the Board include the following:
(1) Continuing optometric education courses officially sponsored or recognized by any accredited school or college of optometry.
(2) Continuing optometric education courses provided by any national or state affiliate of the American Optometric Association, the American Academy of Optometry, or the Optometric Extension Program.
(3) Continuing optometric education courses approved by the Association of Regulatory Boards of Optometry committee known as COPE (Council on Optometric Practitioner Education).
(f) Other continuing optometric education courses approved by the Board as meeting the criteria set forth in paragraph (g) below, after submission of a course, schedule, topical outline of subject matter, and curriculum vitae of all instructors or lecturers involved, to the Board not less than 45 days prior to the date of the program. The Board may, upon application of any licensee and for good cause shown, waive the requirement for submission of advance information and request for prior approval. Nothing herein shall permit the Board to approve a continuing optometric education course which has not complied with the criteria set forth in paragraph (g) below.
(g) The criteria for judging and approving continuing education courses by the Board for continuing optometric education credit will be determined on the following basis:
(1) Whether the program is likely to contribute to the advancement of professional skill and knowledge in the practice of optometry.
(2) Whether the instructors, lecturers, and others participating in the presentation are recognized by the Board as being qualified in their field.
(3) Whether the proposed course is open to all optometrists licensed in this State.
(4) Whether the provider of any mandatory continuing optometric education course agrees to maintain and furnish to the Board and/or attending licensee such records of course content and attendance as the Board requires, for a period of at least three years from the date of course presentation.
(h) Proof of continuing optometric education course attendance shall be provided in a form and manner specified in writing by the Board and distributed to all licensed optometrists in this State. Certification of continuing optometric education course attendance shall be submitted by the licensee to the Board upon request, and shall contain the following minimal information:
(1) Name of the sponsoring organization.
(2) Name, signature, practice address, and license number of the attending licensee.
(3) Subject or title of the course.
(4) Number of continuing optometric education hours provided for attending the course.
(5) Date the course was provided.
(6) Location where the course was provided.
(7) Name(s) and signatures of the course instructor(s).
(8) Such other evidence of course content or attendance as the Board may deem necessary.
Use of a certificate of course completion provided by the Board is recommended for any continuing optometric education course approved by the Board pursuant to the above. Such forms will be furnished by the Board upon request.
The Board will also recognize and utilize the Association of Regulatory Boards in Optometry's online Optometric Education (OE) Tracker system as proof of continuing education course attendance.
(i) The following licensees shall be exempt from the requirements of this section:
(1) Any licensee serving in the regular armed forces of the United States during any part of the two years immediately preceding the license expiration date.
(2) Those licensees as the Board, in its discretion, determines were unable to complete sufficient hours of continuing optometric education courses due to illness, incapacity, or other unavoidable circumstances. An extension may be granted if the Board, in its discretion, determines that good cause exists for the licensee's failure to complete the requisite hours of continuing optometric education.
(3) Any licensee who is renewing an active license for the first time, if he or she graduated from an accredited school or college of optometry less than one year from the date of initial licensure.
(j) The Board may conduct an audit of any licensee's attendance of a continuing optometric education course as a means of verifying compliance with this section.
NOTE

Authority cited: Section 3059, Business and Professions Code. Reference: Section 3059, Business and Professions Code.
HISTORY

1. New section filed 2-21-89; operative 3-23-89 (Register 89, No. 10).
2. Amendment of subsections (a) and (d), new subsection (d)(3), and amendment of subsections (e), (f), (f)(2), (f)(4), (g), (g)(8), (h)(2), (h)(3) and (i), and new subsection (j) and amendment of Note filed 5-8-96; operative 6-7-96 (Register 96, No. 19). 
3. Amendment filed 12-22-2004; operative 1-21-2005 (Register 2004, No. 52).
4. Amendment of section and Note filed 5-18-2011; operative 6-17-2011 (Register 2011, No. 20).
Article 7. Optometric Corporations
§1540. Citation of Rules. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 3025 and 3167, Business and Professions Code. Reference: Section 3025, Business and Professions Code.
HISTORY

1. New Article 7 (# 1540 through 1550) filed 9-27-71; effective thirtieth day thereafter (Register 71, No. 40).
2. Repealer filed 10-25-83; effective thirtieth day thereafter (Register 83, No. 44).
§1541. Definitions. [Repealed]
Note     •     History

NOTE

Authority cited: Section 3167, Business and Professions Code. Reference: Section 13410, Corporations Code.
HISTORY

1. Change without regulatory effect repealing Section 1541 (Register 88, No. 15).
§1542. Professional Relationships, Responsibilities, and Conduct Not Affected. [Repealed]
Note     •     History

NOTE

Authority cited: Section 3167, Business and Professions Code. Reference: Section 13410, Corporations Code.
HISTORY

1. Change without regulatory effect repealing Section 1542 (Register 88, No. 15).
§1543. Office for Filing. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 3025 and 3167, Business and Professions Code. Reference: Section 3025, Business and Professions Code.
HISTORY

1. Repealer filed 10-25-83; effective thirtieth day thereafter (Register 83, No. 44).
§1544. Application; Review of Refusal to Approve.
Note     •     History

(a) An applicant corporation shall file with the Board an application for Certificate of Registration on a form furnished by the Board, which shall be signed and verified by an officer of the corporation who is a licensed person and be accompanied by a fee not to exceed two hundred dollars ($200).
(b) The Board, within a reasonable time after an application for registration is submitted to it, shall either approve the application and issue a Certificate of Registration or refuse to approve the application and notify the applicant corporation of the reasons therefor.
(c) The Board may delegate to its executive officer, or other official or employee of the Board, its authority under Section 3161, Business and Professions Code, to review and approve applications for registration and to issue Certificates of Registration.
(d) Any applicant corporation whose application has been disapproved by the Board may request a hearing pursuant to Government Code Section 11504. The hearing shall be conducted pursuant to the Administrative Procedure Act (Government Code Sections 11502-11528).
(e) No applicant corporation shall hold itself out or engage in nor shall it render any professional services unless and until a Certificate of Registration has been issued.
NOTE

Authority cited: Section 3167, Business and Professions Code. Reference: Sections 3160-3167, Business and Professions Code; and Section 13401, Corporations Code.
HISTORY

1. Amendment of subsections (a) and (c) filed 2-2-79; effective thirtieth day thereafter (Register 79, No. 5).
2. Change without regulatory effect of NOTE (Register 88, No. 15).
§1545. Requirements for Issuance of Certificate of Registration. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 3025 and 3167, Business and Professions Code. Reference: Section 3025, Business and Professions Code.
HISTORY

1. Repealer filed 10-25-83; effective thirtieth day thereafter (Register 83, No. 44).
§1546. Name of Corporation.
Note     •     History

(a) Except as provided in Section 1518, the name of the corporation shall contain and be restricted to:
(1) The name or last name of one or more of the present, prospective, or former shareholders, and
(2) One of the following designations denoting corporate existence: “Optometric Corporation,” “Optometry Corporation,” “Corporation,” “Professional Corporation,” “Prof. Corp.,” “Corp.,” “Incorporated,” “Inc.,” “Optometric Corp.,” “Optometry Corp.,” “Professional Optometric Corporation,” “Professional Optometry Corporation,” “Professional Optometric Corp.,” or “Professional Optometry Corp..”
(b) The letters “Opt.D.” or “O.D.” or the word “optometrist” may be used in the corporate name providing that any person using such designation shall be the holder of a diploma from an accredited school of optometry. Some examples of such usage are: “Doctor John Doe, O.D., Inc.” or “Dr. James Smith, O.D. and Dr. John Doe, O.D., Optometric Corporation.”
NOTE

Authority cited: Sections 3025 and 3167, Business and Professions Code. Reference: Sections 3098 and 3163, Business and Professions Code.
HISTORY

1. Amendment filed 4-3-75; effective thirtieth day thereafter (Register 75, No. 14).
2. Amendment filed 3-3-78; effective thirtieth day thereafter (Register 78, No. 9).
3. Amendment of subsection (a) filed 4-20-81; effective thirtieth day thereafter (Register 81, No. 17).
4. Amendment filed 12-1-83; effective thirtieth day thereafter (Register 83, No. 49).
§1547. Security for Claims Against an Optometric Corporation.

(a) When an optometric corporation provides security by means of insurance for claims against it by its patients, the security shall consist of a policy or policies of insurance insuring the corporation against liability imposed upon it by law for damages arising out of claims against it by its patients arising out of the rendering of, or failure to render, optometric services by the corporation in an amount of each claim of at least $50,000 multiplied by the number of employed licensed persons rendering such optometric services and an aggregate maximum limit of liability per policy year of at least $150,000 multiplied by the number of such employees, provided that the maximum coverage shall not be required to exceed $150,000 for each claim and $450,000 for all claims during the policy year, and provided further that the deductible portion of such insurance shall not exceed $5,000 multiplied by the number of such employees.
(b) All shareholders of the corporation shall be jointly and severally liable for all claims established against the corporation by its patients arising out of the rendering of, or failure to render, optometric services up to the minimum amounts specified for insurance under subdivision (a) hereof except during periods of time when the corporation shall provide and maintain insurance for claims against it by its patients arising out of the rendering of, or failure to render, optometric services. Said insurance, when provided, shall meet the minimum standards established in subdivision (a) above.
§1548. Shares: Ownership and Transfer.
Note     •     History

(a) The shares of an optometric corporation may be issued only to a natural person licensed to practice optometry and may be transferred only to a natural person licensed to practice optometry or to the issuing corporation.
(b) Where there are two or more shareholders in an optometric corporation and one of the shareholders:
(1) Dies, or
(2) Becomes a disqualified person as defined in Section 13401(d) of the Corporations Code, for a period exceeding ninety (90) days, his/her shares shall be sold and transferred to a natural person licensed to practice optometry or to the issuing optometric corporation, on such terms as are agreed upon. Such sale or transfer shall not be later than six (6) months after any such death and not later than ninety (90) days after the date he/she became a disqualified person.
(c) A corporation and its shareholders may, but need not, agree that shares sold to it by a person who becomes a disqualified person may be resold to such person if and when he/she again ceases to become a disqualified person.
(d) The restrictions of subdivision (a) and, if appropriate, subdivision (b) of this section shall be set forth in the corporation's bylaws or articles of incorporation.
(e) The income of an optometric corporation attributable to optometric services rendered while a shareholder is a disqualified person shall not in any manner accrue to the benefit of such shareholder or his/her shares.
(f) The share certificates of an optometric corporation shall contain either:
(1) An appropriate legend setting forth the restriction of subdivision (a), and where applicable, the restriction of subdivision (b), or
(2) An appropriate legend stating that ownership and transfer of the shares are restricted and specifically referring to an identified section of the by-laws or articles of incorporation of the corporation wherein the restrictions are set forth.
NOTE

Authority cited: Section 3167, Business and Professions Code. Reference: Sections 3160, 3164 and 3167, Business and Professions Code; and Sections 13401, 13401.5, 13406 and 13407, Corporations Code.
HISTORY

1. Amendment filed 10-25-83; effective thirtieth day thereafter (Register 83, No. 44).
§1549. Certificate of Registration: Continuing Validity: Reports.
Note     •     History

(a) A Certificate of Registration shall continue in effect until it is suspended or revoked. Such certificate may be suspended or revoked for any of the grounds permitted by law.
(b) By May 31 of each year, each optometric corporation shall file with the Board a report on a form provided by the Board reflecting its status as of May 1 and including such information pertaining to its qualifications and compliance with the statutes, rules and regulations of the Board as the Board may require.
(c) Each optometric corporation shall file a special report, on a form provided by the Board, within 30 days of any change of the officers, directors, shareholders, places of practice, by-laws, articles of incorporation, corporate name.
(d) Each annual report filed hereunder shall be accompanied by a filing fee not to exceed $50.00.
(e) Each special report filed hereunder shall be accompanied by a filing fee not to exceed $15.00.
NOTE

Authority cited: Section 3167, Business and Professions Code. Reference: Sections 3160-3167, Business and Professions Code; and Section 13401, Corporations Code.
HISTORY

1. Amendment of subsection (c) filed 3-3-78; effective thirtieth day thereafter (Register 78, No. 9.)
2. Amendment of subsections (d) and (e) filed 2-2-79; effective thirtieth day thereafter (Register 79, No. 5).
3. Change without regulatory effect of NOTE (Register 88, No. 15).
§1550. Branch Offices.

An optometric corporation is subject to the provisions of Section 3077 of the Code. When any optometric corporation duly registered hereunder desires to have a branch office within the meaning of that code section, it shall, prior to the opening of any branch office, make application therefor to the Board and receive permission in writing from the Board to have such branch office.
Article 8. Topical Pharmaceutical Agents
§1560. Definitions. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 3025 and 3041, Business and Professions Code. Reference: Section 3041, Business and Professions Code.
HISTORY

1. New Article 8 (Sections 1560-1563) filed 11-22-77; effective thirtieth day thereafter (Register 77, No. 48).
2. Amendment filed 10-25-83; effective thirtieth day thereafter (Register 83, No. 44).
3. New subsection (a)(3)(d) filed 6-20-96; operative 7-20-96 (Register 96, No. 25).
4. Repealer filed 4-6-2001; operative 5-6-2001 (Register 2001, No. 14).
§1561. Topical Pharmaceutical Agents Usage--Purpose and Requirements.
Note     •     History

(a) The purpose of this article is to implement Business and Professions Code Section 3041.2, as added to said code by chapter 418 of the 1976 statutes. Only those optometrists meeting the requirements of this article may use topical pharmaceutical agents in the examination of human eyes.
(b) In order to use topical pharmaceutical agents in the examination of human eyes, an optometrist must:
(1) complete a course in pharmacology approved by the Board or have equivalent experience satisfactory to the Board; and 
(2) provide evidence of taking and passing either:
(A) both the Applied Basic Science and Clinical Skills sections of the NBEO examination as it was constituted beginning in January 2010; or
(B) a pharmacology examination equivalent to subdivision (b)(1) above and administered by an accredited school or college of optometry.
(c) The Board will issue a Diagnostic Pharmaceutical Agents certification to optometrists fulfilling the requirements of subsection (b) authorizing them to use topical pharmaceutical agents.
NOTE

Authority cited: Sections 3025, 3041.2 and 3053, Business and Professions Code. Reference: Sections 3041 and 3041.2, Business and Professions Code.
HISTORY

1. Amendment filed 5-20-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 21).
2. Amendment of subsection (b) filed 5-8-89; operative 6-7-89 (Register 89, No. 27).
3. Amendment of section and Note filed 2-8-2011; operative 3-10-2011 (Register 2011, No. 6).
§1562. Pharmacology Courses.

(a) In order to be approved by the Board, a course in pharmacology must include instruction in general pharmacology, ocular pharmacology, and in ocular pharmacology applied to relevant clinical procedures. The course must be at least 55 hours in length and be subdivided as follows:

	General Pharmacology	 15 hours
	Ocular Pharmacology	 20 hours
	Clinical Laboratory (ocular pharmacology applied to 
	     relevant clinical procedures)	 20 hours
(b) Approval by the Board shall be required of all pharmacology course instructors.
§1563. Pharmacology Examination.
Note     •     History

(a) The pharmacology course examination shall cover coursework in general pharmacology, ocular pharmacology, and ocular pharmacology with relevant clinical procedures and shall be given in conjunction with the annual optometrist licensure examination or when otherwise designated by the Board.
(b) The examination fee shall not exceed thirty-five dollars ($35).
(c) The procedure specified in Section 1533 will be used for requests to inspect examination papers or to appeal examination scores.
NOTE

Authority cited: Section 3153, Business and Professions Code. Reference: Sections 3041.1 and 3041.2, Business and Professions Code; Sections 1560, 1561 and 1562, California Administrative Code.
HISTORY

1. Amendment of subsection (b) filed 2-2-79; effective thirtieth day thereafter (Register 79, No. 5).
Article 9. Application Processing Timelines
§1564. Review of Optometrist Applications; Processing Time.
Note     •     History

(a) The Board shall inform in writing an applicant for licensure as an optometrist within 45 days of receipt of the application whether the application is complete and accepted for filing or is deficient and what specific information is required.
(b) The Board shall inform in writing an applicant for licensure as an optometrist within 120 days after completion of the application, of its decision whether the applicant meets the requirements for licensure. “Completion of the application” means that a completed application form together with all required information, documentation and fees have been filed by the applicant (This period may be extended by that time necessary for retaking or rescheduling an examination or if the applicant is delayed in obtaining or completing any required professional experience or clinical training.)
(c) The minimum, median and maximum processing times for an application for licensure as an optometrist from the time of receipt of the initial application until the Board makes a final decision on the application are:
(1) Minimum--1 day
(2) Median--30 days
(3) Maximum--120 days
(These processing times apply to those applicants who take and pass the first available licensing examination.)
NOTE

Authority cited: Section 3025, Business and Professions Code; and Section 15376, Government Code. Reference: Section 15376, Government Code.
HISTORY

1. New Article 9 (Sections 1564 and 1564.1) filed 8-9-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 32).
§1564.1. Review of Fictitious Name Permit Applications; Processing Time.
Note

(a) The Board shall in writing inform an applicant for a permit for a fictitious name within 45 days from receipt of the application whether the application is complete and accepted for filing or is deficient and what specific information is required.
(b) The Board shall inform in writing an applicant for a permit for a fictitious name within 120 days after completion of the application, of its decision whether the applicant meets the requirements for a fictitious name permit. “Completion of the application” means that a completed application form together with all required information, documentation and fees have been filed by the applicant.
(c) The minimum, median and maximum processing times for a fictitious name permit from the time of receipt of the initial application until the Board makes a final decision on the application are:
(1) Minimum--7 days
(2) Median--30 days
(3) Maximum--120 days
NOTE

Authority cited: Section 3025, Business and Professions Code; and Section 15376, Government Code. Reference: Section 15376, Government Code. 
Article 10. Prescriptions
§1565. Prescription Standards: Information Required.
Note     •     History

(a) Any prescription or order by an optometrist comprising written specifications for ophthalmic lenses pursuant to an eye examination must contain the following minimal information: name, address, telephone number and license number of the issuing optometrist; his/her signature; issue date and expiration date; and patient's name.
NOTE

Authority cited: Sections 3025 and 3025.5, Business and Professions Code. Reference: Sections 3025.5 and 3041, Business and Professions Code.
HISTORY

1. New section filed 2-21-89; operative 3-23-89 (Register 89, No. 10).
§1566. Release of Prescriptions: Notice Required.
Note     •     History

At each office there shall be posted in a conspicuous place a notice which shall clearly state the legal requirements regarding the release of all corrective lens prescriptions and such notice shall at a minimum contain the following information:

CONSUMER NOTICE
Eye doctors are required to provide patients with a copy of their ophthalmic lens prescriptions as follows:
 · Spectacle prescriptions: Release upon completion of exam.
 · Contact lens prescriptions: Release upon completion of exam or upon completion of the fitting process.
NOTE

Authority cited: Sections 3025, 3025.5 and 3090, Business and Professions Code. Reference: Sections 2541.2, 3025, 3025.5 and 3090, Business and Professions Code; and Title 16 CFR 315.3, 456.1 and 456.2.
HISTORY

1. New section filed 3-15-94; operative 4-14-94 (Register 94, No. 11).
2. Amendment of section and Note filed 3-10-2006; operative 4-9-2006 (Register 2006, No. 10).
§1566.1. Consumer Information.
Note     •     History

The “CONSUMER NOTICE” specified in Section 1566 shall also contain the following consumer information:
The practice of optometry in California is regulated by the Board of Optometry. The Board of Optometry receives and investigates all consumer complaints involving the practice of optometry. Complaints or grievances involving a California-licensed optometrist, should be directed to:

BOARD OF OPTOMETRY
DEPARTMENT OF CONSUMER AFFAIRS
2420 DEL PASO ROAD, SUITE 255
SACRAMENTO, CA 95834
PHONE: 1-866-585-2666 OR (916) 575-7170
EMAIL: OPTOMETRY@DCA.CA.GOV
INTERNET: WWW.OPTOMETRY.CA.GOV
NOTE

Authority cited: Section 3025, Business and Professions Code. Reference: Section 3025.5, Business and Professions Code.
HISTORY

1. New section filed 8-12-99; operative 9-11-99 (Register 99, No. 33). 
2. Amendment filed 3-10-2006; operative 4-9-2006 (Register 2006, No. 10).
Article 11. Therapeutic Pharmaceutical Agents
§1567. Definitions.
Note     •     History

As used in this Article:
(a) “Infectious” means a type of lesion suspected to be caused by a pathogen.
(b) “NBEO” is the acronym for the National Board of Examiners in Optometry.
(c) “Peripheral Infectious Corneal Ulcers” means those infectious corneal ulcers limited to the area of the eye that lies outside the central 5mm diameter of the cornea.
(d) “Preceptorship service” means 65 hours of training in the diagnosis and treatment of ocular, systemic disease completed in no less than two months nor more than one year in one or more ophthalmologist's office(s) or optometric clinic(s). Preceptor's service shall be authorized by an accredited optometry school or college or recognized ophthalmological residency review committee in California. Preceptors shall be California-licensed ophthalmologists certified by the American Board of Medical Specialties and must be in good standing with the Medical Board of California.
(e) “Referral” means the primary responsibility for the treatment of a patient is transferred from the TPA optometrist to a consulting ophthalmologist.
(f) “Therapeutic Pharmaceutical Agents” includes mydriatics, cycloplegics, anesthetics, agents used for the reversal of mydriasis, topical lubricants, topical antiallergy agents, topical steroidal antiallergy agents, topical nonsteroidal and steroidal antiinflammatories, topical antibiotic agents, topical hyperosmotics, topical antiglaucoma agents (use pursuant to the certification process defined in Business and Professions Code section 3041, subdivision (f)), oral antihistaminines, prescription oral nonsteroidal antiinflammatory agents, oral antibiotics limited to tetracyclines, dicloxacillin, amoxicillin, amoxicillin with clavulanate, erythromycin, clarythromycin, cephalexin, cephadroxil, cefaclor, trimethoprim with sulfamethoxazole, ciprofloxacin, and azithromycin (use limited to the eyelid infection and chlamydial disease, topical antiviral medication and oral acyclovir) use specified in Business and Professions Code section 3041, subdivision (c)(12), non-controlled substance oral analgesics, codeine with compounds and hydrocodone with compounds (use limited to three days) and topical miotics for diagnostic purposes and nonprescription medications.
(g) “TMOD” is the acronym for the “Treatment and Management of Ocular Disease” examination administered by the National Board of Examiners in Optometry. Passage of this examination is mandatory for certain TPA certification applicants.
(h) “TPA” is the acronym for Therapeutic Pharmaceutical Agents.
(i) “TPA certified optometrist” means a California licensed optometrist who has met all of the requirements for certification set forth by the State Board of Optometry to use Therapeutic Pharmaceutical Agents in his or her optometric practice.
(j) “Treat” means the use of therapeutic pharmaceutical agents, as described in Business and Professions Code section 3041, subdivision (c), and the procedures described in subdivision (e).
(k) “Approval” means to certify  a TPA certified optometrist to perform lacrimal irrigation and dilation of patients over the age of 12 years pursuant to Business and Professions Code section 3041, subdivision (e)(6).
NOTE

Authority cited: Sections 3025, 3025.5 and 3041.2, Business and Professions Code. Reference: Sections 3027.5, 3041, 3041.1, 3041.3, 3059, 3096.5, 3108, 3109, 3152.5, 4033, 4036, 4051 and 4052, Business and Professions Code.
HISTORY

1. New article 11 (sections 1567-1570) and section filed 7-7-97; operative 8-6-97 (Register 97, No. 28).
2. Amendment of subsection (e) and new subsections (j)-(k) filed 12-20-2004; operative 1-19-2005 (Register 2004, No. 52).
§1568. Therapeutic Pharmaceutical Agents Usage--Purpose and Requirements.
Note     •     History

Only those optometrists meeting the requirements of this Article may apply for TPA Certification to use Therapeutic Pharmaceutical Agents. The Application for TPA Certification (Form TPA-1 Rev. 4/96), which is hereby incorporated by reference, may be obtained from the Board's Headquarters office. Requirements for TPA certification are as follows:
(a) If the applicant is licensed to practice optometry in California and graduated from an accredited school of optometry prior to January 1, 1992:
(1) Completion of an 80-hour TPA didactic course provided either by the University of California at Berkeley School of Optometry or the Southern California College of Optometry or recognized ophthalmological residency review committee or at an accredited school or college located outside of California as provided in Section 1570 in this Article.
(2) Pass the examination given at the conclusion of the TPA course.
(3) Pass the TMOD component of the NBEO administered after July 1, 1992.
(4) Complete 20 hours of self directed study in the treatment and management of ocular, systemic disease.
(5) Complete a 65-hour preceptorship service as defined in Section 1567 in this Article.
(b) If the applicant is a licensed optometrist in California and graduated from an accredited school of optometry after January 1, 1992 but before January 1, 1996:
(1) Complete 20 hours of self directed study in the treatment and management of ocular, systemic disease.
(2) Complete a 65-hour preceptorship service as defined in Section 1567 in this Article.
(c) If the applicant is a graduate from an accredited school of optometry after January 1, 1996:
(1) Obtain a California optometrist license.
(2) Be certified by an accredited school of optometry that the applicant is competent in the diagnosis, treatment, and management of ocular, systemic disease.
(3) Be certified by an accredited school of optometry that the applicant has completed 10 hours of experience with an ophthalmologist.
(d) If the applicant is licensed outside California and graduated from an accredited school of optometry before January 1, 1992:
(1) Obtain a California optometrist license.
(2) Completion of an 80-hour TPA didactic course provided either by University of California at Berkeley School of Optometry or Southern California College of Optometry or recognized ophthalmological residency review committee or at an out-of-state school as provided in Section 1570 in this Article.
(3) Pass the examination given at the conclusion of the TPA course.
(4) Pass the TMOD component of the NBEO administered after July 1, 1992.
(5) Complete 20 hours of self directed study in the treatment and management of ocular, systemic disease.
(6) Complete a 65-hour preceptorship service as defined in Section 1567 in this Article.
(e) If the applicant is licensed outside California and graduated from an accredited school of optometry after January 1, 1992 but prior to January 1, 1996:
(1) Obtain a California optometrist license.
(2) Complete 20 hours of self directed study in the treatment and of management of ocular, systemic disease.
(3) Complete a 65-hour preceptorship service as defined in Section 1567 in this Article.
(f) If the applicant is licensed in a state outside of California, graduated from an accredited school of optometry prior to January 1, 1992 and has practiced in that state, or on a reservation or a facility supported and maintained by the United States government with a TPA license:
(1) Obtain a California optometrist license.
(2) Pass the TMOD component of the NBEO administered after July 1, 1992.
(3) Complete a 65-hour preceptorship service as defined in Section 1567 in this Article.
(g) If the applicant is licensed in a state outside of California, graduated from an accredited school of optometry after January 1, 1992 but before January 1, 1996 and has practiced in that state or on a reservation or a facility supported and maintained by the United States government with a TPA license:
(1) Complete 20 hours of self directed study in the treatment and of management of ocular, systemic disease.
(2) Complete a 65-hour preceptorship service as defined in Section 1567 in this Article.
(h) All TPA certified optometrists pursuant to this Article must complete 50 hours of continuing education in order to renew licensure. Thirty-five of the required hours shall be in the diagnosis, treatment and management of ocular, and systemic disease consistent with Business and Professions Code section 3059, subdivision (f).
(i) If the applicant is licensed in a state outside of California and requests that the 65-hour preceptorship service requirement contained in subdivisions (e), (f) and (g) be waived based on their optometric practice experience using TPA in another state, the Board, as authorized under Business and Professions Code Section 3041.3(d)(1), shall deem the experience as equivalent to the 65-hour preceptorship service required in California provided the following conditions are met:
1. Applicant is licensed in good standing in their state of licensure.
2. Applicant has graduated from an accredited school of optometry before January 1, 1996.
3. Applicant has met the requirements to treat with therapeutic pharmaceutical agents in their state of licensure.
4. Applicant has been practicing optometry in their state of licensure using therapeutic pharmaceutical agents for 5 continuous years immediately preceding the submission of their application.
NOTE

Authority cited: Sections 3025 and 3041.2, Business and Professions Code. Reference: Sections 3041.3 and 3059, Business and Professions Code.
HISTORY

1. New section filed 7-7-97; operative 8-6-97 (Register 97, No. 28).
2. Amendment of subsection (h) filed 12-20-2004; operative 1-19-2005 (Register 2004, No. 52).
3. New subsection (i) and amendment of Note filed 7-3-2008; operative 7-3-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 27). 
§1569. Scope of Practice. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 3025 and 3041.2, Business and Professions Code. Reference: Sections 2266, 3027.5, 3041, 3041.1, 3108 and 3109, Business and Professions Code.
HISTORY

1. New section filed 7-7-97; operative 8-6-97 (Register 97, No. 28).
2. Amendment filed 12-20-2004; operative 1-19-2005 (Register 2004, No. 52).
3. Repealer filed 7-21-2010; operative 8-20-2010 (Register 2010, No. 30).
§1570. Educational Equivalency.
Note     •     History

Didactic courses at the following schools and colleges of optometry shall be considered  equivalent to those given in California:

(a)	University of Alabama at Birmingham
	School of Optometry
	Birmingham, Alabama

(b)	University of Waterloo
	School of Optometry
	Ontario, Canada

(c)	Nova Southeastern University
	College of Optometry
	North Miami Beach, Florida

(d)	Illinois College of Optometry
	Chicago, IL

(e)	Indiana University
	School of Optometry
	Bloomington, Indiana

(f)	New England College of Optometry
	Boston, Massachusetts

(g)	Ferris State University
	College of Optometry
	Big Rapids, Michigan

(h)	University of Missouri
	School of Optometry
	St. Louis, Missouri

(i)	State University of New York
	State College of Optometry
	New York, New York

(j)	The Ohio State University
	College of Optometry
	Columbus, Ohio

(k)	Northeastern State University
	College of Optometry
	Tahlequah, Oklahoma

(l)	Pacific University
	College of Optometry
	Forest Grove, Oregon

(m)	Pennsylvania College of Optometry
	Philadelphia, Pennsylvania

(n)	Southern College of Optometry
	Memphis, Tennessee

(o)	University of Houston
	College of Optometry
	Houston, Texas
NOTE

Authority cited: Sections 3025 and 3041.2, Business and Professions Code. Reference: Sections 3041.1 and 3041.3, Business and Professions Code.
HISTORY

1. New section filed 7-7-97; operative 8-6-97 (Register 97, No. 28).
§1571. Requirements for Glaucoma Certification.
Note     •     History

(a) Only optometrists meeting the requirements of this Article may apply for certification for the treatment of glaucoma as described in subdivision (j) of Section 3041, in patients over 18 years of age. The optometrist shall:
(1) Hold an active license as an optometrist in California in good standing with the State Board of Optometry (Board);
(2) Be certified to use Therapeutic Pharmaceutical Agents (TPA) pursuant to Section 3041.3;
(3) Complete a didactic course of no less than 24 hours in the diagnosis, pharmacological and other treatment and management of glaucoma. The following topics may be covered in the course: 
(A) Anatomy and physiology of glaucoma
(B) Classification of glaucoma
(C) Pharmacology in glaucoma therapy
(D) Diagnosis of glaucoma including risk factors analysis
(E) Medical and surgical treatment
(F) Participant performance assessment; and
(4) Complete a Case Management Requirement where a minimum of 25 individual patients are each prospectively treated for a minimum of 12 consecutive months. For purposes of this section, “treat” means properly evaluating the patient, performing all necessary tests, diagnosing the patient, recognizing the type of glaucoma within a licensee's scope of practice, creating a treatment plan with proposed medications and target pressures, ongoing monitoring and reevaluation of the patient's condition, and making timely referrals to an ophthalmologist when appropriate. The following options may be chosen in any combination to fulfill this requirement:
(A) Case Management Course: Completion of a 16-hour case management course developed cooperatively by the accredited California schools and colleges of optometry and approved by the Board, with at least 15 cases of moderate to advanced complexity. The course may be conducted live, over the Internet, or by use of telemedicine. One hour of the program will be used for a final competency examination. Although the Case Management Course does not involve treatment of patients, completion of the 16-hour Case Management Course is equivalent to prospectively treating 15 individual patients for 12 consecutive months. Therefore, completion of the 16-hour Case Management Course will count as a 15-patient credit towards the Case Management Requirement. The full course must be completed to receive the 15-patient credit. The course must include the following topics/conditions:
1. Presentation of conditions/cases that licensees may treat:
a. All primary open-angle glaucoma;
b. Exfoliation and pigmentary glaucoma.
2. Presentation of conditions/cases that licensees may not treat, but must recognize and refer to the appropriate physician and/or surgeon such as:
a. Pseudoglaucoma with vascular, malignant, or compressive etiologies;
b. Secondary glaucoma;
c. Traumatic glaucoma;
d. Infective or inflammatory glaucoma;
e. Appropriate evaluation and analysis for medical or surgical consultation;
f. In an emergency, if possible, stabilization of acute attack of angle closure and immediate referral of the patient.
(B) Grand Rounds Program: Completion of a 16-hour grand rounds program developed cooperatively by the accredited California schools and colleges of optometry and approved by the Board, wherein participants will evaluate and create a management plan for live patients. Completion of the 16-hour Grand Rounds Program is equivalent to prospectively treating 15 individual patients for 12 consecutive months. Therefore, the 16-hour Grand Rounds Program will count as a 15-patient credit towards the Case Management Requirement. The full program must be completed to receive the 15-patient credit. Patients must be evaluated in person. The program must include the following:
1. Presentation of various patient types such as: glaucoma suspects; narrow angle, primary open angle glaucoma (early, moderate, late); and secondary open angle glaucoma such as pigment dispersion and pseudoexfoliation. Patient data, including but not limited to, visual acuities, intra-ocular pressures, visual fields, imaging, and pachymetry, will be available on-site and presented upon request; 
2. Examination of patients, evaluation of data and test results, and commitment to a tentative diagnosis, treatment, and management plan;
3. Participation in group discussion of the cases with instructor feedback;
4. Attendance of follow-up meetings (within the 16-hour program requirement) where the same or different patients will be reviewed via serial data, including but not limited to visual fields and imaging photos.
(C) Preceptorship Program: Completion of a preceptorship program where each patient must be initially evaluated by the licensee and co-managed with a preceptor. Each patient must be prospectively treated for a minimum of 12 consecutive months. A preceptor for purposes of this section is defined as: 
1. A California licensed, Board certified ophthalmologist in good standing; or
2. A California licensed optometrist in good standing, who has been glaucoma certified for two or more years. 
Preceptors shall confirm the diagnosis and treatment plan, and then approve the therapeutic goals and management plan for each patient. Consultation with the preceptor must occur at appropriate clinical intervals or when the therapeutic goals are not achieved. Clinical data will be exchanged at appropriate intervals determined by the preceptor and the licensee. Telemedicine and electronic exchange of information may be used as agreed upon by the preceptor and the licensee. Each patient that is seen by the optometrist in the program will count as a 1-patient credit towards the Case Management Requirement.
(b) Licensees that are glaucoma certified pursuant to this Section shall be required to complete 10 hours of glaucoma specific optometric continuing education every license renewal period. These 10 hours shall be part of the required 35 hours on the diagnosis, treatment and management of ocular disease.
(c) Licensees who completed their education from an accredited school or college of optometry on or after May 1, 2008, are exempt from the didactic course and case management requirements of this Section, provided they submit proof of graduation from that institution to the Board.
(d) Licensees who graduated from an accredited school or college of optometry prior to May 1, 2000, and who have not completed a didactic course of no less than 24 hours will be required to take the 24-hour course indicated in subsection (a). Licensees who graduated from an accredited school or college of optometry after May 1, 2000, are exempt from the didactic course requirement of this Section.
(e) Licensees who graduated from an accredited school or college of optometry prior to May 1, 2008, and who have taken a didactic course of no less than 24 hours, but not completed the case management requirement under SB 929 [Stats. 2000, ch. 676, §3], will be required to complete the Case Management Requirement indicated in subsection (a).
(f) Licensees who started the process for certification to treat glaucoma under SB 929 [Stats. 2000, ch. 676, §3] but will not complete the requirements by December 31, 2009, may apply all patients who have been co-managed prospectively for at least 12 consecutive months towards the Case Management Requirement indicated in subsection (a). 
NOTE

Authority cited: Sections 3025, 3041, 3041.10 and 3059, Business and Professions Code. Reference: Sections 3041 and 3041.3, Business and Professions Code. 
HISTORY

1. New section filed 12-9-2010; operative 1-8-2011 (Register 2010, No. 50).
Article 12. Enforcement
§1575. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedures Act (Government Code Section 11400 et seq.), the Board of Optometry shall consider the disciplinary guidelines entitled “Disciplinary Guidelines and Model Disciplinary Orders” (DG-3, 5-99) which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the Board in its sole discretion determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Sections 3025 and 3090, Business and Professions Code; and Sections 11400.20 and 11420.21, Government Code. Reference: Section 3090, Business and Professions Code; and Sections 11400.20, 11400.21 and 11425.50(e), Government Code.
HISTORY

1. New article 12 (section 1575) and section filed 7-30-97; operative 7-30-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 31).
2. Amendment of ``Disciplinary Guidelines and Model Disciplinary Orders” (incorporated by reference) and amendment of section filed 4-25-2001; operative 5-25-2001 (Register 2001, No. 17).
Article 12.5. Citations and Fines
§1576. Citations -- Content and Service.
Note     •     History

(a) The executive officer of the board, or his/her designee, may issue a citation which may contain an administrative fine and/or order of abatement against a licensee for any violation of law which would be grounds for discipline or for violation of any regulation adopted by the board pursuant hereto.
(b) Each citation shall be in writing and shall describe, with particularity, the nature and facts of each violation specified in the citation, including a reference to the statute(s) or regulation(s) alleged to have been violated.
(c) The citation may contain an assessment of an administrative fine, an order of abatement fixing a reasonable time for abatement of the violation, or both.
(d) The citation shall inform the cited individual of the right to an informal citation conference concerning the matter and the right to an administrative hearing.
(e) The citation shall be served upon the individual personally, or by certified mail in accordance with the provisions of Section 11505(c) of the Government Code.
NOTE

Authority cited: Sections 125.9, 3025 and 3135, Business and Professions Code. Reference: Sections 125.9 and 3135, Business and Professions Code.
HISTORY

1. New article 12.5 (sections 1576-1581) and section filed 8-17-99; operative 9-16-99 (Register 99, No. 34).
§1577. Citations for Unlicensed Persons.
Note     •     History

The executive officer of the board is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and fines against persons, as defined in Section 125.9 of the Code, who are performing or who have performed services for which a license is required under the statutes and regulations enforced by the Board of Optometry. Each citation issued for unlicensed activity shall be issued in accordance with Section 1578 of these regulations. The provisions of section 1578 shall apply to the issuance of citations for unlicensed activity under this section. The sanction authorized under this section shall be separate from and in addition to any other civil or criminal remedies.
NOTE

Authority cited: Sections 125.9, 148, 3025 and 3135, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 8-17-99; operative 9-16-99 (Register 99, No. 34).
§1578. Citation Factors.
Note     •     History

In assessing an administrative fine or issuing an order of abatement, the executive officer of the board shall give due consideration to the following factors:
(a) The gravity of the violation. If the violation is of such a nature and/or severity that revocation of the license or restrictions on the license are necessary in order to ensure consumer protection, a citation will not be issued.
(b) The good or bad faith exhibited by the cited person.
(c) The history of previous violations of the same or similar nature.
(d) Evidence that the violation was or was not willful.
(e) The extent to which the cited person has cooperated with the board's investigation.
(f) The extent to which the cited person has mitigated or attempted to mitigate any damage or injury caused by the violation.
(g) Any other factors as justice may require.
NOTE

Authority cited: Sections 125.9 and 3025, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 8-17-99; operative 9-16-99 (Register 99, No. 34).
§1579. Citable Offenses.
Note     •     History

(a) The executive officer of the board shall assess fines for citable offenses listed in this section, provided however, in no case shall the total fines exceed $2,500 for each violation. The executive officer shall not impose any duplicate fines for the same violation.
(b) Where citations include an assessment of an administrative fine, they shall be classified according to the nature of the violation and shall indicate the classification on the face.
(c) Class “A” citations involve a person who has engaged in the practice of optometry without a current and valid license, including, but not limited to, acting in the capacity of an optometrist or performing or controlling the practice of optometry as defined in Business and Professions Code section 3041.
A class “A” citation is subject to an administrative fine in an amount not less than one thousand five hundred dollars ($1,500) and not to exceed two thousand five hundred dollars ($2,500) for each violation.
(d) Class “B” citations involve an optometrist who has either:
(1) Violated any statute or regulation which would be grounds for discipline by the Board that has caused non-physical financial harm to a person, or
(2) Has committed a violation that are grounds for issuance of a Class “C” citation and has been issued one or more prior Class “C” citations within the three (3) years immediately preceding the issuance of the citation.
A class “B” citation is subject to an administrative fine in an amount not less than five hundred dollars ($500) and not to exceed two thousand five hundred dollars ($2,500) for each violation.
(e) Class “C” citations involve an optometrist who has violated any statute or regulation which would be grounds for discipline by the Board that did not cause physical or financial harm to a person.
A class “C” citation is subject to an administrative fine in an amount not less than two hundred fifty dollars ($250) and not to exceed two thousand five hundred dollars ($2,500) for each violation.
(f) Notwithstanding the administrative fine amounts specified in subsections (c), (d), and (e), a citation may include a fine between two thousand five hundred and one dollars ($2,501) and five thousand dollars ($5,000) if one or more of the following circumstances apply:
(1) The citation involves a violation that has an immediate relationship to the health and safety of another person;
(2) The cited person has a history of two or more prior citations of the same or similar violations;
(3) The citation involves multiple violations that demonstrate a willful disregard of the law;
(4) The citation involves a violation or violations perpetrated against a senior citizen or disabled person;
(5) The citation involves fraudulent billing submitted to an insurance company, or Medi-Cal or Medi-Care programs;
(g) The sanctions authorized under this section shall be separate from, and in addition to, any other civil or criminal remedies.
NOTE

Authority cited: Sections 125.9, 148, 2545 and 3025, Business and Professions Code. Reference: Sections 125.9, 148 and 2545, Business and Professions Code.
HISTORY

1. New section filed 8-17-99; operative 9-16-99 (Register 99, No. 34).
2. Amendment of section and Note filed 9-26-2006; operative 10-26-2006 (Register 2006, No. 39).
§1580. Compliance with Citation/Order of Abatement.
Note     •     History

(a) If the cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, the cited person may request an extension of time in which to make the correction from the executive officer of the board. Such a request shall be in writing and shall be made within the time set forth for the abatement.
(b) If a citation or order of abatement is not contested, or if the citation is contested and the cited person does not prevail, failure to abate the violation or to pay the assessed fine within the time allowed shall constitute a violation and a failure to comply with the citation or order of abatement.
(c) Failure to comply with an order of abatement or pay an assessed fine may result in disciplinary action being taken by the board or other appropriate judicial action being taken against the cited person.
(d) If a fine is not paid after a citation has become final, the fine shall be added to the cited person's license or registration renewal fee. A license or registration shall not be renewed without payment of the renewal fee and fine.
NOTE

Authority cited: Sections 125.9 and 3025, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 8-17-99; operative 9-16-99 (Register 99, No. 34).
§1581. Contested Citations.
Note     •     History

(a) If a cited person wishes to contest the citation, assessment of the administrative fine, or order of abatement, the cited person shall, within thirty (30) days after service of the citation, file in writing a request for an administrative hearing to the executive officer regarding the acts charged in the citation, as provided for in subdivision (b)(4) of Section 125.9 of the Code.
(b) In addition to, or instead of, requesting an administrative hearing, as provided for in subdivision (b)(4) of Section 125.9 of the Code, the cited person may, within thirty (30) days after service of the citation, contest the citation by submitting a written request for an informal citation conference to the executive officer or his/her designee.
(c) Upon receipt of a written request for an informal citation conference, the executive officer or his/her designee shall, within sixty (60) days, hold an informal citation conference with the cited person. The cited person may be accompanied and represented at the informal citation conference by an attorney or other authorized representative.
(d) If an informal citation conference is held, the request for an administrative hearing shall be deemed to be withdrawn and the executive officer or his/her designee may affirm, modify or dismiss the citation, including any fine levied or order of abatement issued, at the conclusion of the informal citation conference. If affirmed or modified, the citation originally issued shall be considered withdrawn and an affirmed or modified citation, including reason for the decision, shall be issued. The affirmed or modified citation shall be mailed to the cited person and his/her legal counsel, if any, within ten (10) days from the date of the informal citation conference.
(e) If a cited person wishes to contest an affirmed or modified citation, the person shall, within thirty (30) days of his or her notification, file in writing a request for an administrative hearing to the executive officer regarding the acts charged in the affirmed or modified citation, in accordance with subdivision (b)(4) of Section 125.9 of the Code.
NOTE

Authority cited: Sections 125.0 and 3025, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 8-17-99; operative 9-16-99 (Register 99, No. 34).
Division 16. Osteopathic Medical Board of California

(Originally Printed 12-5-46)
Article 1. General Provisions
§1600. Location of Offices.
Note     •     History

The office of the Osteopathic Medical Board of California is located at 2720 Gateway Oaks Drive, Suite 350 Sacramento, California 95833.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Osteopathic Act, Section 1.
HISTORY

1. Repealer of  chapter 16 (sections 1600-1697, not consecutive) and new chapter 16 (sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78; No. 15; 77, No. 21; and 63, No. 25.
2. Amendment filed 9-22-93; operative 10-22-93 (Register 93, No. 39).
3. Change without regulatory effect amending title page, table of contents, and page headings for division 16 filed 5-9-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No 19).
4. Amendment filed 6-4-97; operative 6-4-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 23).
§1602. Definitions.
Note     •     History

As used in the rules and regulations of this chapter:
(a) “Board” means the  Osteopathic Medical Board of California.
(b) “Code” means the California Business and Professions Code.
(c) “Act” means the Osteopathic Act as established as an Initiative Measure, Stats. 1923, p. xciii as subsequently amended and set forth in West's Business and Professions Code Section 3600-1 et seq.
(d) “Executive Director” means the executive and administrative officer appointed by the Board.
(e) The masculine gender includes the feminine, the feminine includes the masculine.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Osteopathic Act, Section 1.
HISTORY

1. Repealer of  chapter 16 (sections 1600-1697, not consecutive) and new chapter 16 (sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment of subsection (a) filed 9-22-93; operative 10-22-93 (Register 93, No. 39).
§1603. Delegation of Certain Functions.
Note     •     History

Except for those powers reserved exclusively to the “agency itself” under the Administrative Procedure Act, Section 11500, et seq. of the Government Code, the Board delegates and confers upon the executive director of the Board all functions necessary to the proper dispatch of the business of the Board in connection with all investigative and administrative proceedings; additionally, authority is hereby delegated to the executive director to issue fictitious names and to register professional corporations.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; Sections 2454 and 3600-1, Business and Professions Code. Reference: Osteopathic Act, Section 1; and Section 2454, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
§1604. Filing of Addresses by Licensees.
Note     •     History

Each person holding a certificate of registration, license, permit or any other authority under any and all laws administered by the Board is hereby directed and required to file with the Board his proper and current mailing address and to report immediately to the Board at its Sacramento office any and all changes of address, giving both his old and his new address.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Profession Code. Reference: Section 2456, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
Article 2. Schools and Colleges of Osteopathic Medicine
§1605. Approved Schools.
Note     •     History

(a) Those medical schools accredited by the Bureau of Professional Education of the American Osteopathic Association shall be deemed to be approved by the Board for the giving of resident professional instruction in medicine.
(b) A current list of such medical schools shall be maintained on file in the Sacramento office of the Board.
(c) Nothing in this section shall be construed to prohibit the Board from disapproving a medical school which does not comply with Code Sections 2089 and 2089.5.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 2084, 2085, 2086 and 3600-1, Business and Professions Code. Reference: Sections 2037, 2084, 2085, 2086, 2089 and 2089.5, Business and Professions Code; and D'Amico vs. Board of Medical Examiners (1974) 11 Cal.3d 1.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
Article 3. Postgraduate Training
§1607. Approved Hospitals.
Note     •     History

Hospitals approved by the Board for postgraduate training shall be all hospitals approved for such training by the Bureau of Hospitals of the American Osteopathic Association, by the Council of Education and Hospitals of the American Medical Association, or by the Board itself.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 2037 and 2089.5, Business and Professions Code; and D'Amico vs. Board of Medical Examiners (1974) 11 Cal.3d 1.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
§1608. Hospitals Disapproved During Postgraduate Training.
Note     •     History

If the approval of a hospital to train osteopathic physicians is suspended or revoked subsequent to the time a physician has entered into an agreement for such training, the physician shall be entitled to complete his or her training at that hospital without disqualification for licensure or other penalty.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 2037 and 2089.5, Business and Professions Code; and D'Amico vs. Board of Medical Examiners (1974) 11 Cal.3d 1.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
§1609. Postgraduate Registration.
Note     •     History

In order to engage in the practice of medicine for a limited period as part of an approved postgraduate training program any graduate student upon whom a degree of Doctor of Osteopathy (D.O.) has been conferred by a school approved by the Board, shall apply for registration (Postgraduate Training Registration OMB.3 Rev.01/92) and upon approval of registration may function within the provisions set forth in Code Section 2065.
The Board shall process the request for registration as set forth in Section 1691.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Section 2065, Business and Professions Code; and Section 15374 et seq., Government Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment filed 1-26-95; operative 1-26-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 4).
Article 4. Physician and Surgeon Applications
§1610. Applications and Refund of Fee.
Note     •     History

(a) All applications (Application for Physician's and Surgeon's Certificate OMB.1 Rev.01/92) for a Physician and Surgeon Certificate shall be accompanied by the appropriate fees set forth in Section 1690. 
(b) An application shall be denied without prejudice and the applicant shall be refunded whatever fee is due as set forth by Section 1690 when an applicant's credentials are insufficient.
(c) Applications shall be valid for one (1) year. 
(d) The processing times for original Physicians and Surgeons applications are set forth in Section 1691. 
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 2099.5, 2154 and 2455, Business and Professions Code. 
HISTORY

1. Repealer of chapter 16 (sections 1600-1697, not consecutive) and new chapter 16 (sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment of subsections (b) and (d) filed 9-28-90; operative 10-28-90 (Register 90, No. 45).
3. Amendment of subsections (a), (b), and (f) filed 1-26-95; operative 1-26-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 4).
4. Change without regulatory effect amending subsection (b) filed 11-25-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 48).
§1611. Credentials.
Note     •     History

(a) Diploma. A photocopy of a diploma from an approved school of osteopathic medicine or other proof of having received a diploma shall be furnished by the applicant for permanent filing with the Board.
(b) Transcript of Grades. A certified transcript from osteopathic college shall be requested by the applicant and mailed directly from the school to the Board's office.
(c) Internship Certificate. A photocopy of an internship certificate from an approved hospital shall be furnished by the applicant for permanent filing with the Board if internship was completed prior to July 1990.
(d) Written Examination Results. The certified results of the National Board of Osteopathic Medical Examiners, Inc. (NBOME) or Federation Licensing Examination (FLEX) when applicable, or other State's written examination results shall be submitted to the board and must be sent directly from the certifier.
(e) First Year Postgraduate Training. The first year postgraduate training form (Certificate of Completion of Accreditation Council for Graduate Medical Education (ACGME) Postgraduate Training or American Osteopathic Association (AOA) Rotating Internship OMB.3.1 Rev. 04/00), shall be certified and submitted directly from the Director of Medical Education to the Board.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 2082, 2096, 2099.5 and 2154, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment of subsections (c) and (d), new subsection (e) and amendment of Note filed 3-20-2001; operative 4-19-2001 (Register 2001, No. 12).
§1612. Evidence of Professional Responsibility.
Note     •     History

All applicants shall be required to present evidence as to professional responsibility. Such evidence shall consist of any and all instances wherein the applicant was a party to litigation relating to his professional conduct or was subject to professional disciplinary action. The applicant shall note all such instances with explanatory statements on the application.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 475, 480 and 2154, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
§1613. Photo and Fingerprint Requirements.
Note     •     History

(a) Photos. Two (2) photographs shall be submitted to the Board along with the application. They should be approximately 3” x 4” and taken within the last sixty (60) days (head and shoulders). Proof photos or negatives are not acceptable. All photos shall be signed by the applicant across the base of the photo.
(b) All applications for licensure shall include two sets of original certified fingerprints of the applicant or proof of completion of livescan fingerprinting.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 2082, 2099.5 and 2154, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment of subsection (b) filed 3-20-2001; operative 4-19-2001 (Register 2001, No. 12).
Article 5. Reciprocity Licensure
§1615. Applications.
Note     •     History

(a) In addition to the requirements set forth in article 4, an applicant for licensure on the basis of reciprocity shall submit a certified copy of his/her original license. 
(b) An applicant for reciprocity licensure shall be denied without prejudice and the applicant shall be refunded whatever fee is due as set forth by section 1690 when an applicant's credentials are insufficient. 
(c) No such application shall receive approval if a pattern of negligence or incompetence is demonstrated by adverse judgments or settlements resulting from the practice of medicine. 
(d) The processing times for reciprocity licensure are set forth in section 1691. 
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 2154 and 2455, Business and Professions Code. 
HISTORY

1. Repealer of chapter 16 (sections 1600-1697, not consecutive) and new chapter 16 (sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25. 
2. Amendment of subsection (b) filed 9-28-90; operative 10-28-90 (Register 90, No. 45).
3. Change without regulatory effect amending subsection (b) filed 11-25-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 48).
Article 6. Examinations
§1620. Written Examination for Original Licensure.
Note     •     History

A successfully completed written examination is required of all applicants.
The written examination may be:
(a) The National Board of Osteopathic Medical Examiners (National Boards) Parts I, II, and III;
(b) National Boards Parts I and II with the Federation Licensing Examination (FLEX) if taken prior to December 31, 1993 for Part III of the National Boards.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; Sections 3600-1, and 2452, Business and Professions Code. Reference: Sections 2099.5, 2183, 2184 and 2435 Business and Professions Code, and D'Amico vs. Board of Medical Examiners (1974) 11 Cal.3d 1.
HISTORY

1. Repealer of chapter 16 (sections 1600-1697, not consecutive) and new chapter 16 (sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment of subsection (a)-(a)(2) filed 9-22-93; operative 10-22-93 (Register 93, No. 39).
3. Amendment filed 3-20-2001; operative 4-19-2001 (Register 2001, No. 12).
§1621. Written Examination for Reciprocity Licensure.
Note     •     History

(a) Any state which requires National Board Parts I, II, and III as their written examination for licensure is approved and acceptable to this Board for reciprocity licensure. Any other State written examination shall be considered for approval and acceptance by the Board on a case by case basis.
(b) In lieu of an approved state written examination, the Board will accept National Boards Parts I, II, and III, or National Boards Parts I and II and the Federation of State Medical Boards Licensing Examination (FLEX) substituted for Part III. The Board will also accept the Comprehensive Osteopathic Medical Variable Purpose Examination for the United States of America (COMVEX-USA).
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Section 2154, Business and Professions Code and D'Amico vs. Board of Medical Examiners (1974) 11 Cal.3d 1.
HISTORY

1. Repealer of  chapter 16 (sections 1600-1697, not consecutive) and new chapter 16 (sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Repealer of subsection (a), renumbering and amendment of subsection (b) to subsection (a), and new subsection (b) filed 9-22-89; operative 10-22-89 (Register 89, No. 39).
3. Amendment of subsection (b) and Note filed 9-22-93; operative 10-22-93 (Register 93, No. 39).
4. Amendment of subsection (b) filed 3-20-2001; operative 4-19-2001 (Register 2001, No. 12).
§1622. Oral/Practical Examinations.
Note     •     History

NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 2099.5, 2154, 2451, 2452 and 2455, Business and Professions Code; and D'Amico vs. Board of Medical Examiners (1974) 11 Cal.3d 1.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Change without regulatory effect repealing section filed 11-25-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 48).
§1623. Appeals.
Note     •     History

(a) Upon notification of failure of the examination, an applicant may request, in writing, a summary of the reasons for the applicant's failure of the examination. The summary shall be sent to the applicant by the Executive Director.
(b) The applicant, upon receipt of this summary may further request in writing that the Board hear an appeal of the results of the examination. Written request should state in clear language the applicant's reasons why the Board should hear such appeal.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 2099.5, 2154, 2451, 2452 and 2455, Business and Professions Code; and D'Amico vs. Board of Medical Examiners (1974) 11 Cal.3d 1.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
Article 7. Certificates
§1625. Form of Certificates.
Note     •     History

The Board shall prescribe the form of each certificate it issues. All certificates shall be issued in numerical order.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Section 2452, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
§1626. Duplicate Certificates.
Note     •     History

A duplicate certificate shall be issued to any licensee who pays the required fee as set forth in Section 1690 and files an affidavit certifying to loss or destruction of the original certificate The duplicate shall bear the same number and date as the original certificate and bear the word “Duplicate.”
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 2432, 2435 and 2452, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
§1627. Change of Name.
Note     •     History

(a) Each licensee whose name has been changed by marriage may request a corrected certificate. Whenever the name of the licensee has been changed by court order, a certified copy of the court record authorizing the change of name shall be attached to the request. In either instance the original certificate of such licensee shall be returned to the office of the Board so that endorsement of change of name may be made on the face of the certificate and on the records of the Board. The name of a licensee cannot be changed in any other manner or for any other cause or reason other than as stated herein. Where an individual is using his true surname, he may use any of the combinations of names or initials of his given name that he may choose.
(b) The request for a name change certificate shall be accompanied by the fee set forth in Section 1690.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 2435 and 2452, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
§1628. Certification of Credentials to Another State.
Note     •     History

Any application filed by a California licensee for certification of credentials to another state medical or osteopathic licensing board for the purpose of reciprocity licensure shall: 
(a) be accompanied by a photograph of the applicant taken within sixty (60) days prior to filing the application which is acknowledged by a notary public.
(b) be verified by the applicant before his credentials will be certified.
(c) be accompanied by the certification fee set forth in Section 1690.
(d) The processing times for certification of credentials are set forth in Section 1691.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 2433, 2435 and 2452, Business and Professions Code; and Section 15374 et seq., Government Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
Article 8. Active Practice Requirements
§1630. Good Standing Requirements.
Note     •     History

(a) In order to practice in good standing in California all licensees shall practice in a professional manner and shall comply with both the Continuing Medical Education (CME) Rules set forth in Article 9 and pay the tax and registration fees as set forth in Section 1690.
(b) The tax and registration fee shall be due biennially on or before the last day of the birth month of the licensee. The failure to pay the fee by the licensee's due date will result in the assessment of a delinquent fee as set forth in Section 1690.
(c) The processing times for renewal are set forth in Section 1691.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 2456.1 and 3600-1, Business and Professions Code. Reference: Sections 2190, 2456 and 2456.1, Business and Professions Code; and Section 15374 et seq., Government Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment of subsection (b) filed 6-7-88; operative 7-7-88 (Register 88, No. 25).
3. Amendment of section and Note filed 1-26-95; operative 1-26-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 4).
§1633. Minimum Standards for Infection Control.
Note     •     History

(a) Licensees shall follow the recommendations and the precautions set forth below, hereby incorporated by reference, in order to minimize the transmission of bloodborne pathogens in health care settings. Adherence to these recommendations shall constitute the minimum standard of infection control.
(1) “Recommendations for Preventing Transmission of Human Immunodeficiency Virus and Hepatitis B Virus to patients During Exposure-Prone Invasive Procedures” from the U.S. Centers for Disease Control Morbidity and Mortality Weekly Report, July 12, 1991, Vol.40, No.RR-8.
(2) “Update: Universal Precautions for Prevention of Transmission of Human Immunodeficiency Virus, Hepatitis B Virus and Other Bloodborne Pathogens in Health-Care Settings” from the U.S. Centers for Disease Control Morbidity and Mortality Weekly Report, June 24, 1988, Vol.37, No.24, pp.377-382, 387-388.
(3) “Recommendations for Prevention of HIV Transmission in Health-Care Settings” from the U.S. Centers for Disease Control Morbidity and Mortality Weekly Report, August 21, 1987, Vol.36, No.2S.
(4) “Guidelines for Preventing the Transmission of Bloodborne Pathogens in Health Care Settings” from California Department of Health Services, May 1993.
(b) In instances of conflict between differing Centers for Disease Control recommended infection control practices, in publications (1), (2) or (3) above, the most recent recommendation will prevail.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p.xciii), Business and Professions Code. Reference: Section 2221.1, Business and Professions Code.
HISTORY

1. New section filed 1-26-95; operative 1-26-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 4).
Article 9. Continuing Medical Education
§1635. Required Continuing Medical Education (CME).
Note     •     History

(a) Each physician submitting the tax and registration fee shall submit satisfactory proof to the Board of ongoing compliance with the provisions of this article at the times specified herein. 
(b) Commencing January 1, 1989, a physician shall complete 150 hours within a three-year period to satisfy the CME requirement; this three-year period is defined as the “CME requirement period.” 
(c) The requirement of 150 hours during the three-year CME requirement period shall include a minimum of 60 hours of CME in Category 1-A or 1-B defined by the American Osteopathic Association (AOA). The balance of the CME requirement of 90 hours may consist of CME as defined by either the American Osteopathic Association (AOA) or the American Medical Association (AMA) and may be completed within the entire three-year CME requirement period. 
(d) Effective January 1, 1989, the three-year CME period shall commence for those licensed on or before January 1, 1989. Those licensed subsequent to January 1, 1989 shall commence their three-year CME requirement period on a prorata basis commencing the first full calendar year subsequent to initial licensure. Subsequent three-year periods shall not include CME earned during a preceding three-year requirement period. 
(e) Category 1-A, or other CME is defined by the American Osteopathic Association (AOA), set forth in the American Osteopathic Association's “Continuing Medical Education Guide,” and is hereby incorporated by reference and can be obtained from the AOA at 142 E. Ontario Street, Chicago, IL 60611; it is published once every three years by the AOA most recently in 1992. Category 1 defined by the American Medical Association is set forth in “Physicians Recognition Award Information Booklet,” and is hereby incorporated by reference and can be obtained from the American Medical Association, 515 North State Street, Chicago, IL 60610; it is published on an occasional basis by the AMA, most recently in January, 1986. 
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 2454.5 and 3600-1, Business and Professions Code. Reference: Section 2454.5, Business and Professions Code. 
HISTORY

1. Repealer of chapter 16 (sections 1600-1697, not consecutive) and new chapter 16 (sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment of subsections (b), (c), (d) and (e) filed 9-28-90; operative 10-28-90 (Register 90, No. 45).
3. Amendment of subsections (c) and (e) filed 3-23-94; operative 4-22-94 (Register 94, No. 12).
4. Amendment of subsections (a), (e) and Note filed 1-26-95; operative 1-26-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 4).
§1636. Continuing Medical Education Progress Report.
Note     •     History

Physicians shall report the total number of continuing medical education (CME) hours to the Board with the renewal application. This may be accomplished by:
(a) The physician sending the Board a copy of their computer printout of CME activity as compiled from documents submitted to the AOA Division of Continuing Medical Education by both sponsors and the physician (Individual Activity Report) which will list the amount of CME credit hours, or
(b) Sending the Board copies of any certificates given for the CME credit hours of attendance at any program approved by the Board, or
(c) Reports from any program approved by the Board, to be furnished by the physician, showing his CME credit hours of attendance hours as verified by the program organizer.
(d) CME categories are defined by Section 1635(e).
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 2190 and 2452, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment of first paragraph, subsection (a) and Note filed 1-26-95; operative 1-26-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 4).
§1637. Waiver of Requirement.
Note     •     History

(a) Upon submittal of an application for waiver of continuing medical education requirements, the Board may, at its discretion, waive any of the requirements outlined in this Article for reasons of health, military service, or undue hardship.
(b) Applications for waivers must be submitted on an annual basis to the Board for consideration.
(c) The processing times for CME waivers are set forth in Section 1691.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 2190 and 2452, Business and Professions Code and Section 15374 et seq., Government Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
§1638. CME Requirement for Inactive Certificate.
Note     •     History

(a) The holder of an inactive certificate is exempt from CME requirements. 
(b) In order to restore a certificate to active status the licensee shall have completed a minimum of 20 hours Category 1-A as defined by the American Osteopathic Association (AOA) during the 12-month period immediately preceding the licensee's application for restoration. 
(c) CME categories are defined by section 1635(e). 
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 2454.5 and 3600-1, Business and Professions Code. Reference: Sections 704 and 2454.5, Business and Professions Code. 
HISTORY

1. Repealer of chapter 16 (sections 1600-1697, not consecutive) and new chapter 16 (sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment of subsection (b) filed 9-28-90; operative 10-28-90 (Register 90, No. 45).
§1639. Approved Continuing Medical Education.
Note     •     History

The following CME programs are approved for credit:
(a) Those programs certified by the American Osteopathic Association (AOA) as Category I and II credit and those certified by the American Medical Association (AMA) as Category I.
(b) Those programs which qualify for prescribed credit from the AOA specialty groups.
(c) Those programs meeting the criteria set forth in Section 1640 and offered by other organizations and institutions.
(d) CME categories are defined by Section 1635(e).
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 2190, and 2452, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
§1640. Criteria for Approval of CME Programs.
Note     •     History

(a) Each program in which a licensee participates shall be administered in a responsible, professional manner.
(b) Programs referred to in Section 1639(c) shall be measured on a clock-hour to clock-hour basis and shall meet the following criteria in order to be approved by the Board:
(1) Faculty: The program organizer shall have a faculty appointment in an educational institution accredited or approved pursuant to Education Code Section 94310 or 94312, or be qualified in other specialized fields directly related to the practice of medicine. The curriculum vitae of all faculty members and organizers shall be kept on file by the program organizer.
(2) Rationale: The need for the program and how the need was determined shall be clearly stated and maintained on file by the program organizer.
(3) Program Content: Program content shall be directly related to patient care, community or public health.
(4) Educational Objectives: Each program shall clearly state educational objectives that can be realistically accomplished within the framework of the program.
(5) Method of Instruction: Teaching methods for each program shall be described, e.g., lecture, seminar, audio-visual, simulation, workshops or other acceptable modalities.
(6) Evaluation: Each program shall include an evaluation method which documents that educational objectives have been met, e.g., written evaluation by each participant (questionnaire).
(7) Course organizers shall maintain a record of attendance of each participant.
(c) The Board will randomly audit courses or programs submitted for credit in addition to any course or program for which a complaint is received. If an audit is made, course organizers will be asked to submit to the Board:
(1) Organizer(s) faculty curriculum vitae;
(2) Rationale for course;
(3) Course content;
(4) Educational objectives;
(5) Teaching methods;
(6) Evidence of evaluation;
(7) Attendance records.
(d) Credit toward the required hours of continuing education will not be received for any course deemed unacceptable by the Board after an audit has been made pursuant to this section.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 2190 and 2452, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
§1641. Sanctions for Noncompliance.
Note     •     History

(a) Any physician who has not completed 150 hours of approved CME or the prorated share pursuant to Section 1635(d) during the three-year CME requirement period will be required to make up any deficiency unless a waiver is obtained pursuant to Section 1637. Any physician who fails to complete the deficient hours shall be ineligible for renewal of his or her license to practice medicine until such time as the deficient hours of CME are documented to the Board. 
(b) It shall constitute unprofessional conduct and grounds for disciplinary action including the filing of an accusation, for any physician to misrepresent his or her compliance with the provisions of this article or who fails to comply with the provisions of this article.
(c) Each physician shall retain records for a minimum of four years of all CME programs attended which indicate the title of the course or program attended, dates of attendance, the length of the course or program, the sponsoring organization and the accrediting organization, if any. 
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 2454.5 and 3600-1, Business and Profession Code. Reference: Section 2454.5, Business and Professions Code. 
HISTORY

1. Repealer of chapter 16 (sections 1600-1697, not consecutive) and new chapter 16 (sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment of subsection (a) filed 9-28-90; operative 10-28-90 (Register 90, No. 45).
3. Amendment of subsection (a) filed 3-23-94; operative 4-22-94 (Register 94, No. 12).
4. Amendment of subsection (a) filed 1-26-95; operative 1-26-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 4).
Article 10. Inactive Practice
§1645. Scope of Practice.
Note     •     History

(a) The purpose of an inactive certificate is to enable an individual to maintain licensure as a physician and surgeon in a non-practicing status; as such, an inactive certificate holder shall not engage in the practice of a physician and surgeon in the State of California.
(b) The holder of an inactive certificate need not comply with the continuing medical education requirements established by the Board.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 701, 704 and 2452, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
§1646. Procedure for Obtaining an Inactive Certificate or for Restoration to Active Status.
Note     •     History

(a) Any physician and surgeon desiring an inactive certificate shall submit an application to the Board (License Renewal OMB.2 or OMB.2a Rev.11/94).
(b) In order to restore an inactive certificate to an active status, the licensee shall have completed a minimum of 20 hours of Category 1-A CME as defined by the American Osteopathic Association (AOA) during the preceding 12-month period and pay the fee set forth in Section 1690.
(c) The inactive status of a certificate holder shall not deprive the Board of its authority to institute or continue a disciplinary proceeding against the licensee on any ground provided by law or to enter an order suspending or revoking the certificate or otherwise taking disciplinary action against the licensee on any ground.
(d) CME categories are defined by Section 1635(e).
(e) The processing times for obtaining an inactive certificate or reactivating an inactive certificate to active status are set forth in Section 1691.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p, xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 701, 704 and 2454.5, Business and Professions Code. 
HISTORY

1. Repealer of chapter 16 (sections 1600-1697, not consecutive) and new chapter 16 (sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment of subsections (b) and (e) filed 9-28-90; operative 10-28-90 (Register 90, No. 45).
3. Amendment of subsections (a), (b), (d) and (e) filed 1-26-95; operative 1-26-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 4).
§1647. Issuance, Renewal and Fees.
Note     •     History

(a) An inactive certificate shall be issued upon payment of the normal biennial renewal fee as set forth in Section 1690.
(b) An inactive certificate shall be renewed biennially on the last day of the birth month of the licensee.
(c) The processing times for the biennial renewal of an inactive certificate are set forth in Section 1691.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 2456.1 and 3600-1, Business and Professions Code. Reference: Sections 703, 2456 and 2456.1, Business and Professions Code; Section 15374 et seq., Government Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment of subsection (b) filed 6-7-88; operative 7-7-88 (Register 88, No. 25).
3. Amendment filed 1-26-95; operative 1-26-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 4).
Article 11. Restoration of Certificate
§1650. Applications for Restoration of Forfeited Certificates.
Note     •     History

All applications for restoration of certificates forfeited for failure to pay the biennial tax and registration fee (Affidavit for Reactivation of California License OMB.9 Rev.01/92) shall include the biennial tax and registration fee and delinquent tax and registration fee set forth in Section 1690. The processing times for the restoration of a forfeited certificate are set forth in Section 1691.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 2427, 2455 and 2457, Business and Professions Code; and Section 15374 et seq., Government Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78; No. 15; 77, No. 21; and 63, No. 25.
2. Amendment filed 1-26-95; operative 1-26-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 4).
§1651. Failure to Renew Certificate Within Five Years.
Note     •     History

Failure to renew a California certificate for five years requires the person to apply for a new certificate (Application for Physician's and Surgeon's Certificate OMB.1 Rev.01/92). A person may apply and the Board may issue a new certificate if:
(a) No fact, circumstance, or condition exists which would justify its denial, or if current, would justify its revocation or suspension.
(b) He establishes to the satisfaction of the Board that, with due regard for the public interest, the person is qualified to practice or engage in the profession of physician and surgeon, either by reexamination or by review of experience and credentials.
(c) He pays all of the fees that would be required of him if he were then applying for the license for the first time as set forth in Section 1690.
(d) The processing times for issuance of a new certificate are set forth in Section 1691.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 2428, 2452 and 2455, Business and Professions Code; and Section 15374 et seq., Government Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78; No. 15; 77, No. 21; and 63, No. 25.
2. Amendment of first paragraph filed 1-26-95; operative 1-26-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 4).
Article 12. Substantial Relationship and Rehabilitation Criteria; Petitions for Modification of Penalty or Reinstatement
§1654. Substantial Relationship Criteria.
Note     •     History

For purposes of denial, suspension, or revocation of a certificate pursuant to Code Division 1.5 (commencing with Code Section 475), a crime or act shall be considered to be substantially related to the qualifications, functions or duties of a person holding a certificate under the Osteopathic Act, if to a substantial degree, it evidences present or potential unfitness of a person holding the certificate to perform the functions of a physician and surgeon in a manner consistent with the public health, safety, or welfare. Such crimes or acts shall include but not be limited to those involving the violating or attempting to violate, directly or indirectly, or assisting or abetting the violation of, or conspiring to violate any provision or term of the Osteopathic Act or the Medical Practice Act or the conviction of a crime involving fiscal dishonesty.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Section 481, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
§1655. Rehabilitation Criteria for Denial, Suspension or Revocation.
Note     •     History

When considering the denial of a certificate on the grounds recommended by Code Section 480 or the suspension or revocation of a certificate on the grounds enumerated by Code Section 490 or on the grounds that the person has been convicted of a crime, the Board in evaluating the rehabilitation of such person and the eligibility for a certificate or permit, will consider the following criteria:
(1) Nature and severity of the act(s) or offense(s).
(2) Total criminal record.
(3) Time elapsed since commission of the act(s) or offense(s).
(4) Whether the certificate or permit holder has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against such person.
(5) If applicable, evidence of expungement proceedings pursuant to Penal Code Section 1203.4.
(6) Evidence, if any, of rehabilitation submitted by the certificate or permit holder.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 475, 480, 482, 490 and 3600-2, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
§1656. Petition for Reinstatement or Modification of Penalty.
Note     •     History

(a) A petition for reinstatement of a certificate or the modification of penalty shall be filed at the Board's Sacramento office no later than thirty (30) days before any meeting of the Board.
(b) Such petition shall not be heard by the Board unless the time elapsed from the effective date of the original disciplinary decision or from the date of the denial meets the requirements of the Business and Professions Code Section 2307.
(c) The petition shall be accompanied by the two verified recommendations from physicians and surgeons licensed by the Board as required by Code Section 2307.
(d) The processing times for a petition for reinstatement of a certificate or modification of penalty are set forth in Section 1691.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 2307, 2451 and 2452, Business and Professions Code; and Section 15374 et seq., Government Code.
HISTORY

1. Repealer of  chapter 16 (sections 1600-1697, not consecutive) and new chapter 16 (sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment of subsection (b) filed 9-22-93; operative 10-22-93 (Register 93, No. 39).
§1657. Rehabilitation Criteria for Petition for Reinstatement or Modification of Penalty.
Note     •     History

When considering a petition for reinstatement or a petition for modification of penalty, the Board, in evaluating the rehabilitation of the applicant and his present eligibility for a certificate or permit, may consider all activities of the petitioner since the disciplinary action was taken and shall also consider the following criteria:
(1) The nature and severity of the act(s) or crime(s) for which the petitioner was disciplined;
(2) Evidence of any act(s) or crime(s) committed subsequent to act(s) or crime(s) for which the petitioner was disciplined which also could be considered as grounds for denial under Code Section 480.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2) above.
(4) The extent to which the petitioner has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed.
(5) Petitioner's activity during the time the certificate was in good standing.
(6) Evidence, if any, of the rehabilitation submitted by the petitioner.
(7) Petitioner's professional ability and general reputation for truth.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Section 2307, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
§1658. Petitions for Reinstatement of Certificates Restricted or Revoked Due to Mental or Physical Illness.
Note     •     History

(a) A petition for reinstatement of a certificate restricted or revoked for mental or physical illness shall be filed at the Board's Sacramento office no later than sixty (60) days prior to any meeting of the Board and shall delineate the evidence of the absence or control of the condition which led to the revocation or restriction.
(b) The processing times for a petition for reinstatement of a certificate restricted or revoked due to mental or physical illness are set forth in Section 1691.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 820 and 3600-1, Business and Professions Code. Reference: Sections 822 and 823, Business and Professions Code; and Section 75374 et seq., Government Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
Article 12.2. Public Letters of Reprimand
§1659.10. Intent to Issue Public Letter of Reprimand.
Note     •     History

(a) In lieu of filing or prosecuting a formal accusation, the executive director may, by stipulation or settlement, issue a public letter of reprimand to an osteopathic physician and surgeon for minor violations of the Medical Practice Act and related California laws not related to patient harm or controlled substance abuse.
(b) The Board shall send a letter by certified mail notifying the licensee of its intention to issue a public letter of reprimand. The affected licensee shall indicate agreement or nonagreement in writing within 30 calendar days from the date of service. The Board may, in its discretion, extend this response time.
(c) A letter from the Board of its intent to issue a letter of reprimand shall state that the letter of reprimand is a public record and may be disclosed to an inquiring member of the public.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 2233, 2452 and 3600-1, Business and Professions Code. Reference: Section 2233, Business and Professions Code.
HISTORY

1. New article 12.2 (sections 1659.10-1659.20) and section filed 1-27-99; operative 2-26-99 (Register 99, No. 5).
§1659.20. Public Letter of Reprimand; Contents; Disclosure.
Note     •     History

(a) A public letter of reprimand shall describe the nature and facts of the violation and shall be served upon the licensee by certified mail.
(b) A letter of reprimand that has been accepted by a licensee and issued pursuant to this article shall be disclosed to an inquiring member of the public.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 2233, 2452 and 3600-1, Business and Professions Code. Reference: Section 2233, Business and Professions Code.
HISTORY

1. New section filed 1-27-99; operative 2-26-99 (Register 99, No. 5).
Article 12.3. Citations and Fines
§1659.30. Authority to Issue Citations and Fines.
Note     •     History

(a) For purposes of this article, “executive director” shall mean the executive director of the board. 
(b) The executive director is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and fines for violations by a licensed osteopathic physician and surgeon of the statutes and regulations referred to in Section 1659.31. 
(c) A citation shall be issued whenever any fine is levied or any order of abatement is issued. Each citation shall be in writing and shall describe with particularity the nature and facts of the violation, including a reference to the statute or regulations alleged to have been violated. The citation shall be served upon the individual personally or by certified mail return receipt requested. 
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p.cxiii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code. 
HISTORY

1. New article 12.3 (sections 1659.30-1659.35) and new section filed 9-6-2005; operative 10-6-2005 (Register 2005, No. 36).
§1659.31. Citable Offenses.
Note     •     History

The amount of any fine to be levied by the executive director shall take into consideration the factors listed in subdivision (b)(3) of Section 125.9 of the code and also the extent to which such person has mitigated or attempted to mitigate any damage or injury caused by the violation. The fine shall be within the range set forth below. 
(a) The executive director may issue a citation under section 1659.30 for a violation of the provisions listed in this section. The fine for a violation of the following code sections shall not exceed $2500, except as specified in items 34 and 41 below: 
(1) Business and Professions Code Section 119 
(2) Business and Professions Code Section 125 
(3) Business and Professions Code Section 125.6 
(4) Business and Professions Code Section 475(a)(1) 
(5) Business and Professions Code Section 490 
(6) Business and Professions Code Section 580 
(7) Business and Professions Code Section 581 
(8) Business and Professions Code Section 582 
(9) Business and Professions Code Section 583 
(10) Business and Professions Code Section 650 
(11) Business and Professions Code Section 651 
(12) Business and Professions Code Section 654 
(13) Business and Professions Code Section 654.1 
(14) Business and Professions Code Section 654.2 
(15) Business and Professions Code Section 655.5 
(16) Business and Professions Code Section 655.6 
(17) Business and Professions Code Section 702 
(18) Business and Professions Code Section 730 
(19) Business and Professions Code Section 732 
(20) Business and Professions Code Section 802(b) 
(21) Business and Professions Code Section 802.1 
(22) Business and Professions Code Section 810 
(23) Business and Professions Code Section 2021 
(24) Business and Professions Code Section 2052 
(25) Business and Professions Code Section 2054 
(26) Business and Professions Code Section 2216 
(27) Business and Professions Code Section 2216.1 
(28) Business and Professions Code Section 2216.2 
(29) Business and Professions Code Section 2221.1 
(30) Business and Professions Code Section 2236 
(31) Business and Professions Code Section 2238 
(32) Business and Professions Code Section 2240 
(33) Business and Professions Code Section 2243 
(34) Business and Professions Code Section 2244 ($1,000) 
(35) Business and Professions Code Section 2250 
(36) Business and Professions Code Section 2255 
(37) Business and Professions Code Section 2256 
(38) Business and Professions Code Section 2257 
(39) Business and Professions Code Section 2259 
(40) Business and Professions Code Section 2261 
(41) Business and Professions Code Section 2262 ($500) 
(42) Business and Professions Code Section 2263 
(43) Business and Professions Code Section 2264 
(44) Business and Professions Code Section 2266 
(45) Business and Professions Code Section 2271 
(46) Business and Professions Code Section 2272 
(47) Business and Professions Code Section 2276 
(48) Business and Professions Code Section 2285 
(49) Business and Professions Code Section 2415 
(50) Business and Professions Code Section 2454.5 
(51) Business and Professions Code Section 2456.1 
(52) Business and Professions Code Section 17500 
(53) Health and Safety Code Section 123110 
(54) Title 16 Cal. Code Regs. 1604 
(55) Title 16 Cal. Code Regs. 1633 
(56) Title 16 Cal. Code Regs. 1685 
(b) Notwithstanding the administrative fine amounts specified in subsection (a), a citation may include a fine between $2501 and $5000, if one or more of the following circumstances apply: 
1. The citation involves a violation that has an immediate relationship to the health and safety of another person; 
2. The cited person has a history of two or more prior citations of the same or similar violations; 
3. The citation involves multiple violations that demonstrate a willful disregard of the law; 
4. The citation involves a violation or violations perpetrated against a senior citizen or a disabled person. 
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p.cxiii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code. 
HISTORY

1. New section filed 9-6-2005; operative 10-6-2005 (Register 2005, No. 36).
§1659.32. Compliance with Orders of Abatement.
Note     •     History

(a) If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, the person cited may request an extension of time in which to complete the correction from the executive director. Such a request shall be in writing and shall be made within the time set forth for abatement. 
(b) An order of abatement shall either be personally served or mailed by certified mail, return receipt requested. The time allowed for the abatement of a violation shall begin when the order of abatement is final and has been served or received. When an order of abatement is not contested or if the order is appealed and the person cited does not prevail, failure to abate the violation charged within the time allowed shall constitute a violation and a failure to comply with the order of abatement. Such failure may result in disciplinary action being taken by the board or other appropriate judicial relief being taken against the person cited. 
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p.cxiii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code. 
HISTORY

1. New section filed 9-6-2005; operative 10-6-2005 (Register 2005, No. 36).
§1659.33. Citations for Unlicensed Practice.
Note     •     History

The executive director is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and fines against persons, partnerships, corporations or associations who are performing or who have performed services for which licensure as an osteopathic physician and surgeon under the Medical Practice Act is required. The executive director is authorized to issue citations and orders of abatement and levy fines only in the case of (a) an osteopathic physician and surgeon who has practiced with a delinquent license or (b) an applicant for licensure who practices prior to issuance of a license. Each citation issued shall contain an order of abatement. Where appropriate, the executive director shall levy a fine for such unlicensed activity in accordance with subdivision (b)(3) of Section 125.9 of the code. The provisions of Sections 1659.30 and 1659.32 shall apply to the issuance of citations for unlicensed activity under this subsection. The sanction authorized under this section shall be separate from and in addition to any other civil or criminal remedies. 
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p.cxiii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code. 
HISTORY

1. New section filed 9-6-2005; operative 10-6-2005 (Register 2005, No. 36).
§1659.34. Contest of Citations.
Note     •     History

(a) In addition to requesting a hearing as provided for in subdivision (b)(4) of Section 125.9 of the code, the person cited may, within 15 calendar days after service of the citation, notify the executive director in writing of his or her request for an informal conference with the executive director regarding the acts charged in the citation. The time allowed for the request shall begin the first day after the citation has been served. 
(b) The executive director shall, within 30 calendar days from the receipt of the request, hold an informal conference with the person cited and/or his or her legal counsel or authorized representative. The conference may be held telephonically. At the conclusion of the informal conference the executive director may affirm, modify or dismiss the citation, including any fine levied or order of abatement issued. The executive director shall state in writing the reasons for his or her action and serve or mail a copy of his or her findings and decision to the person cited within 15 calendar days from the date of the informal conference, as provided in subsection (b) of section 1659.32. This decision shall be deemed to be a final order with regard to the citation issued, including the fine levied and the order of abatement. 
(c) The person cited does not waive his or her request for a hearing to contest a citation by requesting an informal conference after which the citation is affirmed by the executive director. If the citation is dismissed after the informal conference, the request for a hearing on the matter of the citation shall be deemed to be withdrawn. If the citation, including any fine levied or order of abatement, is modified, the citation originally issued shall be considered withdrawn and a new citation issued. If a hearing is requested for the subsequent citation, it shall be requested within 30 calendar days in accordance with subdivision (b)(4) of Section 125.9 of the code. 
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p.cxiii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code. 
HISTORY

1. New section filed 9-6-2005; operative 10-6-2005 (Register 2005, No. 36).
§1659.35. Public Disclosure; Records Retention.
Note     •     History

Every citation that is issued pursuant to this article shall be disclosed to an inquiring member of the public. Citations that have been resolved, by payment of the administrative fine or compliance with the order of abatement, shall be purged ten (10) years from the date of resolution. A citation that has been withdrawn or dismissed shall be purged immediately upon being withdrawn or dismissed. 
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p.cxiii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 125.9 and 803.1, Business and Professions Code. 
HISTORY

1. New section filed 9-6-2005; operative 10-6-2005 (Register 2005, No. 36).
Article 12.5. Impaired Physicians Diversion Program
§1660. Criteria for Acceptance.
Note     •     History

An applicant shall meet the following criteria for acceptance to the Impaired Physicians Program.
(a) Is a California licensed osteopathic physician.
(b) Resides in California.
(c) Is found to abuse narcotics, dangerous drugs or alcohol in a manner which may affect his/her ability to practice safely or competently.
(d) Has voluntarily requested admission to the program.
(e) Agrees to undertake any medical and/or psychiatric examinations ordered to evaluate the application for participation in the program.
(f) Cooperates with the program by providing medical information, disclosure authorizations, and releases of liability as may be necessary for participation in the program.
(g) Agrees in writing to cooperate and comply with all elements of the treatment program designed by the diversion evaluation committee and to bear all the costs of such program.
(h) Has not been convicted of a crime involving the sale of narcotics or dangerous drugs.
(i) Has not been previously disciplined by the Board for substance abuse.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Section 2365, Business and Professions Code.
HISTORY

1. New section filed 9-22-89; operative 10-22-89 (Register 89, No. 39).
§1660.2. Causes for Denial of Acceptance.
Note     •     History

The diversion evaluation committee may deny an applicant acceptance to the impaired physician program for any of the following reasons:
(a) The applicant does not meet the requirements set forth in Section 1660.
(b) The applicant, after formal investigation, has been subject to disciplinary action by any state medical licensing authority.
(c) Formal complaints or information have been received by the board which, after investigation, indicate that the applicant may have violated a provision of the Medical Practice Act(Division 2, Chapter 5 of the Code, starting with Section 2000, excluding Section 2239).
(d) The committee determines that the applicant will not substantially benefit from participation in the program or that the applicant's participation in the program creates too great a risk to the public health, safety or welfare.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Section 2365, Business and Professions Code.
HISTORY

1. New section filed 9-22-89; operative 10-22-89 (Register 89, No. 39).
§1660.4. Termination from the Program.
Note     •     History

(a) The diversion evaluation committee may terminate a physician's participation in the program for any of the following reasons:
(1) The physician has successfully completed the treatment program prescribed by the committee.
(2) The committee votes to terminate participation for one of the following causes:
(A) The physician has failed to comply with the treatment program designated by the committee.
(B) The physician has failed to comply with any of the requirements set forth in Section 1660.
(C) Any cause for denial of an applicant set forth in Section 1660.2.
(D) The committee determines that the physician has not substantially benefited from participation in the program or that the physician's continued participation in the program creates too great a risk to the public health, safety or welfare.
(b) The committee shall determine, based upon the recommendation of both the program manager and a consultant, whether to terminate participation in the program. The committee's decision on termination shall be final.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section D; and Section 3600-1, Business and Professions Code. Reference: Section 2365, Business and Professions Code.
HISTORY

1. New section filed 9-22-89; operative 10-22-89 (Register 89, No. 39).
§1661. Diversion Evaluation Committee Membership
Note     •     History

The Diversion Evaluation Committee Membership Criteria:
(a) The committee shall be composed of three (3) state licensed osteopathic physicians and surgeons.
(b) Each member shall be approved by the board and shall have experience in the diagnosis and treatment of drug or alcohol abuse.
(c) Each member of the committee shall be appointed by the board and serve at the pleasure of the board.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Section 2366, Business and Professions Code.
HISTORY

1. New section filed 9-22-89; operative 10-22-89 (Register 89, No. 39).
§1661.2. Diversion Evaluation Committee Duties and Responsibilities.
Note     •     History

A diversion evaluation committee shall have the following duties and responsibilities in addition to those set forth in Section 2366 of the Code:
(a) To consider recommendations of the program manager and any consultants to the committee;
(b) To set forth in writing for each physician in a program a treatment and rehabilitation plan established for that physician with the requirements for supervision and surveillance.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Section 2366, Business and Professions Code.
HISTORY

1. New section filed 9-22-89; operative 10-22-89 (Register 89, No. 39).
§1661.4. Diversion Evaluation Committee Consultants.
Note     •     History

Diversion evaluation committee consultants shall be approved by the board to conduct medical and/or psychiatric examination of the applicant. The consultants shall utilize the services of licensed physicians or psychologists who are competent in their field of specialization and who have expertise in the diagnosis and treatment of substance abuse.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 2362 and 2366, Business and Professions Code.
HISTORY

1. New section filed 9-22-89; operative 10-22-89 (Register 89, No. 39).
§1662. Procedure for Review of Applicants.
Note     •     History

(a) The diversion evaluation committee consultant shall interview each applicant who requests acceptance to the program.
(b) The consultant shall recommend such medical and psychiatric examinations as may be necessary for determining the applicant's eligibility for participation in the program. The program manager shall request such other information, authorizations, and release necessary for participation in the program.
(c) The program manager and the consultant who interviews the applicant shall each make a recommendation to the committee as to whether the applicant should be accepted into the program and, if accepted, the nature of the treatment plan.
(d) The committee's decision on acceptance into the program as well as the accepted applicant's treatment plan shall be final.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 2364 and 2366, Business and Professions Code.
HISTORY

1. New section filed 9-22-89; operative 10-22-89 (Register 89, No. 39).
Article 12.7. Disciplinary Guidelines
§1663. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), the Osteopathic Medical Board of California shall consider the disciplinary guidelines entitled “Osteopathic Medical Board of California Disciplinary Guidelines of 1996” which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the Osteopathic Medical Board of California in its sole discretion determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p.xciii), Section 1 and 3600-1, Business and Professions Code; and Section 11400.21, Government Code. Reference: Sections 11400.21 and 11425.50(e), Government Code.
HISTORY

1. New article 12.7 (section 1663) and section filed 6-4-97; operative 6-4-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 23).
Article 13. Medical Corporations
§1665. Citation of Rules.
Note     •     History

NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 2454 and 3600-1, Business and Professions Code. Reference: Section 2454, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Change without regulatory effect repealing article 13 (sections 1665-1673) and repealing section filed 3-20-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 12).
§1666. Office for Filing and Verification.
Note     •     History

NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 2454 and 3600-1, Business and Professions Code. Reference: Section 2454, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Change without regulatory effect repealing section filed 3-20-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 12).
§1667. Use of False or Fictitious Name.
Note     •     History

NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 2454 and 3600-1, Business and Professions Code. Reference: Sections 2285 and 2454, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-197, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Change without regulatory effect repealing section filed 3-20-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 12).
§1668. Medical Corporations--D.O., M.D.
Note     •     History

NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 2454 and 3600-1, Business and Professions Code. Reference: Section 2454, Business and Professions Code.
HISTORY

1. Repealer of  chapter 16 (sections 1600-1697, not consecutive) and new chapter 16 (sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment filed 9-22-93; operative 10-22-93 (Register 93, No. 39).
3. Change without regulatory effect repealing section filed 3-20-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 12).
§1669. Application, Review of; Refusal to Approve.
Note     •     History

NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 2454 and 3600-1, Business and Professions Code. Reference: Sections 2400 and 2454, Business and Professions Code; and Section 15374 et seq., Government Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment of subsection (a) filed 1-26-95; operative 1-26-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 4).
3. Change without regulatory effect repealing section filed 3-20-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 12).
§1670. Requirements for Issuance of Certificate of Registration.
Note     •     History

NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 2454 and 3600-1, Business and Professions Code. Reference: Sections 2406, 2408 and 2454, Business and Professions Code; and Sections 13401, 13401.5, 13403, 13405, 13406 and 13407, Corporations Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81 No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment of subsections (a)-(c) filed 1-26-95; operative 1-26-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 4).
3. Change without regulatory effect repealing section filed 3-20-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 12).
§1671. Security for Claims Against a Medical Corporation.
Note     •     History

NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 2454 and 3600-1, Business and Professions Code. Reference: Section 2454, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Change without regulatory effect of subsection (a) (Register 88, No. 8).
3. Change without regulatory effect repealing section filed 3-20-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 12).
§1672. Shares: Ownership and Transfer.
Note     •     History

NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 2412, 2454 and 3600-1, Business and Professions Code. Reference: Sections 2412 and 2454, Business and Professions Code; and Sections 13401, 13403, 13406 and 13407, Corporations Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Change without regulatory effect repealing section filed 3-20-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 12).
§1673. Certificate of Registration: Continuing Validity; Reports.
Note     •     History

NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 2454 and 3600-1, Business and Professions Code. Reference: Section 2454, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment of subsections (a)-(c) filed 1-26-95; operative 1-26-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 4).
3. Change without regulatory effect repealing section filed 3-20-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 12).
Article 14. Fictitious Names
§1675. Purpose and Scope.
Note     •     History

(a) The purpose of a fictitious name is to allow an individual, a partnership, a group, or a professional corporation to use a name in advertising and in practice other than his or her own personal family name.
(b) No licensed person shall render professional services using a fictitious, false, or assumed name or any name other than his or her own unless and until a fictitious name permit has been issued by the Board.
(c) A fictitious name permit may be suspended or revoked for failure to comply with the provisions of Code Section 2415 and this article or may be revoked after the individual license has been revoked.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 2413, 2415 and 3600-1, Business and Professions Code. Reference: Sections 2285 and 2415, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
§1676. Name Style--General.
Note     •     History

(a) Any fictitious name shall contain the designation “medical group,” “medical clinic,” “medical corporation,” “medical associates,” “medical center,” or “medical office.” Such designation shall be contiguous in the name style and not separated by intervening words. This requirement also applies to those applicants who are sole practitioners.
(b) A group or clinic containing both a corporate and non-corporate entity or a partnership of corporations shall not use wording or abbreviations denoting corporate existence. When a professional corporation is an applicant, it shall use in its fictitious name style one of the word(s) or abbreviation(s) denoting corporate existence as required by these regulations.
(c) The Board shall not issue a fictitious name permit for a name style which is false or misleading or which is so similar to a name previously authorized in the same geographical area as to be deceptive, misleading, or subject an individual consumer to confusion with a previously permitted fictitious name.
(d) The use of word(s) or abbreviation(s) following a licensed person's name denoting affiliation with a professional medical society or association shall not create a fictitious name; however, the use of any word(s) or abbreviation(s) which denotes a particular specialty in medical practice which is advertised or disseminated in public in connection with that practice shall require a fictitious name permit.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 2413, 2415, and 3600-1, Business and Professions Code. Reference: Section 2415, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment of subsection (a) filed 9-22-89; operative 10-22-89 (Register 89, No. 39). 
§1677. Name Style--Corporation.
Note     •     History

Unless a fictitious name permit is obtained pursuant to these regulations and Code Sections 2415 and 2454, the name of a professional corporation shall be restricted to the name or surname of one or more of the present, prospective, or former physician and surgeon shareholders and wording or abbreviations denoting corporate existence limited to those enumerated by Section 1667.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 2413, 2415, 2456 and 3600-1, Business and Professions Code. Reference: Section 2415, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
§1678. Application and Renewal.
Note     •     History

(a) Applications for a fictitious name permit (Application for a Fictitious Name Permit OMB.5 Rev.01/92) shall include the following information:
(1) the name style;
(2) if applicable, proof that the place of professional practice of the applicant or applicants is wholly owned or leased by the same; and
(3) if applicable, proof the professional practice of the applicant or applicants is wholly owned or entirely controlled by the same.
(b) The application shall be signed by a licensed person who is a member of the group or clinic or by an officer of the professional corporation, as the case may be, requesting the use of such name. A copy of the approved Articles of Incorporation shall be submitted with the application for all professional corporations.
(c) The executive director of the Board shall issue a fictitious name permit or refuse to approve the application and shall notify the applicant of the reasons therefor within the processing time limits set forth in Section 1691.
(d) The applicant shall include the initial permit fee as set forth in Section 1690; additionally, fictitious name permits shall expire on December 31 of each year and shall be renewed upon payment of the fee set forth in Section 1690; processing time limits for renewals are set forth in Section 1691.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 2413, 2415, 2456 and 3600-1, Business and Professions Code. Reference: Section 2415, Business and Professions Code; and Section 15374 et seq., Government Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment of subsection (a) filed 1-26-95; operative 1-26-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 4).
3. Amendment of subsection (b) and amendment of Note filed 3-20-2001; operative 4-19-2001 (Register 2001, No. 12).
Article 15. Physician's Assistants
§1680. Employment.
Note     •     History

NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 3535 and 3600-1, Business and Professions Code. Reference: Section 3535, Business and Professions Code. 
HISTORY

1. Repealer of chapter 16 (sections 1600-1697, not consecutive) and new chapter 16 (sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment filed 9-28-90; operative 10-28-90 (Register 90, No. 45). 
3. Change without regulatory effect repealing section filed 12-3-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 49).
§1681. Application for Approval.
Note     •     History

NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 3535 and 3600-1, Business and Professions Code. Reference: Section 3535, Business and Professions Code; Section 15374 et seq., Government Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment of subsection (b) filed 6-7-88; operative 7-7-88 (Register 88, No. 25).
3. Amendment of subsection (a) and Note filed 1-26-95; operative 1-26-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 4).
4. Change without regulatory effect repealing section filed 12-3-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 49).
§1682. Board Approval.
Note     •     History

NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 3535 and 3600-1, Business and Professions Code. Reference: Section 3535, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Change without regulatory effect repealing section filed 12-3-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 49).
Article 16. Use and Display of “D.O.” Degree
§1685. Display of Name and Earned Degree.
Note     •     History

(a) Any licensee of the Board shall prominently display at the entrance to any facility in which he primarily practices, the name of the facility, the names of the licensees practicing therein, and their earned degree.
(b) Any licensee of the Board shall designate himself by his earned degree “D.O.,” and/or the term “Osteopathic Physician and Surgeon,” and shall prominently display this designation on all printed materials employed in his practice relating to his licensed function as a physician and surgeon. A D.O. licensed by the Board shall not use the term “M.D.”
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Sections 2275, 2276, 2452 and 3600-2, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
Article 17. Fees
§1690. Fees.
Note     •     History

The fees charged by the Board are as follows: 
(a) Physician and surgeon's original certificate application fee: $200 ($100 shall be returned if applicant's credentials are insufficient). 
(b) Physician and surgeon's reciprocity certificate application fee: $200 ($100 shall be returned if applicant's credentials are insufficient). 
(c) Duplicate certificate, name change, certification endorsement fee: $25. 
(d) Biennial Tax and Registration fee: $400. 
(e) Biennial Inactive Certificate: $300. 
(f) Delinquent Tax and Registration fee: $100. 
(g) Fictitious Name Permit fee: $100; Renewal: $50.
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Sections 2456.1 and 3600-1, Business and Professions Code. Reference: Sections 2435, 2454, 2455, 2456, 2456.1 and 3535, Business and Professions Code. 
HISTORY

1. Repealer of chapter 16 (sections 1600-1697, not consecutive) and new chapter 16 (sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment of subsections (c) and (k) and new subsection (l) filed 6-7-88; operative 7-7-88 (Register 88, No. 25). 
3. Amendment of subsections (f), (g), (i) and (j) filed 9-22-89; operative 10-22-89 (Register 89, No. 39). 
4. Amendment of subsections (a), (b), (h) and repealer of subsection (l) filed 9-28-90; operative 10-28-90 (Register 90, No. 45).
5. Amendment of subsections (c), (e), (f) and (h) filed 9-22-93; operative 10-22-93 (Register 93, No. 39).
6. Amendment of subsections (f)-(h) filed 1-26-95; operative 1-26-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 4).
7. Repealer of subsection (c), subsection relettering, and amendment of newly designated subsections (e) and (g) filed 3-20-2001; operative 4-19-2001 (Register 2001, No. 12).
8. Change without regulatory effect repealing subsections (h) and (j) and relettering subsections filed 12-3-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 49).
9. Change without regulatory effect amending subsections (a) and (b), repealing subsection (c) and relettering subsections filed 11-25-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 48).
§1691. Permit Processing Times.
Note     •     History

“Permit” as defined by the Permit Reform Act of 1981 means any license, certificate, registration, permit, or any other form of authorization required by a state agency to engage in a particular activity or act. Processing times for the Board's programs are set forth below and, if applicable, are predicated on an applicant taking and passing the first available examination. 

View Graphic
NOTE

Authority cited: Osteopathic Act (Initiative Measure, Stats. 1923, p. xciii), Section 1; and Section 3600-1, Business and Professions Code. Reference: Section 15374 et seq., Government Code; and Section 3600-1, Business and Professions Code.
HISTORY

1. Repealer of Chapter 16 (Sections 1600-1697, not consecutive) and new Chapter 16 (Sections 1600-1697, not consecutive and Appendix) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Change without regulatory effect amending table filed 12-3-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 49).
Article 18. Conflict of Interest Code--Osteopathic Medical Board of California
Note: It having been found pursuant to Government Code Section 11344, that the printing of the regulations constituting the Conflict of Interest Code is impractical and these regulations being of limited and particular application are not published in full in the California Code of Regulations. The regulations are available to the public for review or purchase at cost at the following locations:

OSTEOPATHIC MEDICAL BOARD OF CALIFORNIA
2720 GATEWAY OAKS DRIVE, SUITE 350
SACRAMENTO, CA 95833

FAIR POLITICAL PRACTICES COMMISSION
428 J STREET, SUITE 800
SACRAMENTO, CA 95814

SECRETARY OF STATE
STATE ARCHIVES
1230 J  STREET
SACRAMENTO, CA 95814
The Conflict of Interest Code is designated as Article 18 of Division 16 of Title 16 of the California Code of Regulations, and consists of sections numbered and titled as follows:

Article 18.  Conflict of Interest Code--
Osteopathic Medical Board of California

	Section
	1697.	General Provisions
		Appendix
NOTE

Authority cited: Sections 87300 and 87304, Government Code. Reference: Section 87300, et. seq., Government Code.
HISTORY

1. Repealer of chapter 16 (sections 1600-1697, not consecutive) and new chapter 16 (sections 1600-1697, not consecutive and Appendix--Forms) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Amendment of article heading, section and Conflict of Interest Code--Appendix filed 9-22-93; operative 10-22-93 (Register 93, No. 39).
3. Editorial correction of History 1 and 2 and deleting former History 3  (Register 95, No. 13).
4. Amendment providing new address for the Osteopathic Medical Board filed 6-4-97; operative 6-4-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 23).

Appendix for Division 16
HISTORY

1. Repealer of chapter 16 (sections 1600-1697, not consecutive) and new chapter 16 (sections 1600-1697, not consecutive and Appendix--Forms) filed 12-10-87; operative 1-9-88 (Register 87, No. 52). For prior history, see Registers 81, No. 50; 81, No. 36; 81, No. 9; 80, No. 40; 78, No. 15; 77, No. 21; and 63, No. 25.
2. Repealer of Appendix--Forms filed 1-26-95; operative 1-26-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 4).
3. Editorial correction adding History 1 and 2 and deleting previously repealed forms (Register 95, No. 13).
Division 17. California State Board of Pharmacy

(Originally Printed 12-5-46)
Article 1. General Provisions
§1700. Public Records. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4008, Business and Professions Code. Reference: Section 6250, Government Code.
HISTORY

1. Originally published 12-5-46 (Title 16).
2. Amendment filed 5-24-50 as a procedural rule; effective upon filing (Register 20, No. 5).
3. Amendment filed 11-9-61; effective thirtieth day thereafter (Register 61, No. 22).
4. Amendment filed 6-24-71; effective thirtieth day thereafter (Register 71, No. 26).
5. Repealer and new section filed 8-3-73; effective thirtieth day thereafter (Register 73, No. 31). For prior section see Register 71, No. 26.
6. Repealer filed 1-4-82; effective thirtieth day thereafter (Register 82, No. 2).
§1701. Tenses, Gender, and Number. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4008, Business and Professions Code. Reference: Section 4008, Business and Professions Code.
HISTORY

1. Repealer filed 12-8-80; effective thirtieth day thereafter (Register 80, No. 50).
§1702. Pharmacist Renewal Requirements.
Note     •     History

(a) A pharmacist applicant for renewal who has not previously submitted fingerprints as a condition of licensure or for whom an electronic record of the licensee's fingerprints does not exist in the Department of Justice's criminal offender record identification database shall successfully complete a state and federal level criminal offender record information search conducted through the Department of Justice by the licensee's renewal date that occurs on or after December 7, 2010.
(1) A pharmacists shall retain for at least three years as evidence of having complied with subdivision (a) either a receipt showing that he or she has electronically transmitted his or her fingerprint images to the Department of Justice or, for those who did not use an electronic fingerprint system, a receipt evidencing that his or her fingerprints were recorded and submitted to the Board.
(2) A pharmacist applicant for renewal shall pay the actual cost of compliance with subdivision (a).
(3) As a condition of petitioning the board for reinstatement of a revoked or surrendered license, or for restoration of a retired license, an applicant shall comply with subdivision (a).
(4) The board may waive the requirements of this section for licensees who are actively serving in the United States military. The board may not return a license to active status until the licensee has complied with subdivision (a).
(b) As a condition of renewal, a pharmacist applicant shall disclose on the renewal form whether he or she has been convicted, as defined in Section 490 of the Business and Professions Code, of any violation of the law in this or any other state, the United States, or other country, omitting traffic infractions under $500 not involving alcohol, dangerous drugs, or controlled substances.
(c) Failure to provide all of the information required by this section renders an application for renewal incomplete and the board shall not renew the license and shall issue the applicant an inactive pharmacist license. An inactive pharmacist license issued pursuant to this section may only be reactivated after compliance is confirmed for all licensure renewal requirements.
NOTE

Authority cited: Sections 4001.1 and 4005, Business and Professions Code. Reference: Sections 490, 4036, 4200.5, 4207, 4301, 4301.5, 4311 and 4400, Business and Professions Code; and Sections 11105(b)(10) and 11105(e), Penal Code.
HISTORY

1. New section filed 6-7-2010; operative 12-7-2010 (Register 2010, No. 24). For prior history, see Register 80, No. 50. 
§1702.5. Qualifications of Executive Secretary. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4008, Business and Professions Code. Reference: Section 4008, Business and Professions Code.
HISTORY

1. New section filed 5-1-62 as procedural and organizational; effective upon filing (Register 62, No. 9).
2. Repealer filed 12-8-80 as procedural and organizational; effective upon filing (Register 80, No. 50).
§1703. Delegation of Certain Functions.
Note     •     History

The power and discretion conferred by law upon the board to receive and file accusations; issue notices of hearing, statements to respondent and statements of issues; receive and file notices of defense; determine the time and place of hearings under Section 11508 of the Government Code; set and calendar cases for hearing and perform other functions necessary to the business-like dispatch of the business of the board in connection with proceedings under the provisions of Sections 11500 through 11528 of the Government Code, prior to the hearing of such proceedings; the certification and delivery or mailing of copies of decisions under Section 11518 of said code; and issue summary suspension orders or notices of suspension under Section 4311 of the Business and Professions Code are hereby delegated to and conferred upon the executive officer, or, in his or her absence from the office of the board, the acting executive officer.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4003 and 4311, Business and Professions Code.
HISTORY

1. Amendment filed 7-24-58; effective thirtieth day thereafter (Register 58, No. 13).
2. Amendment filed 1-4-82; effective thirtieth day thereafter (Register 82, No. 2).
3. Amendment of section and Note filed 1-13-97; operative 2-12-97 (Register 97, No. 3).
4. Change without regulatory effect amending section and Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1704. Change of Address.
Note     •     History

Each person holding a certificate, license, permit, registration or exemption to practice or engage in any activity in the State of California under any and all laws administered by the Board shall file a proper and current residence address with the Board at its office in Sacramento and shall within 30 days notify the Board at its said office of any and all changes of residence address, giving both the old and new address.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4003 and 4100, Business and Professions Code.
HISTORY

1. Amendment filed 7-21-66; effective thirtieth day thereafter (Register 66, No. 23).
2. Amendment filed 6-24-71; effective thirtieth day thereafter (Register 71, No. 26).
3. Amendment filed 5-18-78; effective thirtieth day thereafter (Register 78, No. 20).
4. Amendment filed 12-8-80; effective thirtieth day thereafter (Register 80, No. 50).
5. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1705. Notification of Bankruptcy, Receivership or Liquidation.
Note     •     History

Any pharmacy, wholesaler, or manufacturer who makes any assignment for the benefit of creditors or enters into any creditor compromise arrangement, or who files a petition in bankruptcy, or who has a receiver appointed, or who enters into any liquidation or other arrangement which may result in the sale or transfer of drugs, devices or appliances which are required to be sold by a registered pharmacist or other licensee, shall notify the Board immediately in writing of such fact, and shall set forth the following information, if known:
(a) Date of sale or transfer of such drugs, devices or appliances; 
(b) Name and address of purchaser; 
(c) Inventory of dangerous drugs and devices showing their disposition;
(d) Location of records of manufacture, sale, purchase, and disposition of dangerous drugs and devices.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4005, 4024, 4080, 4081 and 4332, Business and Professions Code.
HISTORY

1. New section filed 8-3-73; effective thirtieth day thereafter (Register 73, No. 31). For history of former section, see Register 66, No. 23.
2. Amendment filed 12-8-80; effective thirtieth day thereafter (Register 80, No. 50).
3. Editorial correction of HISTORY NOTE No. 2 (Register 81, No. 10).
4. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1706. Words of Similar Import.
Note     •     History

The words “Prescription,” “Prescription Service,” “Medication,” “Prescribed Medication,” and “Medicinals” are words of similar or like import to those enumerated in Section 4343, Business and Professions Code.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4005, Business and Professions Code.
HISTORY

1. New section filed 9-14-60; designated effective 1-1-61 (Register 60, No. 20). For history of former section, see Register 58, No. 13.
2. Amendment filed 7-21-66; effective thirtieth day thereafter (Register 66, No. 23).
3. Change without regulatory effect amending section and adding Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1706.1. Permit Processing Times.
Note     •     History

“Permit” as defined by the Permit Reform Act of 1981 means any license, certificate, registration, permit or any other form of authorization required by a state agency to engage in a particular activity or act. Processing times for the board's various programs are set forth below. The actual processing times apply to those persons who take and pass the first available examination.

View Graphic
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 15376, Government Code.
HISTORY

1. New section filed 7-22-91; operative 8-21-91 (Register 92, No. 1).
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1706.2. Abandonment of Application Files.
Note     •     History

(a) An applicant for a license to conduct a pharmacy, non-resident pharmacy, sterile injectable compounding pharmacy, wholesaler, out-of-state distributor, clinic, veterinary food-animal drug retailer, or to furnish hypodermic needles and syringes who fails to complete all application requirements within 60 days after being notified by the board of deficiencies in his, her or its file, may be deemed to have abandoned the application and may be required to file a new application and meet all of the requirements in effect at the time of reapplication.
(b) An applicant for a pharmacy technician license or a designated representative license who fails to complete all application requirements within 60 days after being notified by the board of deficiencies in his or her file, may be deemed to have abandoned the application and may be required to file a new application and meet all of the requirements which are in effect at the time of reapplication.
(c) An applicant who fails to pay the fee for licensure as a pharmacist required by subdivision (f) of section 1749 of this Division within 12 months after being notified by the board of his or her eligibility be deemed to have abandoned the application and must file a new application and be in compliance with the requirements in effect at the time of reapplication.
(d) An applicant to take the pharmacist licensure examinations who fails to take the examinations within 12 months of being deemed eligible, shall be deemed to have abandoned the application and must file a new application in compliance with all of the requirements in effect at the time of reapplication.
(e) An applicant for a intern pharmacist license who fails to complete all application requirements within one year after being notified by the board of deficiencies in his or her file, may be deemed to have abandoned the application and may be required to file a new application and meet all of the requirements which are in effect at the time of reapplication.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4022.5, 4029, 4030, 4037, 4042, 4043, 4053, 4110, 4112, 4115, 4120, 4127.1, 4141, 4160, 4161, 4180, 4190, 4200, 4201, 4202, 4203, 4204, 4205 and 4208, Business and Professions Code.
HISTORY

1. New section filed 8-14-97; operative 9-13-97 (Register 97, No. 33).
2. Amendment of section and Note filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
3. Amendment of subsections (a) and (b), new subsection (e) and amendment of Note filed 5-23-2007; operative 6-22-2007 (Register 2007, No. 21).
§1706.5. Experimental Programs.
Note     •     History

In order to enable any accredited school of pharmacy recognized by the Board to experiment with new and innovative methods for drug handling, teaching, research, or to develop new and better methods or concepts involving the ethical practice of pharmacy, the Board enacts the following:
(a) The application of particular provisions of the Pharmacy Rules and Regulations contained in Title 16, California Administrative Code, Chapter 17, may be waived as to an accredited school of pharmacy recognized by the Board if the Dean of said school has filed with the Board an experimental plan or program which specifies the particular provisions to be waived, and which has been approved by the Board.
(b) Any plan or program approved by the Board shall have: definite time limitations; progress reports which shall be filed as required by the Board.
(c) The Board may rescind approval and terminate said plan or program at its discretion, at any time it may deem the public interest is not fully protected; nor shall any such plan or program be approved by the Board if such proposal might jeopardize public health or welfare or conflict with provisions of Chapter 9, Div. 2, Business and Professions Code.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4005, 4120, 4161, 4162, 4304 and 4400, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 1731 to new section 1706.5 and amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
Article 2. Pharmacies
§1707. Waiver Requirements for Off-Site Storage of Records.
Note     •     History

(a) Pursuant to subdivision (e) of Section 4105 of the Business and Professions Code and subdivision (c) of Section 4333 of the Business and Professions Code, a waiver shall be granted to any entity licensed by the board for off-site storage of the records described in subdivisions (a), (b) and (c) of Section 4105 of the Business and Professions Code unless the applicant has, within the preceding five years, failed to produce records pursuant to Section 4081 of the Business and Professions Code or has falsified records covered by Section 4081 of the Business and Professions Code.
(b) An entity that is granted a waiver pursuant to subdivision (a) shall:
(1) maintain the storage area so that the records are secure, including from unauthorized access; and
(2) be able to produce the records within two business days upon the request of the board or an authorized officer of the law.
(c) In the event that a licensee fails to comply with the conditions set forth in subdivision (b), the board may cancel the waiver without a hearing. Upon notification by the board of cancellation of the waiver, the licensee shall maintain all records at the licensed premises.
(d) A licensee whose waiver has been cancelled pursuant to the provisions set forth in subsection (c) may reapply to the board when com-- pliance with the conditions set forth in subsection (b) can be confirmed by the board.
(e) Notwithstanding any waiver granted pursuant to subdivision (a), all prescription records for non controlled substances shall be maintained on the licensed premises for a period of one year from the date of dispensing.
(f) Notwithstanding any waiver granted pursuant to subdivision (a), all prescription records for controlled substances shall be maintained on the licensed premises for a period of two years from the date of dispensing.
(g) Notwithstanding the requirements of this section, any entity licensed by the board may store the records described in subdivisions (a), (b) and (c) of Section 4105 of the Business and Professions Code in a storage area at the same address or adjoining the licensed premises without obtaining a waiver from the board if the following conditions are met:
(1) The records are readily accessible to the pharmacist-in-charge (or other pharmacist on duty, or designated representative) and upon request to the board or any authorized officer of the law.
(2) The storage area is maintained so that the records are secure and so that the confidentiality of any patient-related information is maintained.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4081, 4105 and 4333, Business and Professions Code.
HISTORY

1. New section filed 9-20-2000; operative 10-20-2000 (Register 2000, No. 38). For prior history, see Register 82, No. 2.
2. Change without regulatory effect amending subsection (g)(1) filed 12-18-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 51).
§1707.1. Duty to Maintain Medication Profiles (Patient Medication Records).
Note     •     History

(a) A pharmacy shall maintain medication profiles on all patients who have prescriptions filled in that pharmacy except when the pharmacist has reasonable belief that the patient will not continue to obtain prescription medications from that pharmacy.
(1) A patient medication record shall be maintained in an automated data processing or manual record mode such that the following information is readily retrievable during the pharmacy's normal operating hours.
(A) The patient's full name and address, telephone number, date of birth (or age) and gender;
(B) For each prescription dispensed by the pharmacy:
1. The name, strength, dosage form, route of administration, if other than oral, quantity and directions for use of any drug dispensed;
2. The prescriber's name and where appropriate, license number, DEA registration number or other unique identifier;
3. The date on which a drug was dispensed or refilled;
4. The prescription number for each prescription; and
5. The information required by section 1717.
(C) Any of the following which may relate to drug therapy: patient allergies, idiosyncracies, current medications and relevant prior medications including nonprescription medications and relevant devices, or medical conditions which are communicated by the patient or the patient's agent.
(D) Any other information which the pharmacist, in his or her professional judgment, deems appropriate.
(2) The patient medication record shall be maintained for at least one year from the date when the last prescription was filled.
NOTE

Authority cited: Sections 4005, 4121 and 4122, Business and Professions Code. Reference: Sections 4005, 4121 and 4122, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1707.1 to section 1707.2 and new section 1707.1 filed 8-10-90; operative 3-1-91 (Register 90, No. 39). For prior history, see Register 86, No. 27.
2. Request for change in operative date to 1-1-92 pursuant to Government Code section 11346.2 filed 1-11-91; operative 1-11-91 (Register 91, No. 6). 
3. Request for change in operative date to 11-1-92 filed 12-23-91 as an emergency; operative 12-23-91 (Register 92, No. 11). A Certificate of Compliance must be transmitted to OAL 4-21-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-23-91 order transmitted to OAL 4-21-92 and filed 5-28-92 (Register 92, No. 22).
5. Amendment of subsections (a)(1)(A), (B) and (C) filed 3-12-93; operative 4-12-93 (Register 93, No. 11).
6. Editorial correction of subsection (a)(1)(D) (Register 95, No. 16).
7. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1707.2. Duty to Consult.
Note     •     History

(a) A pharmacist shall provide oral consultation to his or her patient or the patient's agent in all care settings:
(1) upon request; or
(2) whenever the pharmacist deems it warranted in the exercise of his or her professional judgment.
(b)(1) In addition to the obligation to consult set forth in subsection (a), a pharmacist shall provide oral consultation to his or her patient or the patient's agent in any care setting in which the patient or agent is present:
(A) whenever the prescription drug has not previously been dispensed to a patient; or
(B) whenever a prescription drug not previously dispensed to a patient in the same dosage form, strength or with the same written directions, is dispensed by the pharmacy.
(2) When the patient or agent is not present (including but not limited to a prescription drug that was shipped by mail) a pharmacy shall ensure that the patient receives written notice:
(A) of his or her right to request consultation; and
(B) a telephone number from which the patient may obtain oral consultation from a pharmacist who has ready access to the patient's record.
(3) A pharmacist is not required by this subsection to provide oral consultation to an inpatient of a health care facility licensed pursuant to section 1250 of the Health and Safety Code, or to an inmate of an adult correctional facility or a juvenile detention facility, except upon the patient's discharge. A pharmacist is not obligated to consult about discharge medications if a health facility licensed pursuant to subdivision (a) or (b) of Health and Safety Code Section 1250 has implemented a written policy about discharge medications which meets the requirements of Business and Professions Code Section 4074.
(c) When oral consultation is provided, it shall include at least the following:
(1) directions for use and storage and the importance of compliance with directions; and
(2) precautions and relevant warnings, including common severe side or adverse effects or interactions that may be encountered.
(d) Whenever a pharmacist deems it warranted in the exercise of his or her professional judgment, oral consultation shall also include:
(1) the name and description of the medication;
(2) the route of administration, dosage form, dosage, and duration of drug therapy;
(3) any special directions for use and storage;
(4) precautions for preparation and administration by the patient, including techniques for self-monitoring drug therapy;
(5) prescription refill information;
(6) therapeutic contraindications, avoidance of common severe side or adverse effects or known interactions, including serious potential interactions with known nonprescription medications and therapeutic contraindications and the action required if such side or adverse effects or interactions or therapeutic contraindications are present or occur;
(7) action to be taken in the event of a missed dose.
(e) Notwithstanding the requirements set forth in subsection (a) and (b), a pharmacist is not required to provide oral consultation when a patient or the patient's agent refuses such consultation. 
NOTE

Authority cited: Sections 4005, 4076 and 4122, Business and Professions Code. Reference: Sections 4005, 4076 and 4122, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1707.1 to section 1707.2 filed 8-10-90; operative 3-1-91 (Register 90, No. 39).
2. Request for change in operative date to 1-1-92 pursuant to Government Code section 11346.2 filed 1-11-91; operative 1-11-91 (Register 91, No. 6). 
3. Request for change in operative date to 11-1-92 filed 12-23-91 as an emergency; operative 12-23-91 (Register 92, No. 11). A Certificate of Compliance must be transmitted to OAL 4-21-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-23-91 order transmitted to OAL 4-21-92 and filed 5-28-92 (Register 92, No. 22).
5. Amendment filed 3-12-93; operative 4-12-93 (Register 93, No. 11).
6. Editorial correction of subsections (b)(1)(A) and (f) (Register 95, No. 16).
7. Amendment of subsections (b)(3)-(c) and (f) and amendment of Note filed 8-8-2002; operative 9-7-2002 (Register 2002, No. 32).
8. New subsection (g) and amendment of Note filed 10-31-2007 as an emergency; operative 11-30-2007 (Register 2007, No. 44).
9. Amendment of section heading, repealer of subsections (f) and (g) and amendment of Note filed 1-17-2012; operative 2-16-2012 (Register 2012, No. 3).
§1707.3. Duty to Review Drug Therapy and Patient Medication Record Prior to Delivery.
Note     •     History

Prior to consultation as set forth in section 1707.2, a pharmacist shall review a patient's drug therapy and medication record before each prescription drug is delivered. The review shall include screening for severe potential drug therapy problems.
NOTE

Authority cited: Sections 4005, 4121 and 4122, Business and Professions Code. Reference: Sections 4005, 4074, 4121 and 4122, Business and Professions Code.
HISTORY

1. New section filed 3-12-93; operative 4-12-93 (Register 93, No. 11).
2. Change without regulatory effect amending section and Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1707.4. Procedures for Refill Pharmacies.
Note     •     History

(a) A pharmacy licensed by the board may process a request for refill of a prescription received by a pharmacy within this state, provided:
(1) The pharmacy that is to refill the prescription either has a contract with the pharmacy which received the prescription or has the same owner as the other pharmacy.
(2) The prescription container:
(A) is clearly labeled with all information required by Section 4076 of the Business and Professions Code; and
(B) clearly shows the name and address of the pharmacy refilling the prescription and/or the name and address of the pharmacy which receives the refilled prescription for dispensing to the patient.
(3) The patient is provided with written information, either on the prescription label or with the prescription container, that describes which pharmacy to contact if the patient has any questions about the prescription or medication.
(4) Both pharmacies maintain complete and accurate records of the refill, including:
(A) the name of the pharmacist who refilled the prescription;
(B) the name of the pharmacy refilling the prescription; and
(C) the name of the pharmacy that received the refill request.
(5) The pharmacy which refills the prescription and the pharmacy to which the refilled prescription is provided for dispensing to the patient shall each be responsible for ensuring the order has been properly filled.
(6) The originating pharmacy is responsible for compliance with the requirements set forth in Section 1707.1, 1707.2 and 1707.3 of the California Code of Regulations.
(b) Nothing in this section shall be construed as barring a pharmacy from also filling new prescriptions presented by a patient or a patient's agent or transmitted to it by a prescriber.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4063, 4076, 4081 and 4333, Business and Professions Code.
HISTORY

1. New section filed 6-1-2000; operative 7-1-2000 (Register 2000, No. 22).  
§1707.5. Patient-Centered Labels for Prescription Drug Containers; Requirements.
Note     •     History

(a) Labels on drug containers dispensed to patients in California shall conform to the following format: 
(1) Each of the following items shall be clustered into one area of the label that comprises at least 50 percent of the label. Each item shall be printed in at least a 10-point sans serif typeface or, if requested by the consumer, at least a 12-point typeface, and listed in the following order: 
(A) Name of the patient
(B) Name of the drug and strength of the drug. For the purposes of this section, “name of the drug” means either the manufacturer's trade name of the drug, or the generic name and the name of the manufacturer. 
(C) The directions for the use of the drug. 

(D) 	The condition or purpose for which the drug was prescribed if the  condition or purpose is indicated on the prescription. 
(2) For added emphasis, the label shall also highlight in bold typeface or color, or use blank space to set off the items listed in subdivision (a)(1). 
(3) The remaining required elements for the label specified in section 4076 of the Business and Professions Code, as well as any other items of information appearing on the label or the container, shall be printed so as not to interfere with the legibility or emphasis of the primary elements specified in paragraph (1) of subdivision (a). These additional elements may appear in any style, font, and size typeface. 
(4) When applicable, directions for use shall use one of the following phrases:
(A) Take 1 [insert appropriate dosage form] at bedtime
(B) Take 2 [insert appropriate dosage form] at bedtime
(C) Take 3 [insert appropriate dosage form] at bedtime
(D) Take 1 [insert appropriate dosage form] in the morning
(E) Take 2 [insert appropriate dosage form] in the morning
(F) Take 3 [insert appropriate dosage form] in the morning
(G) Take 1 [insert appropriate dosage form] in the morning, and Take 1 [insert appropriate dosage form] at bedtime
(H) Take 2 [insert appropriate dosage form] in the morning, and Take 2 [insert appropriate dosage form] at bedtime
(I) Take 3 [insert appropriate dosage form] in the morning, and Take 3 [insert appropriate dosage form] at bedtime 
(J) Take 1 [insert appropriate dosage form] in the morning, 1 [insert  appropriate dosage form] at noon, and l [insert appropriate dosage form] in the evening 
(K) Take 2 [insert appropriate dosage form] in the morning, 2 [insert appropriate dosage form] at noon, and 2 [insert appropriate dosage form] in the evening 
(L) Take 3 [insert appropriate dosage form] in the morning, 3 [insert appropriate dosage form] at noon, and 3 [insert appropriate dosage form] in the evening 
(M) Take 1 [insert appropriate dosage form] in the morning, 1 [insert appropriate dosage form] at noon, 1 [insert appropriate dosage form] in the evening, and 1 [insert appropriate dosage form] at bedtime 
(N) Take 2 [insert appropriate dosage form] in the morning, 2 [insert appropriate dosage form] at noon, 2 [insert appropriate dosage form] in the evening, and 2 [insert appropriate dosage form] at bedtime 
(O) Take 3 [insert appropriate dosage form] in the morning, 3 [insert appropriate dosage form] at noon, 3 [insert appropriate dosage form] in the evening, and 3 [insert appropriate dosage form] at bedtime 
(P) If you have pain, take __ [insert appropriate dosage form] at a time. Wait at least __ hours before taking again. Do not take more than __ [appropriate dosage form] in one day
(b) By October 2011, and updated as necessary, the board shall publish on its Web site translation of the directions for use listed in subdivision (a)(4) into at least five languages other than English, to facilitate the use thereof by California pharmacies. 
(c) The board shall collect and publish on its Web site examples of labels conforming to these requirements, to aid pharmacies in label design and compliance. 
(d) The pharmacy shall have policies and procedures in place to help patients with limited or no English proficiency understand the information on the label as specified in subdivision (a) in the patient's language. The pharmacy's policies and procedures shall be specified in writing and shall include, at minimum, the selected means to identify the patient's language and to provide interpretive services in the patient's language. The pharmacy shall, at minimum, provide interpretive services in the patient's language, if interpretive services in such language are available, during all hours that the pharmacy is open, either in person by pharmacy staff or by use of a third-party interpretive service available by telephone at or adjacent to the pharmacy counter. 
(e) The board shall re-evaluate the requirements of this section by December 2013 to ensure optimal conformance with Business and Professions Code section 4076.5. 
(f) As used in this section, “appropriate dosage form” includes pill, caplet, capsule or tablet. 
NOTE

Authority cited: Sections 4005 and 4076.5, Business and Professions Code. Reference: Sections 4005, 4076 and 4076.5, Business and Professions Code. 
HISTORY

1. New section filed 11-17-2010; operative 1-1-2011 pursuant to Government Code section 11343.4(b) (Register 2010, No. 47).
§1707.6. Notice to Consumers.
Note     •     History

(a) In every pharmacy there shall be prominently posted, in a place conspicuous to and readable by a prescription drug consumer, a notice containing the text in subdivision (b). Each pharmacy shall use the standardized poster-sized notice provided or made available by the board, unless the pharmacy has received prior approval of another format or display methodology from the board. The board may delegate authority to a committee or to the Executive Officer to give the approval. As an alternative to a printed notice, the pharmacy may also or instead display the notice on a video screen located in a place conspicuous to and readable by prescription drug consumers, so long as: (1) The video screen is at least 24 inches, measured diagonally; (2) The pharmacy utilizes the video image notice provided by the board; (3) The text of the notice remains on the screen for a minimum of 60 seconds; and (4) No more than five minutes elapses between displays of any notice on the screen, as measured between the time that a one-screen notice or the final screen of a multi-screen notice ceases to display and the time that the first or only page of that notice re-displays. The pharmacy may seek approval of another format or display methodology from the board. The board may delegate authority to a committee or to the Executive Officer to give the approval. 
(b) The notice shall contain the following text: 

NOTICE TO CONSUMERS 
California law requires a pharmacist to speak with you every time you get a new prescription. 
You have the right to ask for and receive from any pharmacy prescription drug labels in 12-point font. 
Interpreter services are available to you upon request at no cost. 
Before taking your medicine, be sure you know: the name of the medicine and what it does; how and when to take it, for how long, and what to do if you miss a dose; possible side effects and what you should do if they occur; whether the new medicine will work safely with other medicines or supplements; and what foods, drinks, or activities should be avoided while taking the medicine. Ask the pharmacist if you have any questions. 
This pharmacy must provide any medicine or device legally prescribed for you, unless it is not covered by your insurance; you are unable to pay the cost of a copayment; or the pharmacist determines doing so would be against the law or potentially harmful to health. If a medicine or device is not immediately available, the pharmacy will work with you to help you get your medicine or device in a timely manner. 
You may ask this pharmacy for information on drug pricing and use of generic drugs. 
(c) Every pharmacy, in a place conspicuous to and readable by a prescription drug consumer, at or adjacent to each counter in the pharmacy where dangerous drugs are dispensed or furnished, shall post or provide a notice containing the following text: 
Point to your language. Interpreter services will be provided to you upon request at no cost.
This text shall be repeated in at least the following languages: Arabic, Armenian, Cambodian, Cantonese, Farsi, Hmong, Korean, Mandarin, Russian, Spanish, Tagalog, and Vietnamese. 
Each pharmacy shall use the standardized notice provided or made available by the board, unless the pharmacy has received prior approval of another format or display methodology from the board. The board may delegate authority to a committee or to the Executive Officer to give the approval. 
The pharmacy may post this notice in paper form or on a video screen if the posted notice or video screen is positioned so that a consumer can easily point to and touch the statement identifying the language in which he or she requests assistance. Otherwise, the notice shall be made available on a flyer or handout clearly visible from and kept within easy reach of each counter in the pharmacy where dangerous drugs are dispensed or furnished, available at all hours that the pharmacy is open. The flyer or handout shall be at least 8 1/2 inches by 11 inches. 
NOTE

Authority cited: Sections 4005 and 4122, Business and Professions Code. Reference: Sections 733, 4005, 4076.5 and 4122, Business and Professions Code. 
HISTORY

1. New section filed 1-17-2012; operative 2-16-2012 (Register 2012, No. 3).
§1708. Application for Permit. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4008, Business and Professions Code. Reference: Section 4080, Business and Professions Code.
HISTORY

1. Amendment filed 5-9-52; effective thirtieth day thereafter (Register 28, No. 4).
2. Amendment filed 7-6-54; effective thirtieth day thereafter (Register 54, No. 15).
3. Amendment and renumbering of Section 1709 to 1708 filed 7- 21-66; effective thirtieth day thereafter (Register 66, No. 23).
4. Repealer filed 1-4-82; effective thirtieth day thereafter (Register 82, No. 2).
§1708.1. Posting of Licenses. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4008, Business and Professions Code. Reference: Section 4093, Business and Professions Code.
HISTORY

1. New section filed 9-14-60; designated effective 1-1-61 (Register 60, No. 20). For history of former section, see Register 21, No. 7.
2. Amendment and renumbering of Section 1726 to 1708.1 filed 7- 21-66; effective thirtieth day thereafter (Register 66, No. 23).
3. Repealer filed 1-4-82; effective thirtieth day thereafter (Register 82, No. 2).
§1708.2. Discontinuance of Business.
Note     •     History

Any permit holder shall contact the board prior to transferring or selling any dangerous drugs, devices or hypodermics inventory as a result of termination of business or bankruptcy proceedings and shall follow official instructions given by the board applicable to the transaction.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4080, 4081, 4332 and 4333, Business and Professions Code; and Section 11205, Health and Safety Code.
HISTORY

1. New section filed 10-31-74; effective thirtieth day thereafter (Register 74, No. 44).
2. Amendment filed 1-4-82; effective thirtieth day thereafter (Register 82, No. 2).
3. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1708.3. Radioactive Drugs.
Note     •     History

A radioactive drug is any substance defined as a drug in Section 201(g)(1) of the Federal Food, Drug and Cosmetic Act or a radioactive biological product as defined in 21 CFR 600.3(ee) which exhibits spontaneous disintegration of unstable nuclei with the emission of nuclear particles or photons and includes any such drug or biological product which is intended to be made radioactive. This definition includes non-radioactive reagent kits and nuclide generators which are intended to be used in the preparation of any such substance but does not include drugs such as carbon-containing compounds, potassium-containing compounds or potassium-containing salts which contain trace quantities of naturally occurring radionuclides.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4025, Business and Professions Code.
HISTORY

1. New section filed 1-20-76; effective thirtieth day thereafter (Register 76, No. 4).
2. Amendment filed 4-22-85; effective thirtieth day thereafter (Register 85, No. 17).
3. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1708.4. Pharmacist Handling Radioactive Drugs.
Note     •     History

A pharmacist handling radioactive drugs must be competent in the preparation, handling, storage, receiving, dispensing, disposition and pharmacology of radioactive drugs. He must have completed a nuclear pharmacy course and/or acquired experience in programs approved by the Board. Education and experience in non-approved programs may be granted partial or equivalent credit, if, in the opinion of the Board, such programs provide the level of competence as approved programs or the Nuclear Pharmacy Competency Statement adopted by the Board.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4021, 4022, 4025, 4036 and 4037, Business and Professions Code.
HISTORY

1. New section filed 1-20-76; effective thirtieth day thereafter (Register 76, No. 4).
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1708.5. Pharmacy Furnishing Radioactive Drugs.
Note     •     History

A pharmacy furnishing radioactive drugs is any area, place or premises described in a permit issued by the board where radioactive drugs are stored, processed, compounded, repackaged, or dispensed.
A pharmacy exclusively furnishing radioactive drugs shall be exempt from the patient consultation area requirements of Title 16 Cal. Code of Regulations Section 1714(a) unless the Board finds that the public health and safety require their application.
A pharmacist qualified under Section 1708.4 to furnish radioactive drugs shall be in the pharmacy whenever the furnishing of radioactive drugs occurs. All personnel involved in the furnishing of radioactive drugs shall be under the immediate and direct supervision of such a qualified pharmacist.
NOTE

Authority cited: Sections 4005, 4008 and 4008.2, Business and Professions Code. Reference: Sections 4005, 4008 and 4008.2, Business and Professions Code.
HISTORY

1. New section filed 1-20-76; effective thirtieth day thereafter (Register 76, No. 4).
2. Amendment filed 4-22-85; effective thirtieth day thereafter (Register 85, No. 17).
3. Amendment of section and Note filed 3-20-97; operative 4-19-97 (Register 97, No. 12).
§1708.6. Pharmacist in Charge of Pharmacy Handling Radioactive Drugs. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4008 and 4008.2, Business and Professions Code. Reference: Sections 4008 and 4008.2, Business and Professions Code.
HISTORY

1. New section filed 1-20-76; effective thirtieth day thereafter (Register 76, No. 4).
2. Repealer filed 4-22-85; effective thirtieth day thereafter (Register 85, No. 17).
§1708.7. Radioactive Drug Records. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4008 and 4008.2, Business and Professions Code. Reference: Sections 4008 and 4008.2, Business and Professions Code.
HISTORY

1. New section filed 1-20-76; effective thirtieth day thereafter (Register 76, No. 4).
2. Repealer filed 4-22-85; effective thirtieth day thereafter (Register 85, No. 17).
§1708.8. Quality Control of Radioactive Drugs. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4008 and 4008.2, Business and Professions Code. Reference: Sections 4008 and 4008.2, Business and Professions Code.
HISTORY

1. New section filed 1-20-76; effective thirtieth day thereafter (Register 76, No. 4).
2. Repealer filed 4-22-85; effective thirtieth day thereafter (Register 85, No. 17).
§1709. Names of Owners and Pharmacist in Charge.
Note     •     History

(a) Each permit to operate a pharmacy shall show the name and address of the pharmacy, the form of ownership (individual, partnership or corporation) and the pharmacist-in-charge. Each pharmacy shall, in its initial application on the annual renewal form, report the name of the pharmacist-in-charge, the names of all owners and the names of the corporate officers (if a corporation). Any changes in the pharmacist-in-charge, or the owners, or corporate officers shall be reported to the Board within 30 days. 
(b) Any transfer, in a single transaction or in a series of transactions, of 10 percent or more of the beneficial interest in a business entity licensed by the board to a person or entity who did not hold a beneficial interest at the time the original permit was issued, shall require written notification to the board within 30 days.
(c) The following shall constitute a transfer of permit and require application for a change of ownership: any transfer of a beneficial interest in a business entity licensed by the board, in a single transaction or in a series of transactions, to any person or entity, which transfer results in the transferee's holding 50% or more of the beneficial interest in that license.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4058, 4101, 4111, 4112, 4113, 4120, 4124, 4130, 4133, 4141, 4149, 4160, 4161, 4196, 4201, 4304, 4305 and 4330, Business and Professions Code.
HISTORY

1. New section filed 8-23-61; effective thirtieth day thereafter (Register 61, No. 17).
2. Amendment and renumbering of Section 1709.2 to 1709 filed 7- 21-66; effective thirtieth day thereafter (Register 66, No. 23).
3. Amendment filed 5-14-69; effective thirtieth day thereafter (Register 69, No. 20).
4. Amendment filed 2-22-80; effective thirtieth day thereafter (Register 80, No. 8).
5. Editorial correction (Register 95, No. 16).
6. Amendment of newly designated subsection (a), new subsections (b) and (c) and amendment of Note filed 1-15-97; operative 2-14-97 (Register 97, No. 3).
7. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1709.1. Designation of Pharmacist-In-Charge.
Note     •     History

(a) The pharmacist-in-charge of a pharmacy shall be employed at that location and shall have responsibility for the daily operation of the pharmacy.
(b) The pharmacy owner shall vest the pharmacist-in-charge with adequate authority to assure compliance with the laws governing the operation of a pharmacy.
(c) No pharmacist shall be the pharmacist-in-charge of more than two pharmacies. If a pharmacist serves as pharmacist-in-charge at two pharmacies, those pharmacies shall not be separated by a driving distance of more than 50 miles.
(d) No pharmacist shall be the pharmacist-in-charge of a pharmacy while concurrently serving as the designated representative-in-charge for a wholesaler or a veterinary food-animal drug retailer.
(e) Notwithstanding subdivision (a), a pharmacy may designate any pharmacist who is an employee, officer or administrator of the pharmacy or the entity which owns the pharmacy and who is actively involved in the management of the pharmacy on a daily basis as the pharmacist-in-charge for a period not to exceed 120 days. The pharmacy, or the entity which owns the pharmacy, shall be prepared during normal business hours to provide a representative of the board with documentation of the involvement of a pharmacist-in-charge designated pursuant to this subdivision with the pharmacy and efforts to obtain and designate a permanent pharmacist-in-charge.
(f) A pharmacist may refuse to act as a pharmacist-in-charge at a second pharmacy if the pharmacist determines, in the exercise of his or her professional judgment, that assuming responsibility for a second pharmacy would interfere with the effective performance of the pharmacist's responsibilities under the Pharmacy Law. A pharmacist who refuses to become pharmacist-in-charge at a second pharmacy shall notify the pharmacy owner in writing of his or her determination, specifying the circumstances of concern that have led to that determination.
(g) A person employing a pharmacist may not discharge, discipline, or otherwise discriminate against any pharmacist in the terms and conditions of employment for exercising or attempting to exercise in good faith the right established pursuant to this section.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4081, 4113, 4305 and 4330, Business and Professions Code.
HISTORY

1. New section filed 2-5-91; operative 3-7-91 (Register 91, No. 11).
2. Amendment of second paragraph filed 12-11-92; operative 1-11-93 (Register 92, No. 50).
3. Amendment of section and Note filed 5-29-97; operative 6-28-97 (Register 97, No. 22).
4. Amendment of section heading, section and Note filed 9-2-2004; operative 10-2-2004 (Register 2004, No. 36).
5. Change without regulatory effect amending subsection (d) filed 12-18-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 51).
§1710. Hospital Pharmacy.
Note     •     History

(a) A hospital pharmacy which predominantly furnishes drugs to inpatients of that hospital may furnish drugs to outpatients or employees of that hospital or to walk-in customers, provided that sales to walk-in customers do not exceed one (1) percent of all the pharmacy's prescriptions. 
(b) A hospital pharmacy may process an order for filling patient cassettes by another pharmacy within this state, provided:
(1) The pharmacy that is to fill the cassettes either has a contract with the ordering hospital pharmacy or has the same owner as the ordering inpatient hospital pharmacy,
(2) The filled cassette is delivered directly from the filling pharmacy to the ordering hospital pharmacy,
(3) Each cassette or container meets the requirements of Business and Professions Code section 4076,
(4) Both pharmacies are responsible for ensuring that the order has been properly filled.
(5) Both pharmacies shall maintain complete and accurate records of each cassette fill transaction, including the name of the pharmacist checking the cassettes at each pharmacy.
(6) Prescription information shall be electronically transferred between the two pharmacies.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4005, 4029, 4076 and 4380, Business and Professions Code. 
HISTORY

1. New section filed 1-18-90; operative 2-17-90 (Register 90, No. 4). For history of former Section 1710, see Registers 85, No. 17 and 82, No. 2.
2. Change without regulatory effect amending section and Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Amendment of section heading, section and Note filed 9-22-2004; operative 10-22-2004 (Register 2004, No. 39).
§1711. Quality Assurance Programs.
Note     •     History

(a) Each pharmacy shall establish or participate in an established quality assurance program which documents and assesses medication errors to determine cause and an appropriate response as part of a mission to improve the quality of pharmacy service and prevent errors.
(b) For purposes of this section, “medication error” means any variation from a prescription or drug order not authorized by the prescriber, as described in Section 1716. Medication error, as defined in the section, does not include any variation that is corrected prior to furnishing the drug to the patient or patient's agent or any variation allowed by law. 
(c)(1) Each quality assurance program shall be managed in accordance with written policies and procedures maintained in the pharmacy in an immediately retrievable form.
(2) When a pharmacist determines that a medication error has occurred, a pharmacist shall as soon as possible:
(A) Communicate to the patient or the patient's agent the fact that a medication error has occurred and the steps required to avoid injury or mitigate the error.
(B) Communicate to the prescriber the fact that a medication error has occurred.
(3) The communication requirement in paragraph (2) of this subdivision shall only apply to medication errors if the drug was administered to or by the patient, or if the medication error resulted in a clinically significant delay in therapy.
(4) If a pharmacist is notified of a prescription error by the patient, the patient's agent, or a prescriber, the pharmacist is not required to communicate with that individual as required in paragraph (2) of this subdivision.
(d) Each pharmacy shall use the findings of its quality assurance program to develop pharmacy systems and workflow processes designed to prevent medication errors. An investigation of each medication error shall commence as soon as is reasonably possible, but no later than 2 business days from the date the medication error is discovered. All medication errors discovered shall be subject to a quality assurance review.
(e) The primary purpose of the quality assurance review shall be to advance error prevention by analyzing, individually and collectively, investigative and other pertinent data collected in response to a medication error to assess the cause and any contributing factors such as system or process failures. A record of the quality assurance review shall be immediately retrievable in the pharmacy. The record shall contain at least the following:
1. the date, location, and participants in the quality assurance review;
2. the pertinent data and other information relating to the medication error(s) reviewed and documentation of any patient contact required by subdivision (c);
3. the findings and determinations generated by the quality assurance review; and,
4. recommend changes to pharmacy policy, procedure, systems, or processes, if any.
The pharmacy shall inform pharmacy personnel of changes to pharmacy policy, procedure, systems, or processes made as a result of recommendations generated in the quality assurance program.
(f) The record of the quality assurance review, as provided in subdivision (e) shall be immediately retrievable in the pharmacy for at least one year from the date the record was created.
(g) The pharmacy's compliance with this section will be considered by the board as a mitigating factor in the investigation and evaluation of a medication error.
(h) Nothing in this section shall be construed to prevent a pharmacy from contracting or otherwise arranging for the provision of personnel or other resources, by a third party or administrative offices, with such skill or expertise as the pharmacy believes to be necessary to satisfy the requirements of this section.
NOTE

Authority cited:  Section 4005, Business and Professions Code; and Section 2 of Chapter 677, Statutes of 2000. Reference: Section 4125, Business and Professions Code.
HISTORY

1. New section filed 1-14-2002; operative 1-14-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 3). For prior history, see Register 96, No. 5.
2. Repealer of subsections (c) and (i) and new subsections (c)-(c)(4) filed 9-22-2004; operative 10-22-2004 (Register 2004, No. 39).
§1712. Use of Pharmacist Identifiers.
Note     •     History

(a) Any requirement in this division for a pharmacist to initial or sign a prescription record or prescription label can be satisfied by recording the identity of the reviewing pharmacist in a computer system by a secure means. The computer used to record the reviewing pharmacist's identity shall not permit such a record to be altered after it is made.
(b) The record of the reviewing pharmacist's identity made in a computer system pursuant to subdivision (a) of this section shall be immediately retrievable in the pharmacy.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4005 and 4115, Business and Professions Code.
HISTORY

1. New section filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36). For prior history, see Register 96, No. 5.
§1713. Receipt and Delivery of Prescriptions and Prescription Medications.
Note     •     History

(a) Except as otherwise provided in this Division, no licensee shall participate in any arrangement or agreement, whereby prescriptions, or prescription medications, may be left at, picked up from, accepted by, or delivered to any place not licensed as a retail pharmacy.
(b) A licensee may pick up prescriptions at the office or home of the prescriber or pick up or deliver prescriptions or prescription medications at the office of or a residence designated by the patient or at the hospital, institution, medical office or clinic at which the patient receives health care services. In addition, the Board may, in its sole discretion, waive application of subdivision (a) for good cause shown. 
(c) A patient or the patient's agent may deposit a prescription in a secure container that is at the same address as the licensed pharmacy premises. The pharmacy shall be responsible for the security and confidentiality of the prescriptions deposited in the container.
(d) A pharmacy may use an automated delivery device to deliver previously dispensed prescription medications provided:
(1) Each patient using the device has chosen to use the device and signed a written consent form demonstrating his or her informed consent to do so.
(2) A pharmacist has determined that each patient using the device meets inclusion criteria for use of the device established by the pharmacy prior to delivery of prescription medication to the patient.
(3) The device has a means to identify each patient and only release that patient's prescription medications.
(4) The pharmacy does not use the device to deliver previously dispensed prescription medications to any patient if a pharmacist determines that such patient requires counseling as set forth in section 1707.2(a)(2).
(5) The pharmacy provides an immediate consultation with a pharmacist, either in-person or via telephone, upon the request of a patient.
(6) The device is located adjacent to the secure pharmacy area.
(7) The device is secure from access and removal by unauthorized individuals.
(8) The pharmacy is responsible for the prescription medications stored in the device.
(9) Any incident involving the device where a complaint, delivery error, or omission has occurred shall be reviewed as part of the pharmacy's quality assurance program mandated by Business and Professions Code section 4125.
(10) The pharmacy maintains written policies and procedures pertaining to the device as described in subdivision (e).
(e) Any pharmacy making use of an automated delivery device as permitted by subdivision (d) shall maintain, and  on an annual basis review, written policies and procedures providing for:
(1) Maintaining the security of the automated delivery device and the dangerous drugs within the device.
(2) Determining and applying inclusion criteria regarding which medications are appropriate for placement in the device and for which patients, including when consultation is needed.
(3) Ensuring that patients are aware that consultation with a pharmacist is available for any prescription medication, including for those delivered via the automated delivery device.
(4) Describing the assignment of responsibilities to, and training of, pharmacy personnel regarding the maintenance and filing procedures for the automated delivery device.
(5) Orienting participating patients on use of the automated delivery device, notifying patients when expected prescription medications are not available in the device, and ensuring that patient use of the device does not interfere with delivery of prescription medications.
(6) Ensuring the delivery of medications to patients in the event the device is disabled or malfunctions.
(f) Written policies and procedures shall be maintained at least three years beyond the last use for an automated delivery device.
(g) For the purposes of this section only, “previously-dispensed prescription medications” are those prescription medications that do not trigger a non-discretionary duty to consult under section 1707.2(b)(1), because they have been previously dispensed to the patient by the pharmacy in the same dosage form, strength, and with the same written directions.
NOTE

Authority cited: Section 4005, 4075 and 4114, Business and Professions Code. Reference: Sections 4005, 4052, 4116 and 4117, Business and Professions Code.
HISTORY

1. New section filed 12-27-2006; operative 1-26-2007 (Register 2006, No. 52). For prior history, see Register 96, No. 5.
§1714. Operational Standards and Security.
Note     •     History

(a) All pharmacies (except hospital inpatient pharmacies as defined by Business and Professions Code section 4029 which solely or predominantly furnish drugs to inpatients of the hospital) shall contain an area which is suitable for confidential patient counseling.
(b) Each pharmacy licensed by the board shall maintain its facilities, space, fixtures, and equipment so that drugs are safely and properly prepared, maintained, secured and distributed. The pharmacy shall be of sufficient size and unobstructed area to accommodate the safe practice of pharmacy.
(c) The pharmacy and fixtures and equipment shall be maintained in a clean and orderly condition. The pharmacy shall be dry, well-ventilated, free from rodents and insects, and properly lighted. The pharmacy shall be equipped with a sink with hot and cold running water for pharmaceutical purposes.
(d) Each pharmacist while on duty shall be responsible for the security of the prescription department, including provisions for effective control against theft or diversion of dangerous drugs and devices, and records for such drugs and devices. Possession of a key to the pharmacy where dangerous drugs and controlled substances are stored shall be restricted to a pharmacist.
(e) The pharmacy owner, the building owner or manager, or a family member of a pharmacist owner (but not more than one of the aforementioned) may possess a key to the pharmacy that is maintained in a tamper evident container for the purpose of 1) delivering the key to a pharmacist or 2) providing access in case of emergency. An emergency would include fire, flood or earthquake. The signature of the pharmacist-in-charge shall be present in such a way that the pharmacist may readily determine whether the key has been removed from the container.
(f) The board shall require an applicant for a licensed premise or for renewal of that license to certify that it meets the requirements of this section at the time of licensure or renewal.
(g) A pharmacy shall maintain a readily accessible restroom. The restroom shall contain a toilet and washbasin supplied with running water.
NOTE

Authority cited: Sections 4005 and 4116, Business and Professions Code. Reference: Sections 4116 and 4117, Business and Professions Code.
HISTORY

1. New section filed 1-30-96; operative 2-29-96 (Register 96, No. 5). (For prior history, see Register 80, No. 8).
2. Amendment of section heading and subsection (a), new subsection (e), subsection relettering and amendment of Note filed 1-8-98; operative 2-7-98 (Register 98, No. 2).
§1714.1. Pharmacy Operations During the Temporary Absence of a Pharmacist.
Note     •     History

This section is to ensure that pharmacists are able to have duty free breaks and meal periods to which they are entitled under Section 512 of the Labor Code and the orders of the Industrial Welfare Commission, without unreasonably impairing the ability of a pharmacy to remain open.
(a) In any pharmacy that is staffed by a single pharmacist, the pharmacist may leave the pharmacy temporarily for breaks and meal periods pursuant to Section 512 of the Labor Code and the orders of the Industrial Welfare Commission without closing the pharmacy and removing ancillary staff from the pharmacy if the pharmacist reasonably believes that the security of the dangerous drugs and devices will be maintained in his or her absence.
If in the professional judgment of the pharmacist, the pharmacist determines that the pharmacy should close during his or her absence, then the pharmacist shall close the pharmacy and remove all ancillary staff from the pharmacy during his or her absence.
(b) During the pharmacist's temporary absence, no prescription medication may be provided to a patient or to a patient's agent unless the prescription medication is a refill medication that the pharmacist has checked, released for furnishing to the patient and was determined not to require the consultation of a pharmacist.
(c) During such times that the pharmacist is temporarily absent from the pharmacy, the ancillary staff may continue to perform the non-discretionary duties authorized to them by pharmacy law. However, any duty performed by any member of the ancillary staff shall be reviewed by a pharmacist upon his or her return to the pharmacy.
(d) During the temporary absence of a pharmacist as authorized by this section, an intern pharmacist may not perform any discretionary duties nor otherwise act as a pharmacist.
(e) The temporary absence authorized by this section shall be limited to the minimum period authorized for pharmacists by section 512 of Labor Code or orders of the Industrial Welfare Commission, and any meal shall be limited to 30 minutes. The pharmacist who is on break shall not be required to remain in the pharmacy area during the break period.
(f) The pharmacy shall have written policies and procedures regarding the operations of the pharmacy during the temporary absence of the pharmacist for breaks and meal periods. The policies and procedures shall include the authorized duties of ancillary staff, the pharmacist's responsibilities for checking all work performed by ancillary staff and the pharmacist's responsibility for maintaining the security of the pharmacy. The policies and procedures shall be open to inspection by the board or its designee at all times during business hours.
(g) For the purposes of this section, ancillary staff includes: an intern pharmacist, a pharmacy technician, non-licensed personnel as defined in Section 1793.3 of Title 16 of the California Code of Regulations and a pharmacy technician trainee as defined in Section 4115.5(a) of the Business and Professions Code.
NOTE

Authority cited: Sections 4005, 4115 and 4116, Business and Professions Code. Reference: Sections 4009, 4115, 4115.5 and 4116, Business and Professions Code; and Sections 512 and 1186, Labor Code.
HISTORY

1. New section filed 12-21-99 as an emergency; operative 1-1-2000 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-21-99 order, including amendment of section and Note, transmitted to OAL 4-28-2000 and filed 6-12-2000 (Register 2000, No. 24).
3. Editorial correction of History 2 (Register 2008, No. 37).
§1714.5. Dangerous Drugs and Devices Exempt from the Provisions of Chapter 9, Division 2 of the Business and Professions Code.
Note     •     History

As provided in Section 4057 of the Business and Professions Code, the listing below shall be exempt from the provisions of Chapter 9, Division 2 of the Business and Professions Code where the sale or furnishing is made to a clinic, hospital, institution, or establishment holding a currently valid and unrevoked license or permit under division 2 (commencing with Section 1200) of the Health and Safety Code, or Chapter 2 (commencing with Section 3300) of Division 3 of, or Part 2 (commencing with Section 6250) of Division 6, of the Welfare and Institutions Code:
(a) dangerous devices,
(b) hypodermic needles and syringes,
(c) sterilized sutures,
(d) parenteral solutions of 50 cubic centimeters or over,
(1) sterile water for injection,
(2) dextrose solutions of 10% or less,
(3) ready-made parenteral nutritional solutions,
(4) pre-diluted ready-to-use electrolyte containing solutions,
(5) colloidal and low molecular weight plasma expanders,
(6) Mannitol,
(7) sodium chloride solutions of 5% or less,
(8) alcohol (ethanol) solutions of 10% or less in dextrose infusions,
(e) sterile water U.S.P.,
(f) sterile normal saline solution,
(g) medicinal gases,
(h) inhalation anesthetics,
(i) laboratory chemicals,
(j) non-controlled topical anesthetics,
(k) injectable local anesthetics when in sealed, pre-packaged kits,
(l) topical stains and dyes,
(m) diagnostic agents and contrast medium for X-ray examination,
(n) medicated dressings,
(o) irrigation solutions, and
(p) ophthalmic irrigation solutions.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4005 and 4057, Business and Professions Code.
HISTORY

1. New section filed 4-9-2001; operative 5-9-2001 (Register 2001, No. 15). For prior history, see Register 66, No. 23.
§1715. Self-Assessment of a Pharmacy by the Pharmacist-in-Charge.
Note     •     History

(a) The pharmacist-in-charge of each pharmacy as defined under section 4029 or section 4037 of the Business and Professions Code shall complete a self-assessment of the pharmacy's compliance with federal and state pharmacy law. The assessment shall be performed before July 1 of every odd-numbered year. The primary purpose of the self-assessment is to promote compliance through self-examination and education.
(b) In addition to the self-assessment required in subdivision (a) of this section, the pharmacist-in-charge shall complete a self-assessment within 30 days whenever:
(1) A new pharmacy permit has been issued, or
(2) There is a change in the pharmacist-in-charge, and he or she becomes the new pharmacist-in-charge of a pharmacy.
(3) There is a change in the licensed location of a pharmacy to a new address.
(c) The components of this assessment shall be on Form 17M-13 (Rev. 01/11) entitled “Community Pharmacy Self-Assessment Hospital Outpatient Pharmacy Self-Assessment” and on Form 17M-14 (Rev. 01/11) entitled “Hospital Pharmacy Self-Assessment” which are hereby incorporated by reference to evaluate compliance with federal and state laws and regulations.
(d) Each self-assessment shall be kept on file in the pharmacy for three years after it is performed.
NOTE

Authority cited: Sections 4005 and 4127, Business and Professions Code. Reference: Sections 4021, 4022, 4029, 4030, 4037, 4038, 4040, 4050, 4052, 4070, 4081, 4101, 4105, 4113, 4115, 4119, 4127, 4305, 4330, 4332 and 4333, Business and Professions Code.
HISTORY

1. New section filed 12-1-97; operative 12-31-97 (Register 97, No. 49). For prior history, see Register 80, No. 8.
2. Change without regulatory effect amending subsections (a) and (c) filed 1-8-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 2).
3. Amendment of section and Note filed 8-23-2001 ; operative 9-22-2001 (Register 2001, No. 34).
4. Amendment of subsections (b) and (c) and amendment of Note filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
5. Change without regulatory effect amending subsection (c) filed 12-18-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 51).
6. Change without regulatory effect amending subsection (c) filed 3-11-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 11).
7. New subsection (b)(3), amendment of subsection (c) and amendment of Note filed 9-19-2011; operative 10-19-2011 (Register 2011, No. 38).
§1715.5. Implementation of Electronic Monitoring of Schedule II Prescriptions.
Note     •     History

The collection of information authorized by Health and Safety Code section 11165 shall be provided as follows:
(a) For each prescription for a Schedule II controlled substance, the dispensing pharmacy shall provide the following information: the full name and address of the patient; the gender and date of birth of the patient; the DEA (Drug Enforcement Administration) number of the prescriber; the triplicate prescription number; the pharmacy prescription number; the pharmacy license number; the NDC (National Drug Code) number and the quantity of the controlled substance; the ICD-9 (diagnosis code), if available; the date of issue of the prescription, the date of dispensing of the prescription, and the state medical license number of any prescriber using the DEA number of a government exempt facility.
(b) The above information shall be provided in the following format:
(1) For each pharmacy with the capacity to do so, by on-line transmission at least every 30 days and no later than the 18th calendar day of the month following the month in which the prescription is dispensed.
(2) For each pharmacy which does not have the capacity to transmit the information on-line, on a three and one-half inch diskette in a ASCII format or one-half inch nine track magnetic 1600 BPI tape or any other medium approved by the Board of Pharmacy, which diskette, tape or medium shall be mailed or delivered to a location specified by The Board of Pharmacy, at least every 30 days and no later than the 18th calendar day of the month following the month in which the prescription is dispensed.
(3) For each pharmacy without the capacity to comply with either subsection (b)(1) or (2), the original triplicate shall be transmitted to the Department of Justice by the end of the month in which the prescription was filled.
For each pharmacy which submits hard copy pursuant to this subdivision and which pharmacy averages more than 25 triplicate prescriptions per month in any six months, the Board of Pharmacy or its designee may thereafter require that pharmacy to comply with subsections (b)(1) and (2).
(4) As to a prescription which is partially filled or dispensed, the period for compliance with subsections (1), (2), or (3) shall be measured from the earlier of the following dates and times: the prescription is either (1) completely dispensed or (2) can no longer be dispensed.
(c) Every pharmacy which has made a submission as required by this section by July 18, 1998, shall receive a reduction of $75 on its next renewal fee for licensure of the pharmacy by the board. Every pharmacy shall be in compliance with this section and Health and Safety Code section 11165 by September 18, 1998.
NOTE

Authority cited: Sections 4005, Business and Professions Code. Reference: Sections 11164 and 11165, Health and Safety Code.
HISTORY

1. New section filed 4-10-98 as an emergency; operative 4-10-98 (Register 98, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-10-98 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-10-98 order transmitted to OAL 7-16-98 and filed 8-27-98 (Register 98, No. 35).
§1715.6. Reporting Drug Loss.
Note     •     History

The owner shall report to the Board within thirty (30) days of discovery of any loss of the controlled substances, including their amounts and strengths.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4081 and 4332, Business and Professions Code.
HISTORY

1. New section filed 5-18-78; effective thirtieth day thereafter (Register 78, No. 20).
2. Amendment filed 1-4-82; effective thirtieth day thereafter (Register 82, No. 2).
3. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1716. Variation from Prescriptions.
Note     •     History

Pharmacists shall not deviate from the requirements of a prescription except upon the prior consent of the prescriber or to select the drug product in accordance with Section 4073 of the Business and Professions Code.
Nothing in this regulation is intended to prohibit a pharmacist from exercising commonly-accepted pharmaceutical practice in the compounding or dispensing of a prescription.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4040, Business and Professions Code.
HISTORY

1. New section filed 6-11-75; effective thirtieth day thereafter (Register 28, No. 7).
2. Repealer and new section filed 7-2-75 as an emergency; effective upon filing (Register 75, No. 27).
3. Amendment filed 11-6-75; effective thirtieth day thereafter (Register 75, No. 45).
4. Amendment filed 1-28-81; effective thirtieth day thereafter (Register 81, No. 5).
5. Change without regulatory effect amending first paragraph and Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1716.1. Compounding Unapproved Drugs for Prescriber Office Use. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4027, 4033, 4050, 4051, 4052, 4059, 4170 and 4171, Business and Professions Code.
HISTORY

1. New section filed 4-7-93; operative 5-7-93 (Register 93, No. 15).
2. Change without regulatory effect amending first paragraph and Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Repealer filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2).
§1716.2. Record Requirements--Compounding for Future Furnishing. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4005, 4051, 4059, 4081 and 4332, Business and Professions Code.
HISTORY

1. New section filed 4-7-93; operative 5-7-93 (Register 93, No. 15).
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Repealer filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2).
§1717. Pharmacy Practice.
Note     •     History

(a) No medication shall be dispensed on prescription except in a new container which conforms with standards established in the official compendia.
Notwithstanding the above, a pharmacist may dispense and refill a prescription for non-liquid oral products in a clean multiple-drug patient medication package (patient med pak), provided:
(1) a patient med pak is reused only for the same patient;
(2) no more than a one-month supply is dispensed at one time; and
(3) each patient med pak bears an auxiliary label which reads, “store in a cool, dry place.”
(b) In addition to the requirements of Business and Professions Code section 4040, the following information shall be maintained for each prescription on file and shall be readily retrievable:
(1) The date dispensed, and the name or initials of the dispensing pharmacist. All prescriptions filled or refilled by an intern pharmacist must also be initialed by the supervising pharmacist before they are dispensed.
(2) The brand name of the drug or device; or if a generic drug or device is dispensed, the distributor's name which appears on the commercial package label; and
(3) If a prescription for a drug or device is refilled, a record of each refill, quantity dispensed, if different, and the initials or name of the dispensing pharmacist.
(4) A new prescription must be created if there is a change in the drug, strength, prescriber or directions for use, unless a complete record of all such changes is otherwise maintained.
(c) Promptly upon receipt of an orally transmitted prescription, the pharmacist shall reduce it to writing, and initial it, and identify it as an orally transmitted prescription. If the prescription is then dispensed by another pharmacist, the dispensing pharmacist shall also initial the prescription to identify him or herself. All orally transmitted prescriptions shall be received and transcribed by a pharmacist prior to compounding, filling, dispensing, or furnishing. Chart orders as defined in section 4019 of the Business and Professions Code are not subject to the provisions of this subsection.
(d) A pharmacist may furnish a drug or device pursuant to a written or oral order from a prescriber licensed in a State other than California in accordance with Business and Professions Code section 4005.
(e) A pharmacist may transfer a prescription for Schedule III, IV or V controlled substances to another pharmacy for refill purposes in accordance with Title 21, Code of Federal Regulations, section 1306.25.
Prescriptions for other dangerous drugs which are not controlled substances may also be transferred by direct communication between pharmacists or by the receiving pharmacist's access to prescriptions or electronic files that have been created or verified by a pharmacist at the transferring pharmacy. The receiving pharmacist shall create a written prescription; identifying it as a transferred prescription; and record the date of transfer and the original prescription number. When a prescription transfer is accomplished via direct access by the receiving pharmacist, the receiving pharmacist shall notify the transferring pharmacy of the transfer. A pharmacist at the transferring pharmacy shall then assure that there is a record of the prescription as having been transferred, and the date of transfer. Each pharmacy shall maintain inventory accountability and pharmacist accountability and dispense in accordance with the provisions of section 1716 of this Division. Information maintained by each pharmacy shall at least include:
(1) Identification of pharmacist(s) transferring information;
(2) Name and identification code or address of the pharmacy from which the prescription was received or to which the prescription was transferred, as appropriate;
(3) Original date and last dispensing date;
(4) Number of refills and date originally authorized;
(5) Number of refills remaining but not dispensed;
(6) Number of refills transferred.
(f) The pharmacy must have written procedures that identify each individual pharmacist responsible for the filling of a prescription and a corresponding entry of information into an automated data processing system, or a manual record system, and the pharmacist shall create in his/her handwriting or through hand-initializing a record of such filling, not later than the beginning of the pharmacy's next operating day. Such record shall be maintained for at least three years.
NOTE

Authority cited: Sections 4005, 4075 and 4114, Business and Professions Code. Reference: Sections 4005, 4019, 4027, 4050, 4051, 4052, 4075, 4114, 4116, 4117 and 4342, Business and Professions Code.
HISTORY

1. New subsection (m) filed 5-18-78; effective thirtieth day thereafter (Register 78, No. 20). For prior history, see Register 75, No. 36.
2. New subsection (k) filed 11-8-78; designated effective 1-1- 79 (Register 78, No. 45).
3. Repealer of subsections (k) and (m) filed 2-22-80; effective thirtieth day thereafter (Register 80, No. 8).
4. Amendment of subsections (b) and (j) filed 1-28-81; effective thirtieth day thereafter (Register 81, No. 5).
5. Amendment of subsection (f) filed 4-8-81; effective thirtieth day thereafter (Register 81, No. 15).
6. Amendment filed 4-8-82; effective thirtieth day thereafter (Register 82, No. 15).
7. Amendment of subsection (d) and new subsection (f) filed 10- 20-82; effective thirtieth day thereafter (Register 82, No. 43).
8. Amendment of subsections (b), (c), (f) and new subsection (g) filed 3-5-86; effective thirtieth day thereafter (Register 86, No. 10).
9. Amendment of subsection (a) filed 5-10-88; operative 6-9-88 (Register 88, No. 20).
10. Amendment of subsection (a) filed 1-20-89; operative 2-19- 89 (Register 89, No. 4).
11. Amendment of subsection (c) filed 8-12-92; operative 9-11-92 (Register 92, No. 33).
12. Editorial correction of subsections (b)(1), (f), and (g) (Register 95, No. 16).
13. Change without regulatory effect amending subsections (c)-(d) and Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
14. Amendment of subsection (e) filed 2-10-2003; operative 3-12-2003 (Register 2003, No. 7).
15. Amendment of section heading and subsections (b)-(b)(1), (c)-(d) and (f) filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
16. Amendment of subsection (b)(1), repealer of subsection (e) and subsection relettering filed 12-27-2006; operative 1-26-2007 (Register 2006, No. 52).
17. Change without regulatory effect amending subsection (e) filed 12-18-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 51).
§1717.1. Common Electronic Files.
Note     •     History

(a) For dangerous drugs other than controlled substances: Two or more pharmacies may establish and use a common electronic file to maintain required dispensing information. Pharmacies using such a common file are not required to transfer prescriptions or information for dispensing purposes between or among pharmacies participating in the same common prescription file.
(b) For controlled substances: To the extent permitted by Federal law, two or more pharmacies may establish and use a common electronic file of prescriptions and dispensing information.
(c) All common electronic files must contain complete and accurate records of each prescription and refill dispensed.
(d) Common electronic files as authorized by this section shall not permit disclosure of confidential medical information except as authorized by the Confidentiality of Medical Information Act (Civil Code 56 et seq.).
(e) Pharmacies maintaining a common electronic file authorized by this section shall develop and implement written policies and procedures designed to prevent the unauthorized disclosure of confidential medical information.
NOTE

Authority cited: Sections 4005, 4075 and 4114, Business and Professions Code. Reference: Sections 4005, 4019, 4027, 4050, 4051, 4052, 4075, 4114, 4116 and 4117, Business and Professions Code; and Sections 56.10 and 56.11, Civil Code.
HISTORY

1. New section filed 3-5-86; effective thirtieth day thereafter (Register 86, No. 10).
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. New subsections (d)-(e) and amendment of Note filed 9-22-2004; operative 10-22-2004 (Register 2004, No. 39).
§1717.2. Notice of Electronic Prescription Files. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4005, Business and Professions Code.
HISTORY

1. New section filed 8-14-86; effective thirtieth day thereafter (Register 86, No. 33).
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Repealer filed 2-23-2007; operative 3-25-2007 (Register 2007, No. 8).
§1717.3. Preprinted Multiple Checkoff Prescription Blanks.
Note     •     History

(a) No person shall dispense a controlled substance pursuant to a preprinted multiple check-off prescription blank.
(b) A person may dispense a dangerous drug, that is not a controlled substance, pursuant to a preprinted multiple checkoff prescription blank and may dispense more than one dangerous drug, that is not a controlled substance, pursuant to such a blank if the prescriber has indicated on the blank the number of dangerous drugs he or she has prescribed.
(c) “Preprinted multiple checkoff prescription blank,” as used in this section means any form listing more than one dangerous drug where the intent is that a mark next to the name of a drug i.e., a “checkoff,” indicates a prescription order for that drug.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4040, Business and Professions Code; and Section 11164, Health and Safety Code.
HISTORY

1. New section filed 1-3-91, operative 2-2-91 (Register 91, No. 8).
2. Amendment of section heading, section and Note  filed 8-1-2001; operative 8-31-2001 (Register 2001, No. 31).
§1717.4. Electronic Transmission of Prescriptions.
Note     •     History

(a) Except as otherwise prohibited by law, prescriptions may be transmitted by electronic means from the prescriber to the pharmacy.
(b) An electronically transmitted prescription which meets the requirements of this regulation shall be deemed to be a prescription within the meaning of Business and Professions Code section 4040.
(c) An electronically transmitted prescription order shall include the name and address of the prescriber, a telephone number for oral confirmation, date of transmission and the identity of the recipient, as well as any other information required by federal or state law or regulations. The prescriber's address, license classification and federal registry number may be omitted if they are on file and readily retrievable in the receiving pharmacy.
(d) An “interim storage device” means as electronic file into which a prescription is entered for later retrieval by an authorized individual. Any interim storage device shall, in addition to the above information, record and maintain the date of entry and/or receipt of the prescription order, date of transmission from the interim storage device and identity of the recipient of such transmission. The interim storage device shall be maintained so as to ensure against unauthorized access and use of prescription information, including dispensing information.
(e) A pharmacy receiving an electronic image transmission prescription shall either receive the prescription in hard copy form or have the capacity to retrieve a hard copy facsimile of the prescription from the pharmacy's computer memory. Any hard copy of a prescription shall be maintained on paper of permanent quality.
(f) An electronically transmitted prescription shall be transmitted only to the pharmacy of the patient's choice. This requirement shall not apply to orders for medications to be administered in an acute care hospital.
(g) Electronic equipment for transmitting prescriptions (or electronic transmittal technology) shall not be supplied or used so as to violate or circumvent Business and Professions Code section 4000 et seq., Health and Safety Code section 11150 et seq., or any regulations of the board.
(h) Any person who transmits, maintains or receives any prescription or prescription refill, orally, in writing or electronically, shall ensure the security, integrity, authenticity, and confidentiality of the prescription and any information contained therein.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4019, 4040, 4071, 4072 and 4075, Business and Professions Code; and Section 11150, et seq., Health and Safety Code.
HISTORY

1. New section filed 4-19-95; operative 5-19-95 (Register 95, No. 16).
2. Change without regulatory effect amending subsection (b) and Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Amendment of subsection (h) filed 9-22-2004; operative 10-22-2004 (Register 2004, No. 39).
§1718. Current Inventory Defined.
Note     •     History

“Current Inventory” as used in Sections 4081 and 4332 of the Business and Professions Code shall be considered to include complete accountability for all dangerous drugs handled by every licensee enumerated in Sections 4081 and 4332.
The controlled substances inventories required by Title 21, CFR, Section 1304 shall be available for inspection upon request for at least 3 years after the date of the inventory.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4080, 4081 and 4332, Business and Professions Code.
HISTORY

1. New section filed 12-21-64; effective thirtieth day thereafter (Register 64, No. 26).
2. New subsection (5) filed 1-12-77; effective thirtieth day thereafter (Register 77, No. 3).
3. Amendment filed 11-16-82; effective thirtieth day thereafter (Register 82, No. 47).
4. Change without regulatory effect amending first paragraph and Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1718.1. Manufacturer's Expiration Date.
Note     •     History

All prescription drugs not bearing a manufacturer's expiration date pursuant to Title 21, Code of Federal Regulations, section 211.137 are deemed to have expired and may not be manufactured, distributed, held for sale, or dispensed by any manufacturer, distributor, pharmacist, pharmacy or other persons authorized to dispense such drugs in California.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4005 and 4342, Business and Professions Code.
HISTORY

1. New section filed 5-6-88; operative 6-5-88 (Register 88, No. 20).
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
Article 3. Pharmacist Candidates
§1719. Recognized Schools of Pharmacy.
Note     •     History

As used in this division, “recognized school of pharmacy” means a school of pharmacy accredited, or granted candidate status, by the Accreditation Council for Pharmacy Education or otherwise recognized by the board.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4200, Business and Professions Code.
HISTORY

1. Repealer filed 11-16-9-82; effective thirtieth day thereafter (Register 82, No. 47).
2. Renumbering and amendment of former section 1730 to section 1719 filed 3-17-83; effective thirtieth day thereafter (Register 83, No. 12).
3. Amendment filed 7-15-85; effective thirtieth day thereafter.
4. New subsection (c) filed 1-24-91; operative 2-23-91 (Register 91, No. 7).
5. Amendment of subsections (b)-(c) filed 8-4-95; operative 8-4-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 31).
6. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
7. Repealer and new article and section headings, repealer and new section and amendment of Note filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
§1720. Application for Pharmacist Examination and Licensure.
Note     •     History

(a) An application for examination shall be submitted on the form provided by the board, and filed with the board at its office in Sacramento.
(b) The fee required by subdivision (d) of section 1749 of this Division shall be paid for each application for initial examination and for any application to retake the examination described in section 4200.2 of the Business and Professions Code. The fee is nonrefundable.
(c) Each applicant shall be solely responsible for applying to and complying with the requirements imposed by the administrators of the North American Pharmacist Licensure Examination and the Multi-State Pharmacy Jurisprudence Examination for California for the administration of those examinations.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4200 and 4200.2, Business and Professions Code.
HISTORY

1. Originally published 12-5-46 (Title 16).
2. Amendment filed 5-24-50 as a procedural rule; effective upon filing (Register 20, No. 5).
3. Amendment filed 6-24-71; effective thirtieth day thereafter (Register 71, No. 26).
4. Amendment filed 11-16-82; effective thirtieth day thereafter (Register 82, No. 47).
5. Amendment of subsection (b) filed 4-20-83; effective thirtieth day thereafter (Register 83, No. 17).
6. Amended subsection (b) and new subsections (c) and (d) filed 6-18-90; operative 7-17-90 (Register 90, No. 35).
7. Editorial correction of subsections (b), (c), and (d) (Register 95, No. 16).
8. Change without regulatory effect amending subsection (d) and Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
9. Amendment of section heading and section filed 9-22-2004; operative 10-22-2004 (Register 2004, No. 39).
10. Amendment of subsection (b), repealer of subsections and (c) and (e), subsection relettering and amendment of Note filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
§1720.1. Graduates of Foreign Pharmacy Schools.
Note     •     History

Graduates of foreign pharmacy schools who have been certified by the Foreign Pharmacy Graduate Equivalency Committee shall be deemed by the board to have satisfied the requirements of paragraphs (3) and (4) of Business and Professions Code Section 4200(a). Candidates who have been certified by the Foreign Pharmacy Graduate Equivalency Committee before January 1, 1998, must also provide the board with a score on the Test of Spoken English of least 50. For candidates who took the Test of Spoken English before June 30, 1995, a score of at least 220 must be achieved.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 851 and 4200, Business and Professions Code.
HISTORY

1. New section filed 10-31-74; effective thirtieth day thereafter (Register 74, No. 44).
2. Repealer filed 1-12-77; effective thirtieth day thereafter (Register 77, No. 3).
3. New section filed 6-18-90; operative 7-17-90 (Register 90, No. 35).
4. Editorial correction of Reference (Register 91, No. 24).
5. Amendment filed 3-25-96; operative 4-24-96 (Register 96, No. 13).
6. Change without regulatory effect amending section and Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
7. Amendment filed 2-11-2003; operative 3-13-2003 (Register 2003, No. 7).
8. Repealer and new section and amendment of Note filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
§1721. Dishonest Conduct During Examination.
Note     •     History

An applicant for examination as a pharmacist who engages in dishonest conduct during the examination shall not have that examination graded, shall not be approved to take the examination for three years from the date of the incident, and shall surrender his or her intern license until eligible to take the examination. The applicant may not be issued a pharmacy technician license until the applicant is again eligible to take the examination.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 123, 496 and 4200, Business and Professions Code.
HISTORY

1. Amendment filed 5-18-78; effective thirtieth day thereafter (Register 78, No. 20).
2. Amendment filed 11-16-82; effective thirtieth day thereafter (Register 82, No. 47).
3. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
4. Amendment filed 9-22-2004; operative 10-22-2004 (Register 2004, No. 39).
5. Amendment of section and Note filed 8-18-2010; operative 9-17-2010 (Register 2010, No. 34).
§1722. Time and Place of Holding Examinations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4008 and 4008.1, Business and Professions Code. Reference: Section 4085, Business and Professions Code.
HISTORY

1. Repealer filed 11-16-82; effective thirtieth day thereafter (Register 82, No. 47).
§1723. Examination. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4008 and 4008.1, Business and Professions Code. Reference: Section 4085, Business and Professions Code.
HISTORY

1. Amendment filed 5-9-52; effective thirtieth day thereafter (Register 28, No. 4).
2. Amendment filed 6-24-71; effective thirtieth day thereafter (Register 71, No. 26).
3. Repealer filed 11-16-82; effective thirtieth day thereafter (Register 82, No. 47).
§1723.1. Confidentiality of Examination Questions.
Note     •     History

Examination questions are confidential. Any applicant for any license issued by the board who removes all or part of any qualifying examination from the examination room or area, or who conveys or exposes all or part of any qualifying examination to any other person may be disqualified as a candidate for a license. The applicant shall not be approved to take the examination for three years from the date of the incident and shall surrender his or her intern license until again eligible to take the examination. The applicant may not be issued a pharmacy technician license until the applicant is again eligible to take the examination.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 123 and 496, Business and Professions Code.
HISTORY

1. New section filed 10-31-74; effective thirtieth day thereafter (Register 74, No. 44).
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Amendment of section and Note filed 9-22-2004; operative 10-22-2004 (Register 2004, No. 39).
4. Amendment filed 8-18-2010; operative 9-17-2010 (Register 2010, No. 34).
§1724. Passing Grade in Pharmacist Examination.
Note     •     History

In order to pass the examination, an applicant shall be required to obtain a passing score as determined by a criterion-referenced method of establishing the passing point on each part of the examination. The board may scale the passing score to 75 for the purpose of releasing scores to examinees.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4200, Business and Professions Code.
HISTORY

1. Amendment filed 5-18-86 as an emergency; effective upon filing (Register 56, No. 9).
2. Amendment filed 6-7-56 as an emergency; effective upon filing (Register 56, No. 11).
3. Amendment filed 11-16-82; effective thirtieth day thereafter (Register 82, No. 47).
4. Amendment filed 5-16-83; effective thirtieth day thereafter (Register 83, No. 21).
5. Amendment of subsections (a) and (b) filed 5-18-89; operative 5-18-89 pursuant to Government Code section 11346.2(d) (Register 89, No. 21).
6. Repealer and new text filed 12-5-94; operative 2-1-95 (Register 94, No. 49).
7. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
8. Amendment of section heading and repealer and new section filed 9-22-2004; operative 10-22-2004 (Register 2004, No. 39).
§1725. Acceptable Pharmacy Coursework for Examination Candidates with Four Failed Attempts.
Note     •     History

(a) Coursework that meets the requirements of section 4200.1 of the Business and Professions Code is any pharmacy coursework offered by a recognized school of pharmacy.
(b) A final examination must be a part of the course of study.
(c) When a candidate applies for reexamination after four failed attempts, he or she shall furnish evidence of successful completion of at least 16 semester units or the equivalent of pharmacy coursework. Evidence of successful completion must be posted on a transcript from the pharmacy school sent directly to the board.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4200.1, Business and Professions Code.
HISTORY

1. New section filed 10-5-98; operative 11-4-98 (Register 98, No. 41). For prior history, see Register 83, No. 12.
2. Amendment of subsection (a) filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
§1726. Supervision of Intern Pharmacists.
Note     •     History

(a) The pharmacist supervising an intern pharmacist shall be responsible for all professional activities performed by the intern under his or her supervision.
(b) The pharmacist supervising an intern pharmacist shall provide the experience necessary for the intern pharmacist to become proficient in the practice of pharmacy.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4030, 4114 and 4200, Business and Professions Code.
HISTORY

1. New section filed 5-14-69; effective thirtieth day thereafter (Register 69, No. 20).
2. Amendment of subsections (e) and (g) filed 5-18-78; effective thirtieth day thereafter (Register 78, No. 20).
3. Amendment filed 8-3-79; effective thirtieth day thereafter (Register 79, No. 31).
4. Amendment and new subsections (b) and (c) filed 11-16-82; effective thirtieth day thereafter (Register 82, No. 47).
5. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
6. Repealer and new section heading and amendment of section filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
§1727. Intern Pharmacist. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4030, 4114 and 4200, Business and Professions Code.
HISTORY

1. New section filed 5-14-69; effective thirtieth day thereafter (Register 69, No. 20).
2. Amendment filed 8-3-79; effective thirtieth day thereafter (Register 79, No. 31).
3. Amendment filed 11-16-82; effective thirtieth day thereafter (Register 82, No. 47).
4. New subsection (e) filed 4-20-83; effective thirtieth day thereafter (Register 83, No. 17).
5. Change without regulatory effect amending subsections (b)(3) and (e) and Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
6. Repealer filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
§1727.1. Intern Pharmacist Address.
Note     •     History

The board shall not make an intern pharmacist's address publicly available on the “Internet,” as defined by Business and Professions Code section 17538.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4005, 4030, 4100 and 4208, Business and Professions Code.
HISTORY

1. New section filed 8-31-2006; operative 9-30-2006 (Register 2006, No. 35).
§1728. Requirements for Examination.
Note     •     History

(a) Prior to receiving authorization from the board to take the pharmacist licensure examinations required by section 4200 of the Business and Professions Code, applicants shall submit to the board the following:
(1) Proof of 1500 hours of pharmacy practice experience that meets the following requirements:
(A) A minimum of 900 hours of pharmacy practice experience obtained in a pharmacy.
(B) A maximum of 600 hours of pharmacy practice experience may be granted at the discretion of the board for other experience substantially related to the practice of pharmacy.
(C) Experience in both community pharmacy and institutional pharmacy practice settings.
(D) Pharmacy practice experience that satisfies the requirements for both introductory and advanced pharmacy practice experiences established by the Accreditation Council for Pharmacy Education.
(2) Satisfactory proof that the applicant graduated from a recognized school of pharmacy.
(3) Fingerprints to obtain criminal history information from both the Department of Justice and the United States Federal Bureau of Investigation pursuant to Business and Professions Code section 144.
(4) A signed copy of the examination security acknowledgment.
(b) Applicants who hold or held a pharmacist license in another state shall provide a current license verification from each state in which the applicant holds or held a pharmacist license prior to being authorized by the board to take the examinations.
(c) Applicants who graduated from a foreign school of pharmacy shall provide the board with satisfactory proof of certification by the Foreign Pharmacy Graduate Examination Committee prior to being authorized by the board to take the examinations.
NOTE

Authority cited: Sections 851 and 4005, Business and Professions Code. Reference: Sections 144, 851 and 4200, Business and Professions Code.
HISTORY

1. New subsection (b)(5) filed 5-18-76; effective thirtieth day thereafter (Register 78, No. 20). For prior history, see Register 75, No. 30.
2. Amendment filed 8-3-79; effective thirtieth day thereafter (Register 79, No. 31).
3. Amendment filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
4. Editorial correction of section heading and subsections (b) and (c) (Register 95, No. 16).
5. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
6. Amendment of section heading, repealer and new section and amendment of Note filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
§1729. Preceptor Activities. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4008 and 4008.1, Business and Professions Code. Reference: Sections 4038.1, 4085, 4087 and 4097, Business and Professions Code.
HISTORY

1. New section filed 3-28-46; effective thirtieth day thereafter (Register 56, No. 6).
2. Amendment filed 7-24-58; effective thirtieth day thereafter (Register 58, No. 13).
3. Amendment filed 5-14-69; effective thirtieth day thereafter (Register 69, No. 20).
4. Amendment filed 7-25-75; effective thirtieth day thereafter (Register 75, No. 30).
5. Amendment filed 8-3-79; effective thirtieth day thereafter (Register 79, No. 31).
6. Repealer filed 11-16-82; effective thirtieth day thereafter (Register 82, No. 47).
§1730. Pharmaceutical Education. [Renumbered] 
Note     •     History

NOTE

Authority cited: Section 4009, Business and Professions Code.
HISTORY

1. Originally published 12-5-46 (Title 16).
2. Amendment filed 3-11-50 as a procedural regulation designated to be effective upon filing (Register 19, No. 1).
3. Amendment filed 9-21-50; effective thirtieth day thereafter (Register 21, No. 7).
4. Amendment filed 5-9-52; effective thirtieth day thereafter (Register 28, No. 4).
5. Repealer and new section filed 3-28-58; effective thirtieth day thereafter (Register 56, No. 6).
6. Amendment filed 7-24-58; effective thirtieth day thereafter (Register 58, No. 13).
7. Amendment filed 7-21-66; effective thirtieth day thereafter (Register 66, No. 23).
8. Renumbering and amendment of Section 1730 to Section 1719 filed 3-17-83; effective thirtieth day thereafter (Register 83, No. 12). 
9. Change without regulatory effect repealing former article 4 heading filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1731. Experimental Programs. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 4008, 4008.1, 4008.2, Business and Professions Code. Reference: Sections 4008, 4008.1, 4008.2, 4084.5, 4084.6 and 4416, Business and Professions Code.
HISTORY

1. New section filed 4-24-70; effective thirtieth day thereafter (Register 70, No. 17). For prior history see Register 66, No. 23.
2. Editorial correction of subsection (a) (Register 95, No. 16).
3. Change without regulatory effect renumbering former section 1731 to new section 1706.5 filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
Article 4. Continuing Education
§1732. Definitions.
Note     •     History

As used in this article:
(a) “Accreditation agency” means an organization which evaluates and accredits providers of continuing education for pharmacists.
(b) “Hour” means at least 50 minutes of contact time.
(c) “Provider” means a person who has been accredited by an approved accreditation agency or accredited by the board to provide a specific continuing education course.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4232, Business and Professions Code.
HISTORY

1. New Article 4.5 (Sections 1732-1732.4) filed 8-3-73; designated effective 11-1-73 (Register 73, No. 31). For history of former section, see Register 21, No. 7.
2. New subsections (d) and (e) filed 1-12-77; effective thirtieth day thereafter (Register 77, No. 3).
3. Amendment filed 4-17-85; effective thirtieth day thereafter (Register 85, No. 16).
4. Amendment filed 12-9-88; operative 1-1-89 (Register 88, No. 52).
5. Repealer of subsection (a), subsection relettering and amendment of Note filed 11-18-99; operative 12-18-99 (Register 99, No. 47).
6. Change without regulatory effect renumbering former article 4.5 to article 4 filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
7. Amendment filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
§1732.05. Accreditation Agencies for Continuing Education.
Note     •     History

(a) The following organizations are approved accreditation agencies:
(1) The Accreditation Council for Pharmacy Education.
(2) The Pharmacy Foundation of California.
(b) Accreditation agencies shall:
(1) Evaluate each continuing education provider seeking accreditation in accordance with the provider's ability to comply with the requirements of section 1732.1 of this Division.
(2) Maintain a list of the name and address of the person responsible for the provider's continuing education program. The accreditation agency shall require that any change in the responsible person's identity shall be reported to the accreditation agency within 15 days of the effective date of the change.
(3) Provide the board with the names, addresses and responsible party of each provider, upon request.
(4) Respond to complaints from the board, providers or from pharmacists concerning activities of any of its accredited providers or their coursework.
(5) Review at least one course per year offered by each provider accredited by the agency for compliance with the agency's requirements and requirements of the board and, on request, report the findings of such reviews to the board.
(6) Take such action as is necessary to assure that the continuing education coursework offered by its providers meets the continuing education requirements of the board.
(7) Verify the completion of a specific continuing education course by an individual pharmacist upon request of the board.
(c) Substantial failure of an approved accreditation agency to evaluate continuing education providers as set forth in subdivision (b) shall constitute cause for revocation of its approval as an accreditation agency by the board.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4232, Business and Professions Code.
HISTORY

1. New section filed 12-9-88; operative 1-8-89 (Register 88, No. 52).
2. Amendment of subsection (b)(1)(A) and amendment of Note filed 11-18-99; operative 12-18-99 (Register 99, No. 47).
3. Amendment of section heading and section filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
§1732.1. Requirements for Accredited Providers.
Note     •     History

(a) No person shall provide continuing pharmacy education without being accredited by an approved accreditation agency or having the course accredited by the board pursuant to section 1732.2 of this Division.
(b) Providers shall ensure that each continuing education course complies with the requirements of section 1732.3 of this Division.
(c) Providers shall furnish statements of credit to all participants that complete a continuing education course. The statement of credit shall contain the name of the enrollee, name and number of the provider, title of the course, number of completed hours, date of completion, expiration date of the coursework, course number, if applicable and the name of the accrediting agency.
(d) Each provider shall notify the accreditation agency at least 15 days in advance of the first time each new continuing education course is offered or presented.
(e) Providers shall maintain records of completion of their continuing education courses for four years.
(f) Providers shall include the following information in promotional materials regarding continuing education courses:
(1) Provider's name.
(2) The number of hours awarded for completion of the course.
(3) The date when the course's accreditation expires.
(4) The provider number assigned by the accreditation agency.
(5) The name of the provider's accrediting agency.
(6) The learning objectives of the program.
(7) The nature of the targeted audiences that may best benefit from participation in the program.
(8) The speakers and their credentials.
(g) Providers shall have written procedures for determining the credit hours awarded for the completion of continuing education courses.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4232, Business and Professions Code.
HISTORY

1. Amendment of subsection (b) and new subsection (d) filed 1-12-77; effective thirtieth day thereafter (Register 77, No. 3).
2. Amendment filed 4-17-85; effective thirtieth day thereafter (Register 85, No. 16).
3. Amendment filed 12-9-88; operative 1-8-89 (Register 88, No. 52).
4. Amendment of Note filed 11-18-99; operative 12-18-99 (Register 99, No. 47).
5. Amendment of section heading and section filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
§1732.2. Board Accredited Continuing Education.
Note     •     History

(a) Individuals may petition the board to allow continuing education credit for specific coursework which is not offered by a provider but meets the standards of Section 1732.3.
(b) Notwithstanding subdivision (a) of this section, coursework which meets the standard of relevance to pharmacy practice and has been approved for continuing education by the Medical Board of California, the California Board of Podiatric Medicine, the California Board of Registered Nursing or the Dental Board of California shall, upon satisfactory completion, be considered approved continuing education for pharmacists.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4232, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1732.2 to 1732.5 and new section 1732.2 filed 4-17-85; effective thirtieth day thereafter (Register 85, No. 16).
2. Amendment filed 12-9-88; operative 1-8-89 (Register 88, No. 52).
3. Editorial correction of printing error restoring previously omitted section (Register 91, No. 30).
4. Editorial correction of subsections (a) and (b) (Register 95, No. 16).
5. Amendment of subsection (b) and amendment of Note filed 11-18-99; operative 12-18-99 (Register 99, No. 47).
6. Amendment filed 7-28-2003; operative 8-27-2003 (Register 2003, No. 31).
7. Repealer and new section heading and amendment of subsection (a) filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
§1732.3. Requirements for Continuing Education Courses.
Note     •     History

(a) Unless denied by the accreditation agency upon audit, all coursework offered by providers may be used to satisfy the continuing education required by section 1732.5 of this Division.
(b) On a random basis or in response to a requests by the board, the accreditation agency shall review selected coursework. The material shall be forwarded to a reviewer to judge the quality of the program on the basis of factors established by the accreditation  agency in addition to the requirements of this section.
(c) A recognized provider's coursework shall be valid for up to three years following the initial presentation provided that the information is still current.
(d) Continuing education courses shall comply with the following:
(1) Courses shall have specific, measurable learning objectives which serve as a basis for an evaluation of the program's effectiveness.
(2) Speakers, or those developing the content of the course, shall be competent in the subject matter and shall be qualified by education, training and/or experience.
(3) Courses shall have a syllabus which provides a general outline of the course. The syllabus shall contain at a minimum, the learning objectives for each course and a summary containing the main points for each topic.
(4) Courses shall include a mechanism that allows all participants to assess their achievement in accordance with the program's learning objectives.
(e)(1) Continuing education courses shall be relevant to the practice of pharmacy as provided in this section and in section 4232 of the Business and Professions Code and related to one or more of the following:
(A) The scientific knowledge or technical skills required for the practice of pharmacy.
(B) Direct and/or indirect patient care.
(C) The management and operation of a pharmacy practice.
(2) Continuing education courses shall not reflect the commercial views of the provider or of any person giving financial assistance to the provider.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4232, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1732.3 to section 1732.6 and new section 1732.3 filed 4-17-85; effective thirtieth day thereafter (Register 85, No. 16).
2. Amendment filed 12-9-88; operative 1-8-89 (Register 88, No. 52).
3. Editorial correction of printing error restoring previously omitted section (Register 91, No. 30).
4. Amendment of subsection (d) filed 7-9-91; operative 8-8-91 (Register 91, No. 44).
5. Amendment of subsection (c) and Note filed 1-7-94; operative 2-7-94 (Register 94, No. 1).
6. Editorial correction of subsection (b) (Register 95, No. 16).
7. Amendment of Note filed 11-18-99; operative 12-18-99 (Register 99, No. 47).
8. Repealer and new section heading and amendment of section and Note filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
§1732.4. Provider Audit Requirements.
Note     •     History

Upon written request from the accreditation agency, relating to an audit of continuing education course, each provider shall submit such materials as are required by the accreditation agency.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4232, Business and Professions Code.
HISTORY

1. New subsection (c) filed 1-12-77; effective thirtieth day thereafter (Register 77, No. 3).
2. Amendment filed 4-17-85; effective thirtieth day thereafter (Register 85, No. 16).
3. Amendment filed 12-9-88; operative 1-8-89 (Register 88, No. 52).
4. Editorial correction of printing error restoring previously omitted section (Register 91, No. 30).
5. Repealer of subsection (a) designator and amendment of Note filed 11-18-99; operative 12-18-99 (Register 99, No. 47).
6. Amendment filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
§1732.5. Renewal Requirements for Pharmacist.
Note     •     History

(a) Except as provided in Section 4234 of the Business and Professions Code and Section 1732.6 of this Division, each applicant for renewal of a pharmacist license shall submit proof satisfactory to the board, that the applicant has completed 30 hours of continuing education in the prior 24 months.
(b) All pharmacists shall retain their certificates of completion for four years following completion of a continuing education course.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4231 and 4232, Business and Professions Code.
HISTORY

1. New section filed 1-12-77; effective thirtieth day thereafter (Register 77, No. 3).
2. Repealer of former Section 1732.5 and renumbering and amendment of former Section 1732.2 to new Section 1732.5 filed 4-17-85; effective thirtieth day thereafter (Register 85, No. 16).
3. Amendment of subsection (a) filed 12-9-88; operative 1-8-89 (Register 88, No. 52). 
4. Amendment of subsection (a) and amendment of Note filed 11-18-99; operative 12-18-99 (Register 99, No. 47).
5. Amendment filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
§1732.6. Exemptions.
Note     •     History

Pharmacists may seek exemption from the continuing education requirements for renewal on the grounds of emergency or hardship by applying to the board in writing setting forth the reasons why such exemption should be granted. Exemptions may be granted for such reasons as illness or full-time enrollment in a health professional school.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4234, Business and Professions Code.
HISTORY

1. New section filed 1-12-77; effective thirtieth day thereafter (Register 77, No. 3).
2. Repealer of former Section 1732.6 and renumbering and amendment of former Section 1732.3 to new Section 1732.6 filed 4-17-85; effective thirtieth day thereafter (Register 85, No. 16). 
3. Amendment of Note filed 11-18-99; operative 12-18-99 (Register 99, No. 47).
4. Amendment filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
§1732.7. Complaint Mechanism.
Note     •     History

A provider may request reconsideration of any adverse action taken against the provider or its coursework by an accreditation agency. Following such reconsideration, the provider may request review of the accreditation agency's decision by the board.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4232, Business and Professions Code.
HISTORY

1. New section filed 1-12-77; effective thirtieth day thereafter (Register 77, No. 3).
2. Amendment filed 4-17-85; effective thirtieth day thereafter (Register 85, No. 16).
3. Amendment filed 12-9-88; operative 1-8-89 (Register 88, No. 52). 
4. Amendment of Note filed 11-18-99; operative 12-18-99 (Register 99, No. 47).
5. Amendment filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
§1732.8. Accreditation Procedure. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4008 and 4098.3, Business and Professions Code. Reference: Section 4098.3, Business and Professions Code.
HISTORY

1. New section filed 1-12-77; effective thirtieth day thereafter (Register 77, No. 3).
2. Repealer filed 4-17-85; effective thirtieth day thereafter (Register 85, No. 16). 
§1732.9. Accreditation Procedure Waiver. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4008 and 4098.3, Business and Professions Code. Reference: Section 4098.3, Business and Professions Code.
HISTORY

1. New section filed 1-12-77; effective thirtieth day thereafter (Register 77, No. 3).
2. Repealer filed 4-17-85; effective thirtieth day thereafter (Register 85, No. 16).
§1733. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4312, Business and Professions Code. Reference: Sections 4300-4325, Business and Professions Code.
HISTORY

1. Repealer of Sections 1733 through 1739, and new Sections 1733 through 1739 filed 11-3-55; designated effective 2-1-56 (Register 55, No. 16). For prior history, see Register 28, No. 4.
2. Amendment filed 7-24-75; effective thirtieth day thereafter (Register 75, No. 30).
3. Repealer of Article 5 (Sections 1733-1738) filed 1-28-81; effective thirtieth day thereafter (Register 81, No. 5).
Article 4.5. Compounding
§1735. Compounding in Licensed Pharmacies.
Note     •     History

(a) “Compounding” means any of the following activities occurring in a licensed pharmacy, by or under the supervision of a licensed pharmacist, pursuant to a prescription: 
(1) Altering the dosage form or delivery system of a drug 
(2) Altering the strength of a drug 
(3) Combining components or active ingredients 
(4) Preparing a drug product from chemicals or bulk drug substances
(b) “Compounding” does not include reconstitution of a drug pursuant to a manufacturer's direction(s) for oral, rectal topical, or injectable administration, nor does it include tablet splitting or the addition of flavoring agent(s) to enhance palatability. 
(c) “Compounding” does not include, except in small quantities under limited circumstances as justified by a specific, documented, medical need, preparation of a compounded drug product that is commercially available in the marketplace or that is essentially a copy of a drug product that is commercially available in the marketplace. 
(d) The parameters and requirements stated by this Article 4.5 (Section 1735 et seq.) apply to all compounding practices. Additional parameters and requirements applicable solely to sterile injectable compounding are stated by Article 7 (Section 1751 et seq.). 
NOTE

Authority cited: Sections 4005 and 4127, Business and Professions Code. Reference: Sections 4005, 4036, 4037, 4051, 4052 and 4127, Business and Professions Code. 
HISTORY

1. New article 4.5 (sections 1735-1735.8) and section filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2).
§1735.1. Compounding Definitions.
Note     •     History

(a) “Integrity” means retention of potency until the expiration date noted on the label. 
(b) “Potency” means active ingredient strength within +/- 10% of the labeled amount.
(c) “Quality” means the absence of harmful levels of contaminants, including filth, putrid, or decomposed substances, and absence of active ingredients other than those noted on the label. 
(d) “Strength” means amount of active ingredient per unit of a compounded drug product. 
NOTE

Authority cited: Sections 4005 and 4127, Business and Professions Code. Reference: Sections 4005, 4036, 4037, 4051, 4052 and 4127, Business and Professions Code. 
HISTORY

1. New section filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2).
§1735.2. Compounding Limitations and Requirements; Self-Assessment.
Note     •     History

(a) Except as specified in (b) and (c), no drug product shall be compounded prior to receipt by a pharmacy of a valid prescription for an individual patient where the prescriber has approved use of a compounded drug product either orally or in writing. Where approval is given orally, that approval shall be noted on the prescription prior to compounding. 
(b) A pharmacy may prepare and store a limited quantity of a compounded drug product in advance of receipt of a patient-specific prescription where and solely in such quantity as is necessary to ensure continuity of care for an identified population of patients of the pharmacy based on a documented history of prescriptions for that patient population. 
(c) A “reasonable quantity” as used in Business and Professions Code section 4052(a)(1) means that amount of compounded drug product that: 
(1) is sufficient for administration or application to patients in the prescriber's office, or for distribution of not more than a 72-hour supply to the prescriber's patients, as estimated by the prescriber; and 
(2) is reasonable considering the intended use of the compounded medication and the nature of the prescriber's practice; and 
(3) for any individual prescriber and for all prescribers taken as a whole, is an amount which the pharmacy is capable of compounding in compliance with pharmaceutical standards for integrity, potency, quality and strength of the compounded drug product. 
(d) A drug product shall not be compounded until the pharmacy has first prepared a written master formula record that includes at least the following elements: 
(1) Active ingredients to be used. 
(2) Inactive ingredients to be used. 
(3) Process and/or procedure used to prepare the drug. 
(4) Quality reviews required at each step in preparation of the drug. 
(5) Post-compounding process or procedures required, if any. 
(6) Expiration dating requirements. 
(e) Where a pharmacy does not routinely compound a particular drug product, the master formula record for that product may be recorded on the prescription document itself. 
(f) The pharmacist performing or supervising compounding is responsible for the integrity, potency, quality, and labeled strength of a compounded drug product until it is dispensed. 
(g) All chemicals, bulk drug substances, drug products, and other components used for drug compounding shall be stored and used according to compendial and other applicable requirements to maintain their integrity, potency, quality, and labeled strength. 
(h) Every compounded drug product shall be given an expiration date representing the date beyond which, in the professional judgment of the pharmacist performing or supervising the compounding, it should not be used. This “beyond use date” of the compounded drug product shall not exceed 180 days from preparation or the shortest expiration date of any component in the compounded drug product, unless a longer date is supported by stability studies of finished drugs or compounded drug products using the same components and packaging. Shorter dating than set forth in this subsection may be used if it is deemed appropriate in the professional judgment of the responsible pharmacist. 
(i) The pharmacist performing or supervising compounding is responsible for the proper preparation, labeling, storage, and delivery of the compounded drug product. 
(j) Prior to allowing any drug product to be compounded in a pharmacy, the pharmacist-in-charge shall complete a self-assessment for compounding pharmacies developed by the board. (Incorporated by reference is “Community Pharmacy & Hospital Outpatient Pharmacy Compounding Self-Assessment” Form 17M-39 Rev. 01/11.) That form contains a first section applicable to all compounding, and a second section applicable to sterile injectable compounding. The first section must be completed by the pharmacist-in-charge before any compounding is performed in the pharmacy. The second section must be completed by the pharmacist-in-charge before any sterile injectable compounding is performed in the pharmacy. The applicable sections of the self-assessment shall subsequently be completed before July 1 of each odd-numbered year, within 30 days of the start of a new pharmacist-in-charge, and within 30 days of the issuance of a new pharmacy license. The primary purpose of the self-assessment is to promote compliance through self-examination and education. 
NOTE

Authority cited: Sections 4005 and 4127, Business and Professions Code. Reference: Sections 4005, 4036, 4037, 4051, 4052 and 4127, Business and Professions Code. 
HISTORY

1. New section filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2).
2. Amendment of section heading, subsection (j) and Note filed 9-19-2011; operative 10-19-2011 (Register 2011, No. 38).
§1735.3. Records of Compounded Drug Products.
Note     •     History

(a) For each compounded drug product, the pharmacy records shall include:
(1) The master formula record. 
(2) The date the drug product was compounded. 
(3) The identity of the pharmacy personnel who compounded the drug product. 
(4) The identity of the pharmacist reviewing the final drug product. 
(5) The quantity of each component used in compounding the drug product. 
(6) The manufacturer and lot number of each component. If the manufacturer name is demonstrably unavailable, the name of the supplier may be substituted. Exempt from the requirements in this paragraph are sterile products compounded on a one-time basis for administration within twenty-four hours to an inpatient in a health care facility licensed under section 1250 of the Health and Safety Code. 
(7) The equipment used in compounding the drug product. 
(8) A pharmacy assigned reference or lot number for the compounded drug product. 
(9) The expiration date of the final compounded drug product. 
(10) The quantity or amount of drug product compounded. 
(b) Pharmacies shall maintain records of the proper acquisition, storage, and destruction of chemicals, bulk drug substances, drug products, and components used in compounding. 
(c) Chemicals, bulk drug substances, drug products, and components used to compound drug products shall be obtained from reliable suppliers. The pharmacy shall acquire and retain any available certificates of purity or analysis for chemicals, bulk drug substances, drug products, and components used in compounding. Certificates of purity or analysis are not required for drug products that are approved by the Food and Drug Administration. 
(d) Pharmacies shall maintain and retain all records required by this article in the pharmacy in a readily retrievable form for at least three years from the date the record was created. 
NOTE

Authority cited: Sections 4005, 4127 and 4169, Business and Professions Code. Reference: Sections 4005, 4036, 4037, 4051, 4052 and 4127, Business and Professions Code. 
HISTORY

1. New section filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2).
§1735.4. Labeling of Compounded Drug Products.
Note     •     History

(a) In addition to the labeling information required under Business and Professions Code section 4076, the label of a compounded drug product shall contain the generic name(s) of the principal active ingredient(s). 
(b) A statement that the drug has been compounded by the pharmacy shall be included on the container or on the receipt provided to the patient. 
(c) Drug products compounded into unit-dose containers that are too small or otherwise impractical for full compliance with subdivisions (a) and (b) shall be labeled with at least the name(s) of the active ingredient(s), concentration or strength, volume or weight, pharmacy reference or lot number, and expiration date. 
NOTE

Authority cited: Sections 4005 and 4127, Business and Professions Code. Reference: Sections 4005, 4036, 4037, 4051, 4052, 4076 and 4127, Business and Professions Code. 
HISTORY

1. New section filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2).
§1735.5. Compounding Policies and Procedures.
Note     •     History

(a) Any pharmacy engaged in compounding shall maintain a written policy and procedure manual for compounding that establishes procurement procedures, methodologies for the formulation and compounding of drugs, facilities and equipment cleaning, maintenance, operation, and other standard operating procedures related to compounding. 
(b) The policy and procedure manual shall be reviewed on an annual basis by the pharmacist-in-charge and shall be updated whenever changes in processes are implemented. 
(c) The policy and procedure manual shall include the following 
(1) Procedures for notifying staff assigned to compounding duties of any changes in processes or to the policy and procedure manual. 
(2) Documentation of a plan for recall of a dispensed compounded drug product where subsequent verification demonstrates the potential for adverse effects with continued use of a compounded drug product. 
(3) The procedures for maintaining, storing, calibrating, cleaning, and disinfecting equipment used in compounding, and for training on these procedures as part of the staff training and competency evaluation process. 
(4) Documentation of the methodology used to test integrity, potency, quality, and labeled strength of compounded drug products. 
(5) Documentation of the methodology used to determine appropriate expiration dates for compounded drug products. 
NOTE

Authority cited: Sections 4005 and 4127, Business and Professions Code. Reference: Sections 4005, 4036, 4037, 4051, 4052 and 4127, Business and Professions Code. 
HISTORY

1. New section filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2).
§1735.6. Compounding Facilities and Equipment.
Note     •     History

(a) Any pharmacy engaged in compounding shall maintain written documentation regarding the facilities and equipment necessary for safe and accurate compounded drug products. Where applicable, this shall include records of certification(s) of facilities or equipment. 
(b) Any equipment used to compound drug products shall be stored, used, and maintained in accordance with manufacturers' specifications. 
(c) Any equipment used to compound drug products for which calibration or adjustment is appropriate shall be calibrated prior to use to ensure accuracy. Documentation of each such calibration shall be recorded in writing and these records of calibration shall be maintained and retained in the pharmacy. 
NOTE

Authority cited: Sections 4005 and 4127, Business and Professions Code. Reference: Sections 4005, 4036, 4037, 4051, 4052 and 4127, Business and Professions Code. 
HISTORY

1. New section filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2).
§1735.7. Training of Compounding Staff.
Note     •     History

(a) Any pharmacy engaged in compounding shall maintain written documentation sufficient to demonstrate that pharmacy personnel have the skills and training required to properly and accurately perform their assigned responsibilities relating to compounding. 
(b) The pharmacy shall develop and maintain an on-going competency evaluation process for pharmacy personnel involved in compounding, and shall maintain documentation of any and all training related to compounding undertaken by pharmacy personnel. 
(c) Pharmacy personnel assigned to compounding duties shall demonstrate knowledge about processes and procedures used in compounding prior to compounding any drug product. 
NOTE

Authority cited: Sections 4005 and 4127, Business and Professions Code. Reference: Sections 4005, 4036, 4037, 4051, 4052 and 4127, Business and Professions Code. 
HISTORY

1. New section filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2).
§1735.8. Compounding Quality Assurance.
Note     •     History

(a) Any pharmacy engaged in compounding shall maintain, as part of its written policies and procedures, a written quality assurance plan designed to monitor and ensure the integrity, potency, quality, and labeled strength of compounded drug products. 
(b) The quality assurance plan shall include written procedures for verification, monitoring, and review of the adequacy of the compounding processes and shall also include written documentation of review of those processes by qualified pharmacy personnel. 
(c) The quality assurance plan shall include written standards for qualitative and quantitative integrity, potency, quality, and labeled strength analysis of compounded drug products. All qualitative and quantitative analysis reports for compounded drug products shall be retained by the pharmacy and collated with the compounding record and master formula. 
(d) The quality assurance plan shall include a written procedure for scheduled action in the event any compounded drug product is ever discovered to be below minimum standards for integrity, potency, quality, or labeled strength. 
NOTE

Authority cited: Sections 4005 and 4127, Business and Professions Code. Reference: Sections 4005, 4036, 4037, 4051, 4052 and 4127, Business and Professions Code. 
HISTORY

1. New section filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2).
Article 5. Dangerous Drugs
§1744. Drug Warnings.
Note     •     History

Pursuant to Business and Professions Code Section 4074, a pharmacist shall inform the patient or his or her representative of the harmful effects of certain drugs dispensed by prescription.
(a) The following classes of drugs may impair a person's ability to drive a motor vehicle or operate machinery when taken alone or in combination with alcohol:
(1) Muscle relaxants.
(2) Analgesics with central nervous system depressant effects.
(3) Antipsychotic drugs including phenothiazines.
(4) Antidepressants.
(5) Antihistamines, motion sickness agents, antipruritics, antinauseants, anticonvulsants and antihypertensive agents with central nervous system depressant effects.
(6) All Schedule II, III, IV and V depressant or narcotic controlled substances as set forth in Health and Safety Code at Section 11055 et seq. prescribed in doses which could have an adverse effect on a person's ability to operate a motor vehicle.
(7) Anticholinergic agents and other drugs which may impair vision.
(b) The following are examples of drugs which may have harmful effects when taken in combination with alcohol. These may or may not affect a person's ability to operate a motor vehicle.
(1) Disulfiram and other drugs (e.g. chlorpropamide, metronidazole) which may cause a disulfiram-like reaction.
(2) Mono amine oxidase inhibitors.
(3) Nitrates.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4022, 4055 and 4074, Business and Professions Code.
HISTORY

1. New section filed 1-12-77; effective thirtieth day thereafter (Register 77, No. 3).
2. Amendment filed 5-20-83; effective thirtieth day thereafter (Register 83, No. 21).
3. Change without regulatory effect adding article 5 heading and amending first paragraph and Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1745. Partial Filling of Schedule II Prescriptions.
Note     •     History

(a) A prescription for a Schedule II controlled substance (as defined in Health and Safety Code section 11055) may be partially filled, as defined in paragraph (b), if:
(1) The prescription is for an inpatient of a skilled nursing facility as defined in Health and Safety Code section 1250; or
(2) The prescription is for a terminally ill patient. “Terminally ill” as used herein means a patient for whom a licensed physician and surgeon has made and documented a diagnosis of illness or disease that will result in death.
(b) A “partially filled” prescription is a prescription from which only a portion of the amount for which the prescription is written is filled at any one time; provided that regardless of how many times the prescription is partially filled, the total amount dispensed shall not exceed that written on the face of the prescription.
(c) When partially filling a prescription pursuant to subsection (a), all of the following conditions must be met:
(1) The prescription must be tendered and at least partially filled within 60 days following the date of issue;
(2) The pharmacist records the date and amount of each partial filling in a readily retrievable form and on the original prescription, also recording the initials of the pharmacist dispensing the prescription;
(3) No portion of the prescription is dispensed more than 60 days from the date of issuance of the prescription; and
(d) A pharmacist may partially fill a prescription for a controlled substance listed in Schedule II, if the pharmacist is unable to supply the full quantity ordered by the prescriber. The pharmacist shall make a notation of the quantity supplied on the face of the written prescription. The remaining portion of the prescription may be filled within 72 hours of the first partial filling. If the remaining portion is not filled within the 72-hour period, the pharmacist shall notify the prescriber. The pharmacist may not supply the drug after 72 hour period has expired without a new prescription.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4301, Business and Professions Code; and Sections 11055, 11153, 11154, 11166, 11200, Health and Safety Code.
HISTORY

1. New section filed 9-14-60; designated effective 1-1-61 (Register 60, No. 20). For history of former section see Register 21, No. 7.
2. Repealer filed 8-3-73; effective thirtieth day thereafter (Register 73, No. 31).
3. New section filed 9-3-92; operative 10-5-92 (Register 92, No. 36).
4. Editorial correction of subsection (a)(2) (Register 95, No. 16).
5. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
6. Amendment of subsection (c)(1) filed 2-10-2003; operative 3-12-2003 (Register 2003, No. 7).
7. Amendment of section and Note filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
§1746. Emergency Contraception.
Note     •     History

(a) A pharmacist furnishing emergency contraception pursuant to Section 4052(a)(8) of the Business and Professions Code shall follow the protocol specified in subdivision (b) of this section.
(b) Protocol for Pharmacists Furnishing Emergency Contraception (EC).
(1) Authority: Section 4052 of the California Business and Professions Code authorizes a pharmacist to furnish emergency contraception pursuant to the protocols specified in Business and Professions Code section 4052.3. Use of the following protocol satisfies that requirement.
(2) Purpose: To provide access to emergency contraceptive medication within required limits and ensure that the patient receives adequate information to successfully complete therapy.
(3) Procedure: When a patient requests emergency contraception the pharmacist will ask and state the following:
· Are you allergic to any medications?
· Timing is an essential element of the product's effectiveness. EC should be taken as soon as possible after unprotected intercourse. Treatment may be initiated up to five days (120 hours) of unprotected intercourse. EC effectiveness declines gradually over five days and EC use will not interfere with an established pregnancy.
(4) The pharmacist shall provide the fact sheet and review any questions the patient may have regarding EC. In addition, the pharmacist shall collect the information required for a patient medication record by Section 1707.1 of Title 16 of the California Code of Regulations.
Fact Sheet: The pharmacist will provide the patient with a copy of the current EC fact sheet approved by the Board of Pharmacy as required by Business and Professions Code Section 4052(b)(3).
(5) Referrals and Supplies: If emergency contraception services are not immediately available at the pharmacy or the pharmacist declines to furnish pursuant to conscience clause, the pharmacist will refer the patient to another emergency contraception provider. The pharmacist shall comply with all state mandatory reporting laws, including sexual abuse laws.
(6) The pharmacist may provide up to 12 non-spermicidal condoms to each Medi-Cal and Family PACT client who obtains emergency contraception.
(7) Advanced provision: The pharmacist may dispense emergency contraception medication for a patient in advance of the need for emergency contraception.
(8) EC Product Selection: The pharmacist will provide emergency contraception medication compatible with product information from the list of products specified in this protocol. This list must be kept current and maintained in the pharmacy. Along with emergency contraception products, the list will include adjunctive medications indicated for nausea and vomiting associated with taking EC. Patients will be provided information concerning dosing and potential adverse effects.
(9) Documentation: Each prescription authorized by a pharmacist will be documented in a patient medication record as required by law.
(10) Training: Prior to furnishing emergency contraception, pharmacists who participate in the protocol must have completed a minimum of one hour of continuing education specific to emergency contraception.
(11) Brands and Doses of Oral Contraceptive Tablets Used for Emergency Contraception.

View Graphic

View Graphic
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4052 and 4052.3, Business and Professions Code.
HISTORY

1. New section filed 11-2-2004; operative 12-2-2004 (Register 2004, No. 45). For prior history, see Register 80, No. 8.
2. Change without regulatory effect amending subsections (a) and (b)(1) and amending Note filed 12-18-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 51).
§1747. Androgenic and Estrogenic Substances. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4008, 4008.1, 4009 and 4176, Business and Professions Code. Reference: Sections 4211 and 4240, Business and Professions Code.
HISTORY

1. New section filed 11-13-50; effective thirtieth day thereafter (Register 22, No. 3).
2. Amendment filed 7-24-58; effective thirtieth day thereafter (Register 58, No. 13).
3. Repealer filed 3-22-83; effective thirtieth day thereafter (Register 83, No. 13).
§1747.1. Veterinary Drugs. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4008, 4008.1, 4008.2, Business and Professions Code. Reference: Sections 4008, 4008.1, 4008.2, 4416, Business and Professions Code, and Sections 11907 and 11991, Health and Safety Code.
HISTORY

1. New section filed 6-24-71; effective thirtieth day thereafter (Register 71, No. 26). 
2. Change without regulatory effect repealing section filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1747.2. Prescription Legend Devices. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4008 and 4008.1, Business and Professions Code. Reference: Sections 4211 and 4240, Business and Professions Code.
HISTORY

1. New section filed 1-12-77; effective thirtieth day thereafter (Register 77, No. 3).
2. Repealer filed 3-22-83; effective thirtieth day thereafter (Register 83, No. 13).
§1748. Fluorides Exempt. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4008, Business and Professions Code. Reference: Sections 4161-4184, Business and Professions Code.
HISTORY

1. New section filed 3-28-56; effective thirtieth day thereafter (Register 56, No. 6).
2. Amendment filed 4-26-56 as an emergency; designated effective 4-27-56 (Register 56, No. 6).
3. Repealer filed 2-22-80; effective thirtieth day thereafter (Register 80, No. 8).
§1748.1. Medical Device Retailer Locked Storage. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4008, 4008.2, 4050.8 and 4130, Business and Professions Code. Reference: Sections 4034.5, 4035.4, 4050.8, 4080, 4010, 4036, 4036.2, 4130, 4131, 4227, 4227.2, 4229, 4232 and 4378.1, Business and Professions Code.
HISTORY

1. New section filed 5-12-93; operative 6-11-93 (Register 93, No. 20). For prior history, see Register 80, No. 8.
2. Amendment of subsection (b), new subsection (e), subsection relettering and amendment of Note filed 8-1-95; operative 8-31-95 (Register 95, No. 31).
3. Change without regulatory effect repealing section filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1748.2. Medical Device Retailer Storage Exemption. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4008, 4008.2 and 4130, Business and Professions Code. Reference: Sections 4034.5, 4035.4, 4050.8, 4010 4130,, 4131, 4232 and 4387.1, Business and Professions Code.
HISTORY

1. New section filed 1-19-93; operative 2-18-93 (Register 93, No. 4).
2. Change without regulatory effect repealing section filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1748.3. Medical Device Retailer Location Restriction. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4005 and 4131, Business and Professions Code. Reference: Sections 4130 and 4131, Business and Professions Code.
HISTORY

1. New section filed 12-17-99; operative 1-16-2000 (Register 99, No. 51). 
2. Change without regulatory effect repealing section filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
Article 6. Fees
§1749. Fee Schedule.
Note     •     History

The fees for the issuance and renewal of licenses, certificates, and permits, and the penalties to be assessed for failure to renew in accordance with sections 163.5, 4110, 4127.5, 4196, and 4400 of the Business and Professions Code are hereby fixed as follows:
(a) The fee for the issuance of a pharmacy license is four hundred dollars ($400). The fee for the annual renewal of pharmacy license is two hundred fifty dollars ($250). The penalty for failure to renew is one hundred and twenty five dollars ($125).
(b) The fee for the issuance of a temporary license is two hundred fifty dollars ($250).
(c) The fee for the issuance of a pharmacy technician license shall be fifty dollars ($50). The fee for the biennial renewal of a pharmacy technician license shall be fifty dollars ($50). The penalty for failure to renew a pharmacy technician license is twenty-five dollars ($25).
(d) The fee for application and examination as a pharmacist is one hundred eighty-five dollars ($185).
(e) The fee for regrading an examination is eighty-five dollars ($85).
(f) The fee for the issuance of an original pharmacist license is one hundred fifty dollars ($150).
(g) The fee for the biennial renewal of a pharmacist's license is one hundred fifty dollars ($150). The penalty fee for failure to renew is seventy-five dollars ($75).
(h) The fee for the issuance or renewal of a wholesaler's license is six hundred dollars ($600). The penalty for failure to renew is one hundred fifty dollars ($150).
(i) The fee for the issuance or renewal of a hypodermic license is one hundred twenty five dollars ($125). The penalty for failure to renew is sixty-two dollars and fifty cents ($62.50).
(j) The fee for the issuance of a license as a designated representative pursuant to Section 4053 of the Business and Professions Code shall be two hundred fifty dollars ($250). If the applicant is not issued a license as a designated representative, the board shall refund one hundred ten dollars ($110) of the fee. The fee for the annual renewal of a license as a designated representative shall be one hundred fifty dollars ($150) The penalty for failure to renew is seventy-five dollars ($75).
(k) The fee for the issuance or renewal of a license as a nonresident wholesaler is six hundred dollars ($600). The penalty for failure to renew is one hundred fifty dollars ($150).
(l) The fee for an intern pharmacist license is seventy-five dollars ($75). The fee for transfer of intern hours or verification of licensure to another state is twenty dollars ($20).
(m) The fee for the reissuance of any permit, license, or certificate, or renewal thereof, which must be reissued because of change in the information, other than name change, is one hundred dollars ($100).
(n) The fee for evaluation of continuing education courses for accreditation is forty dollars ($40) for each hour of accreditation requested.
(o) The fee for the issuance of a clinic license is four hundred dollars ($400). The fee for the annual renewal of a clinic license is two hundred fifty dollars ($250). The penalty for failure to renew is one hundred and twenty five dollars ($125).
(p) The fee for the issuance of a nongovernmental license, or renewal of a license, to compound sterile drug products is six hundred dollars ($600). The penalty for failure to renew is one hundred fifty dollars ($150).
(q) The fee for the issuance of a license as a designated representative for a veterinary food-animal drug retailer shall be two hundred fifty dollars ($250). If the applicant is not issued a license as a designated representative, the board shall refund one hundred fifty dollars ($150) of the fee. The fee for the annual renewal of a license as a designated representative shall be one hundred ten dollars ($110). The penalty for failure to renew is fifty-five dollars ($55).
(r) The fee for a veterinary food-animal drug retailer license is four hundred dollars ($400). The annual renewal fee for a veterinary food-animal drug retailer is two hundred and fifty dollars ($250). The fee for the issuance of a temporary license is two hundred and fifty dollars ($250)
(s) The fee for the issuance of a retired pharmacist license shall be thirty dollars ($30).
NOTE

Authority cited: Sections 163.5 and 4005, Business and Professions Code. Reference: Sections 163.5, 4005, 4110, 4112(h), 4120, 4127.5, 4196, 4200, 4400, 4401 and 4403, Business and Professions Code.
HISTORY

1. Amendment of subsection (c) filed 9-23-83; effective thirtieth day thereafter (Register 83, No. 39). For prior history, see Register 82, No. 13.
2. Amendment filed 8-9-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 32).
3. New subsection (q) filed 7-10-85; effective thirtieth day thereafter (Register 85, No. 28).
4. Amendment filed 4-3-86; effective thirtieth day thereafter (Register 86, No. 14).
6. Amendment of section heading, first paragraph, subsections (e) and (k), and Note filed 4-27-95; operative 4-27-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 17).
7. Change without regulatory effect repealing section filed 2-5-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 6).
8. New section filed 4-20-99; operative 7-1-99 (Register 99, No. 17).
9. Change without regulatory effect adding article 6 heading filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
10. Amendment of first paragraph, repealer and new subsection (c), amendment of subsections (d), (f) and (j)(1), repealer of subsection (r), subsection relettering and amendment of Note filed 9-22-2004; operative 10-22-2004 (Register 2004, No. 39).
11. Amendment of section and Note filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
12. Amendment of section and Note filed 11-19-2007; operative 1-1-2008 (Register 2007, No. 47).
§1749.1. Fee Schedule. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 163.5 and 4005, Business and Professions Code. Reference: Sections 163.5, 4005, 4110, 4112(h), 4120, 4130, 4196, 4200(c), 4400(a), (b), (c), (d), (e), (f), (g), (h), (i), (j), (k), (l), (m), (n), (o), (q), (r), (s), (t), (u), (v), (w), 4401 and 4403, Business and Professions Code.
HISTORY

1. New section filed 4-27-95; effective on filing 4-27-95 and operative 7-1-95 (Register 95, No. 17).
2. Amendment of first paragraph and Note filed 4-20-99; operative 7-1-99 (Register 99, No. 17).
3. Change without regulatory effect repealing section filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1750. Fee Schedule--Health and Safety Code. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4005, Business and Professions Code; and Section 11127, Health and Safety Code. Reference: Section 11127, Health and Safety Code.
HISTORY

1. New section filed 6-24-71; effective thirtieth day thereafter (Register 71, No. 26).
2. Amendment filed 5-18-78; effective thirtieth day thereafter (Register 78, No. 20).
3. Amendment filed 8-9-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 32). 
4. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
5. Repealer filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
Article 7. Sterile Injectable Compounding
§1751. Sterile Injectable Compounding; Compounding  Area; Self-Assessment.
Note     •     History

(a) Any pharmacy engaged in compounding sterile injectable drug products shall conform to the parameters and requirements stated by Article 4.5 (Section 1735 et seq.), applicable to all compounding, and shall also conform to the parameters and requirements stated by this Article 7 (Section 1751 et seq.), applicable solely to sterile injectable compounding. 
(b) Any pharmacy compounding sterile injectable drug products shall have a designated area for the preparation of sterile injectable products which shall meet the following standards:
(1) Clean Room and Work Station Requirements, shall be in accordance with Section 1250 of Title 24, Part 2, Chapter 12, of the California Code of Regulations.
(2) Walls, ceilings and floors shall be constructed in accordance with Section 1250 of Title 24, Part 2, Chapter 12, of the California Code of Regulations.
(3) Be ventilated in a manner in accordance with Section 505.12 of Title 24, Chapter 5 of the California Code of Regulations.
(4) Be certified annually by a qualified technician who is familiar with the methods and procedures for certifying laminar air flow hoods and clean room requirements, in accordance with standards adopted by the United States General Services Administration. Certification records must be retained for at least 3 years.
(5) The pharmacy shall be arranged in accordance with Section 1250 of Title 24, Part 2, Chapter 12, of the California Code of Regulations. Items related to the compounding of sterile injectable products within the compounding area shall be stored in such a way as to maintain the integrity of an aseptic environment.
(6) A sink shall be included in accordance with Section 1250 of Title 24, Part 2, of the California Code of Regulations.
(7) There shall be a refrigerator and/or freezer of sufficient capacity to meet the storage requirements for all material requiring refrigeration.
(c) Any pharmacy compounding a sterile injectable product from one or more non-sterile ingredients shall comply with Business and Professions Code section 4127.7. 
NOTE

Authority cited: Sections 4005 and 4127, Business and Professions Code. Reference: Sections 4005, 4036, 4037, 4051, 4052, 4127 and 4127.7, Business and Professions Code; and Section 18944, Health and Safety Code.
HISTORY

1. New Article 8 (Sections 1751-1751.9) filed 10-6-86; effective thirtieth day thereafter (Register 86, No. 42). For history of former Article 8, see Register 85, No. 8.
2. Change without regulatory effect adding article 7 heading and amending Note  filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Amendment of article heading, section heading and section filed 9-29-2004; operative 10-29-2004 (Register 2004, No. 40).
4. Amendment of section heading, section and Note filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2).
5. Amendment of section heading, subsection (b) and Note filed 9-19-2011; operative 10-19-2011 (Register 2011, No. 38).
§1751.01. Facility and Equipment Standards for Sterile Injectable Compounding from Non-Sterile Ingredients. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4005, Business and Professions Code; and Section 18944(a), Health and Safety Code.
HISTORY

1. New section filed 9-29-2004; operative 10-29-2004 (Register 2004, No. 40).
2. Renumbering of section 1751.01 to section 1751.4 filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2).
§1751.02. Policies and Procedures. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4005, Business and Professions Code.
HISTORY

1. New section filed 9-29-2004; operative 10-29-2004 (Register 2004, No. 40).
2. Renumbering of section 1751.02 to section 1751.3 filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2).
§1751.1. Sterile Injectable Recordkeeping Requirements.
Note     •     History

(a) Pharmacies compounding sterile injectable products for future use pursuant to section 1735.2 shall, in addition to those records required by section 1735.3, make and keep records indicating the name, lot number, amount, and date on which the products were provided to a prescriber.
(b) In addition to the records required by section 1735.3 and subdivision (a), for sterile products compounded from one or more non-sterile ingredients, the following records must be made and kept by the pharmacy:
(1) The training and competency evaluation of employees in sterile product procedures.
(2) Refrigerator and freezer temperatures.
(3) Certification of the sterile compounding environment.
(4) Other facility quality control logs specific to the pharmacy's policies and procedures (e.g., cleaning logs for facilities and equipment).
(5) Inspection for expired or recalled pharmaceutical products or raw ingredients.
(6) Preparation records including the master work sheet, the preparation work sheet, and records of end-product evaluation results.
(c) Pharmacies shall maintain and retain all records required by this article in the pharmacy in a readily retrievable form for at least three years from the date the record was created.
NOTE

Authority cited: Sections 4005 and 4127, Business and Professions Code. Reference: Sections 4005, 4036, 4037, 4051, 4052 and 4127, Business and Professions Code.
HISTORY

1. New section filed 10-6-86; effective thirtieth day thereafter (Register 86, No. 42). 
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Repealer of section 1751.1 and renumbering of section 1751.3 to section 1751.1, including amendment of section heading, section and Note, filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2).
§1751.2. Sterile Injectable Labeling Requirements.
Note     •     History

In addition to the labeling information required under Business and Professions Code section 4076 and section 1735.4, a pharmacy which compounds sterile injectable products shall include the following information on the labels for those products:
(a) Telephone number of the pharmacy, except for sterile injectable products dispensed for inpatients of a hospital pharmacy.
(b) Name and concentrations of ingredients contained in the sterile injectable product.
(c) Instructions for storage and handling.
(d) All cytotoxic agents shall bear a special label which states “Chemotherapy--Dispose of Properly.”
NOTE

Authority cited: Sections 4005 and 4127, Business and Professions Code. Reference: Sections 4005, 4036, 4037, 4051, 4052, 4076 and 4127, Business and Professions Code.
HISTORY

1. New section filed 10-6-86; effective thirtieth day thereafter (Register 86, No. 42). 
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Amendment of first paragraph and subsections (a) and (b) filed 9-29-2004; operative 10-29-2004 (Register 2004, No. 40).
4. Amendment of section heading, first paragraph and Note filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2).
§1751.3. Sterile Injectable Policies and Procedures.
Note     •     History

(a) Any pharmacy engaged in compounding sterile injectable drug products shall maintain a written policy and procedure manual for compounding that includes, in addition to the elements required by section 1735.5, written policies and procedures regarding the following:
(1) Compounding, filling, and labeling of sterile injectable compounds.
(2) Labeling of the sterile injectable product based on the intended route of administration and recommended rate of administration.
(3) Equipment and supplies.
(4) Training of staff in the preparation of sterile injectable products.
(5) Procedures for handling cytotoxic agents.
(6) Quality assurance program.
(7) Record keeping requirements.
(b) The ingredients and the compounding process for each preparation must be determined in writing before compounding begins and must be reviewed by a pharmacist.
(c) Pharmacies compounding sterile injectable products shall have written policies and procedures for the disposal of infectious materials and/or materials containing cytotoxic residues. The written policies and procedures shall describe the pharmacy protocols for cleanups and spills in conformity with local health jurisdiction standards. 
(d) Pharmacies compounding sterile injectable products from one or more non-sterile ingredients must have written policies and procedures that comply with the following:
(1) All written policies and procedures shall be immediately available to all personnel involved in these activities and board inspectors.
(2) All personnel involved must read the policies and procedures before compounding sterile injectable products, and any additions, revisions, and deletions to the written policies and procedures must be communicated to all personnel involved in sterile compounding.
(3) Policies and procedures must address at least the following:
(A) Competency evaluation.
(B) Storage and handling of products and supplies.
(C) Storage and delivery of final products.
(D) Process validation.
(E) Personnel access and movement of materials into and near the controlled area.
(F) Use and maintenance of environmental control devices used to create the critical area for manipulation of sterile products (e.g., laminar-airflow workstations, biological safety cabinets, class 100 cleanrooms, and barrier isolator workstations).
(G) Regular cleaning schedule for the controlled area and any equipment in the controlled area and the alternation of disinfectants. Pharmacies subject to an institutional infection control policy may follow that policy as it relates to cleaning schedules and the alternation of disinfectants in lieu of complying with this subdivision.
(H) Disposal of packaging materials, used syringes, containers, and needles to enhance sanitation and avoid accumulation in the controlled area.
(I) For sterile batch compounding, written policies and procedures must be established for the use of master formulas and work sheets and for appropriate documentation.
(J) Sterilization.
(K) End-product evaluation and testing.
NOTE

Authority cited: Sections 4005 and 4127, Business and Professions Code. Reference: Sections 4005, 4036, 4037, 4051, 4052 and 4127, Business and Professions Code.
HISTORY

1. New section filed 10-6-86; effective thirtieth day thereafter (Register 86, No. 42). 
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Repealer and new section filed 9-29-2004; operative 10-29-2004 (Register 2004, No. 40).
4. Repealer of section 1751.3 and renumbering of section 1751.02 to section 1751.3, including amendment of section heading, section and Note, filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2).
§1751.4. Facility and Equipment Standards for Sterile Injectable Compounding.
Note     •     History

(a) No sterile injectable product shall be compounded if it is known, or reasonably should be known, that the compounding environment fails to meet criteria specified in the pharmacy's written policies and procedures for the safe compounding of sterile injectable drug products.
(b) During the preparation of sterile injectable products, access to the designated area or cleanroom must be limited to those individuals who are properly attired.
(c) All equipment used in the designated area or cleanroom must be made of a material that can be easily cleaned and disinfected.
(d) Exterior workbench surfaces and other hard surfaces in the designated area, such as walls, floors, ceilings, shelves, tables, and stools, must be disinfected weekly and after any unanticipated event that could increase the risk of contamination.
(e) Pharmacies preparing parenteral cytotoxic agents shall do so in accordance with Section 505.12.1 of Title 24, Chapter 5, of the California Code of Regulations, requiring a laminar air flow hood. The hood must be certified annually by a qualified technician who is familiar with the methods and procedures for certifying laminar air flow hoods and clean room requirements, in accordance with National Sanitation Foundation Standard 49 for Class II (Laminar Flow) Biohazard Cabinetry, as revised May, 1983 (available from the National Sanitation Foundation, 3475 Plymouth Road, P.O. Box 1468, Ann Arbor, Michigan 48106, phone number (313) 769-8010) or manufacturer's specifications. Certification records must be retained for at least 3 years. 
NOTE

Authority cited: Sections 4005 and 4127, Business and Professions Code. Reference: Sections 4005, 4036, 4037, 4051, 4052 and 4127, Business and Professions Code; and Section 18944, Health and Safety Code.
HISTORY

1. New section filed 10-6-86; effective thirtieth day thereafter (Register 86, No. 42). 
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Amendment of section heading and section filed 9-29-2004; operative 10-29-2004 (Register 2004, No. 40).
4. Renumbering of section 1751.4 to section 1754.5 and renumbering of section 1751.01 to section 1751.4, including amendment of section heading, section and Note, filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2).
§1751.5. Sterile Injectable Compounding Attire.
Note     •     History

(a) When preparing cytotoxic agents, gowns and gloves shall be worn.
(b) When compounding sterile products from one or more non-sterile ingredients the following standards must be met:
(1) Cleanroom garb consisting of a low-shedding coverall, head cover, face mask, and shoe covers must be worn inside the designated area at all times.
(2) Cleanroom garb must be donned and removed outside the designated area.
(3) Hand, finger, and wrist jewelry must be eliminated. If jewelry cannot be removed then it must be thoroughly cleaned and covered with a sterile glove.
(4) Head and facial hair must be kept out of the critical area or be covered.
(5) Gloves made of low-shedding materials are required.
(c) The requirements of subdivision (b) do not apply if a barrier isolator is used to compound sterile injectable products from one or more non-sterile ingredients.
NOTE

Authority cited: Sections 4005 and 4127, Business and Professions Code. Reference: Sections 4005, 4036, 4037, 4051, 4052 and 4127, Business and Professions Code.
HISTORY

1. New section filed 10-6-86; effective thirtieth day thereafter (Register 86, No. 42). 
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Amendment filed 9-29-2004; operative 10-29-2004 (Register 2004, No. 40).
4. Renumbering of section 1751.5 to section 1754.6 and renumbering of section 1751.4 to section 1751.5, including amendment of section heading, subsection (c) and Note, filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2).
§1751.6. Training of Sterile Injectable Compounding Staff, Patient, and Caregiver.
Note     •     History

(a) Consultation shall be available to the patient and/or primary caregiver concerning proper use of sterile injectable products and related supplies furnished by the pharmacy.
(b) The pharmacist-in-charge shall be responsible to ensure all pharmacy personnel engaging in compounding sterile injectable drug products shall have training and demonstrated competence in the safe handling and compounding of sterile injectable products, including cytotoxic agents if the pharmacy compounds products with cytotoxic agents.
(c) Records of training and demonstrated competence shall be available for each individual and shall be retained for three years beyond the period of employment.
(d) The pharmacist-in-charge shall be responsible to ensure the continuing competence of pharmacy personnel engaged in compounding sterile injectable products.
(e) Pharmacies that compound sterile products from one or more non-sterile ingredients must comply with the following training requirements:
(1) The pharmacy must establish and follow a written program of training and performance evaluation designed to ensure that each person working in the designated area has the knowledge and skills necessary to perform their assigned tasks properly. This program of training and performance evaluation must address at least the following:
(A) Aseptic technique.
(B) Pharmaceutical calculations and terminology.
(C) Sterile product compounding documentation.
(D) Quality assurance procedures.
(E) Aseptic preparation procedures.
(F) Proper gowning and gloving technique.
(G) General conduct in he controlled area.
(H) Cleaning, sanitizing, and maintaining equipment used in the controlled area.
(I) Sterilization techniques.
(J) Container, equipment, and closure system selection.
(2) Each person assigned to the controlled area must successfully complete practical skills training in aspetic technique and aseptic area practices. Evaluation must include written testing and a written protocol of periodic routine performance checks involving adherence to aspetic area policies and procedures. Each person's proficiency and continuing training needs must be reassessed every 12 months. Results of these assessments must be documented and retained in the pharmacy for three years.
NOTE

Authority cited: Sections 4005 and 4127, Business and Professions Code. Reference: Sections 4005, 4036, 4037, 4051, 4052 and 4127, Business and Professions Code.
HISTORY

1. New section filed 10-6-86; effective thirtieth day thereafter (Register 86, No. 42). 
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Amendment filed 9-29-2004; operative 10-29-2004 (Register 2004, No. 40).
4. Repealer of section 1751.6 and renumbering of section 1751.5 to section 1751.6, including amendment of section heading and Note, filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2).
§1751.7. Sterile Injectable Compounding Quality Assurance and Process Validation.
Note     •     History

(a) Any pharmacy engaged in compounding sterile injectable drug products shall maintain, as part of its written policies and procedures, a written quality assurance plan including, in addition to the elements required by section 1735.8, a documented, ongoing quality assurance program that monitors personnel performance, equipment, and facilities. The end product shall be examined on a periodic sampling basis as determined by the pharmacist-in-charge to assure that it meets required specifications. The Quality Assurance Program shall include at least the following:
(1) Cleaning and sanitization of the parenteral medication preparation area.
(2) The storage of compounded sterile injectable products in the pharmacy and periodic documentation of refrigerator temperature.
(3) Actions to be taken in the event of a drug recall.
(4) Written justification of the chosen expiration dates for compounded sterile injectable products.
(b) Each individual involved in the preparation of sterile injectable products must first successfully complete a validation process on technique before being allowed to prepare sterile injectable products. The validation process shall be carried out in the same manner as normal production, except that an appropriate microbiological growth medium is used in place of the actual product used during sterile preparation. The validation process shall be representative of all types of manipulations, products and batch sizes the individual is expected to prepare. The same personnel, procedures, equipment, and materials must be involved. Completed medium samples must be incubated. If microbial growth is detected, then the sterile preparation process must be evaluated, corrective action taken, and the validation process repeated. Personnel competency must be revalidated at least every twelve months, whenever the quality assurance program yields an unacceptable result, when the compounding process changes, equipment used in the compounding of sterile injectable drug products is repaired or replaced, the facility is modified in a manner that affects airflow or traffic patterns, or whenever improper aseptic techniques are observed. Revalidation must be documented.
(c) Batch-produced sterile injectable drug products compounded from one or more non-sterile ingredients shall be subject to documented end product testing for sterility and pyrogens and shall be quarantined until the end product testing confirms sterility and acceptable levels of pyrogens.
(d) Batch-produced sterile to sterile transfers shall be subject to periodic testing through process validation for sterility as determined by the pharmacist-in-charge and described in the written policies and procedures. 
NOTE

Authority cited: Sections 4005 and 4127, Business and Professions Code. Reference: Sections 4005, 4036, 4037, 4051, 4052 and 4127, Business and Professions Code.
HISTORY

1. New section filed 10-6-86; effective thirtieth day thereafter (Register 86, No. 42). 
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Amendment of section heading and section filed 9-29-2004; operative 10-29-2004 (Register 2004, No. 40).
4. Amendment of section heading, section and Note filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2).
§1751.8. Sterile Injectable Compounding Reference Materials.
Note     •     History

In any pharmacy engaged in compounding sterile injectable drug products, there shall be current and appropriate reference materials regarding the compounding of sterile injectable products located in or immediately available to the pharmacy. 
NOTE

Authority cited: Sections 4005 and 4127, Business and Professions Code. Reference: Sections 4005, 4036, 4037, 4051, 4052 and 4127, Business and Professions Code.
HISTORY

1. Renumbering of section 1751.9 to section 1751.8, including amendment of section heading, section and Note, filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2). For prior history of section 1751.8, see Register 2004, No. 40.
§1751.9. Reference Materials. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4005, Business and Professions Code.
HISTORY

1. New section filed 10-6-86; effective thirtieth day thereafter (Register 86, No. 42).
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Amendment filed 9-29-2004; operative 10-29-2004 (Register 2004, No. 40).
4. Renumbering of section 1751.9 to section 1751.8 filed 1-6-2010; operative 7-6-2010 (Register 2010, No. 2).
§1751.10. Furnishing to Parenteral Patient at Home.
Note     •     History

Subject to all provisions of this article, a pharmacist may carry and furnish to a patient at home dangerous drugs, other than controlled substances, and devices for parenteral therapy when the dangerous drug or device is one currently prescribed for the patient.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4005, Business and Professions Code.
HISTORY

1. New section filed 5-15-90; operative 7-15-90 (Register 90, No. 34).
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1751.11. Furnishing to Home Health Agencies and Licensed Hospices.
Note     •     History

Subject to the following conditions, a licensed pharmacy may furnish to a home health agency licensed under provisions of Chapter 8 (commencing with section 1725 of Division 2 of the Health and Safety Code) or to a hospice licensed under provisions of Chapter 8.5 (commencing with section 1745 of Division 2 of the Health and Safety Code) dangerous drugs for parenteral therapy other than controlled substances, in a portable container for furnishing to patients at home for emergency treatment or adjustment of parenteral drug therapy by the home health agency or licensed hospice.
(a) The pharmacy, having ownership and responsibility for the portable containers, shall ensure that each portable container is:
(1) furnished by a registered pharmacist;
(2) sealed in such a manner that a tamper-proof seal must be broken to gain access to the drugs;
(3) under the effective control of a registered nurse, pharmacist or delivery person at all times when not in the pharmacy;
(4) labeled on the outside of the container with a list of the contents;
(5) maintained at an appropriate temperature according to United States Pharmacopeia Standards (1995, 23rd Revision), and protected at all times from extreme temperatures that could damage the contents.
(b) The portable container may contain up to:
(1) 1000mL of 0.9% sodium chloride intravenous infusion in containers of a size determined by the pharmacy;
(2) 1000mL of 5% dextrose in water injection in containers of a size determined by the pharmacy;
(3) two vials of urokinase 5000 units;
(4) Each of the following items shall be in sealed, unused containers; the furnishing pharmacy may select any or all of these dangerous drugs in up to five dosage units for inclusion in the sealed, portable container:
(A) heparin sodium lock flush 100 units/mL;
(B) heparin sodium lock flush 10 units/mL;
(C) epinephrine HCl solution 1:1000;
(D) epinephrine HCl solution 1:10,000;
(E) diphenhydramine HCl 50mg/mL;
(F) methylprednisolone 125mg/2mL;
(G) normal saline, preserved, up to 30 mL vials;
(H) naloxone 1mg/mL 2 mL;
(I) droperidol 5mg/2mL;
(J) prochlorperazine 10mg/2mL;
(K) promethazine 25mg/mL;
(L) dextrose 25gms/50mL;
(M) glucagon 1mg/mL;
(N) insulin (human) 100 units/mL;
(O) bumetamide 0.5mg/2mL;
(P) furosemide 10mg/mL;
(Q) EMLA Cream 5 gm tube;
(R) Lidocaine 1 percent 30mL vials.
(5) The pharmacy shall ensure that the specific dangerous drugs and quantities to be included in the portable container are listed in the home health agency's or licensed hospice's policy and procedures.
(c) The pharmacy shall not supply a portable container to a home health agency or licensed hospice which does not:
(1) implement and maintain policies and procedures for:
(A) the storage, temperature stability and transportation of the portable container;
(B) the furnishing of dangerous drugs from the portable container upon the written or oral authorization of a prescriber; and
(C) a specific treatment protocol for the administration of each medication contained in the portable container.
(2) have the policies, procedures and protocols reviewed and revised (as needed) annually by a group of professional personnel including a physician and surgeon, a pharmacist and a registered nurse.
(d) A copy of these policies, procedures and protocols shall be maintained by the furnishing pharmacy from each home health agency or licensed hospice for which the pharmacy furnishes portable containers.
(e) In cases where a drug has been administered to a patient pursuant to the oral order of a licensed prescriber, the pharmacy shall ensure that the oral order is immediately written down by the registered nurse or pharmacist and communicated by copy or fax within 24 hours to the furnishing pharmacy, with a copy of the prescriber-signed document forwarded to the dispensing pharmacy within 20 days.
(f) The pharmacy shall ensure that within seven days (168 hours) after the seal has been broken on the portable container, the home health agency's director of nursing service or a registered nurse employed by the home health agency or licensed hospice returns the container to the furnishing pharmacy. The furnishing pharmacy shall then perform an inventory of the drugs used from the container, and if the container will be reused, must restock and reseal the container before it is again furnished to the home health agency or licensed hospice.
(g) The furnishing pharmacy shall have written policies and procedures for the contents, packaging, inventory monitoring, labeling and storage instructions of the portable container.
(h) The furnishing pharmacy shall ensure that the home health agency or licensed hospice returns the portable containers to the furnishing pharmacy at least every 60 days for verification of product quality, quantity, integrity and expiration dates, or within seven days (168 hours) after the seal has been broken.
(i) The furnishing pharmacy shall maintain a current inventory and record of all items placed into and furnished from the portable container.
NOTE

Authority cited: Sections 4005 and and 4057, Business and Professions Code. Reference: Sections 4040, 4057, 4081 and 4332, Business and Professions Code.
HISTORY

1. New section filed 2-2-95; operative 3-6-95 (Register 95, No. 5).
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1751.12. Obligations of a Pharmacy Furnishing Portable Containers.
Note     •     History

(a) A licensed pharmacy shall not issue portable containers to any home health agency or licensed hospice unless the home health agency or licensed hospice complies with provisions of section 1751.11.
(b) A licensed pharmacy shall cease to furnish portable containers to a home health agency or licensed hospice if the home health agency or licensed hospice does not comply with provisions of section 1751.11.
NOTE

Authority cited: Sections 4005 and 4057, Business and Professions Code. Reference: Sections 4040, 4057, 4081 and 4332, Business and Professions Code.
HISTORY

1. New section filed 2-2-95; operative 3-6-95 (Register 95, No. 5).
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
Article 8. Prohibitions and Discipline
§1760. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code section 11400 et seq.) the board shall consider the disciplinary guidelines entitled “Disciplinary Guidelines” (Rev. 10/2007), which are hereby incorporated by reference.
Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the board, in its sole discretion, determines that the facts of the particular case warrant such a deviation--the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Section 4005, Business and Professions Code; and Section 11400.20, Government Code. Reference: Sections 4300 and 4301, Business and Professions Code; and Sections 11400.20 and 11425.50(e), Government Code.
HISTORY

1. New section filed 7-1-97; operative 7-1-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 27). For prior history, see Register 83, No. 13.
2. Amendment of section and Note filed 10-3-2001; operative 11-2-2001 (Register 2001, No. 40).
3. Change without regulatory effect adding article 8 heading filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
4. Repealer and new article heading filed 9-7-2005; operative 10-7-2005 (Register 2005, No. 36).
5. Amendment of first paragraph filed 4-27-2009; operative 5-27-2009 (Register 2009, No. 18).
§1761. Erroneous or Uncertain Prescriptions.
Note     •     History

(a) No pharmacist shall compound or dispense any prescription which contains any significant error, omission, irregularity, uncertainty, ambiguity or alteration. Upon receipt of any such prescription, the pharmacist shall contact the prescriber to obtain the information needed to validate the prescription.
(b) Even after conferring with the prescriber, a pharmacist shall not compound or dispense a controlled substance prescription where the pharmacist knows or has objective reason to know that said prescription was not issued for a legitimate medical purpose.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4005, Business and Professions Code; and Section 11153, Health and Safety Code.
HISTORY

1. Amendment filed 2-22-80; effective thirtieth day thereafter (Register 80, No. 8).
2. Amendment filed 3-12-85; effective thirtieth day thereafter (Register 85, No. 12). 
3. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1762. Diagnosis. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4008.2, Business and Professions Code. Reference: Sections 4008 and 4008.2, Business and Professions Code.
HISTORY

1. Repealer filed 2-22-80; effective thirtieth day thereafter (Register 80, No. 8). 
§1763. Coded Prescriptions. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4036 and 4350.5, Business and Professions Code. Reference: Sections 4036 and 4350.5, Business and Professions Code.
HISTORY

1. Repealer filed 3-22-83; effective thirtieth day thereafter (Register 83, No. 13). 
§1764. Unauthorized Disclosure of Prescriptions.
Note     •     History

No pharmacist shall exhibit, discuss, or reveal the contents of any prescription, the therapeutic effect thereof, the nature, extent, or degree of illness suffered by any patient or any medical information furnished by the prescriber with any person other than the patient or his or her authorized representative, the prescriber or other licensed practitioner then caring for the patient, another licensed pharmacist serving the patient, or a person duly authorized by law to receive such information.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4040 and 4301, Business and Professions Code.
HISTORY

1. Amendment filed 2-19-85; effective thirtieth day thereafter (Register 85, No. 8). 
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1765. Commissions, Gratuities, and Rebates.
Note     •     History

(a) An unlawful commission, gratuity or rebate prescribed by this article and Business and Professions Code Section 650 includes the rendering by a pharmacist or pharmacy of consultant pharmaceutical services such as those required pursuant to Title 22, Division 5, Chapters 3 and 4 (skilled nursing facilities and intermediate care facilities) to a licensed health care facility for no cost, nominal cost, or below reasonable cost, if that pharmacist or pharmacy obtains patients, clients or customers and/or their prescription orders from that licensed facility or entity.
The determination of the value of consultant pharmaceutical services rendered shall include, but not be limited to, the value of all goods and services furnished by the pharmacist or pharmacy to a licensed health care facility.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 650 and 4301, Business and Professions Code.
HISTORY

1. Repealer of former Section 1765, and renumbering and amendment of former Section 1765.5 to Section 1765 filed 3-22-83; effective thirtieth day thereafter (Register 83, No. 13). For prior history, see Registers 68, No. 21, and 62, No. 9.
2. Repealer of subsection (b) filed 7-10-85; effective thirtieth day thereafter (Register 85, No. 28).
3. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1765.5. Consultant Pharmaceutical Services. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4008, Business and Professions Code. Reference: Section 650, Business and Professions Code.
HISTORY

1. New section filed 4-13-79; effective thirtieth day thereafter (Register 79, No. 15).
2. Renumbering and amendment to Section 1765 filed 3-22-83; effective thirtieth day thereafter (Register 83, No. 13).
§1766. False or Misleading Advertising.
Note     •     History

No pharmacist or permit holder shall violate Section 17500 of the Business and Professions Code.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 651, 4301 and 17500, Business and Professions Code.
HISTORY

1. Amendment filed 2-19-85; effective thirtieth day thereafter (Register 85, No. 8).
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1767. Substandard Drugs. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4008, 4008.1, 4008.2, 4008.3, and 4009, Business and Professions Code. Reference: Section 4240, Business and Professions Code.
HISTORY

1. Repealer filed 3-22-83; effective thirtieth day thereafter (Register 83, No. 13).
§1768. Denial of Application--Reapplication.
Note     •     History

(a) Where the board has denied an application for a license, the earliest date on which the applicant may reapply for a license is one year after the effective date of the denial.
(b) All competent evidence of rehabilitation presented will be considered upon a reapplication. The board shall use the criteria listed in section 1769 when considering evidence of rehabilitation.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 480, 486 and 489, Business and Professions Code.
HISTORY

1. New section filed 4-30-97; operative 5-30-97 (Register 97, No. 18). For prior history, see Register 83, No. 13.
§1769. Criteria for Rehabilitation.
Note     •     History

(a) When considering the denial of a facility or personal license under Section 480 of the Business and Professions Code, the board, in evaluating the rehabilitation of the applicant and his present eligibility for licensing or registration, will consider the following criteria:
(1) The nature and severity of the act(s) or offense(s) under consideration as grounds for denial.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial under Section 480 of the Business and Professions Code.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).
(4) Whether the applicant has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against the applicant.
(5) Evidence, if any, of rehabilitation submitted by the applicant.
(b) When considering the suspension or revocation of a facility or a personal license on the ground that the licensee or the registrant has been convicted of a crime, the board, in evaluating the rehabilitation of such person and his present eligibility for a license will consider the following criteria:
(1) Nature and severity of the act(s) or offense(s).
(2) Total criminal record.
(3) The time that has elapsed since commission of the act(s) or offense(s).
(4) Whether the licensee has complied with all terms of parole, probation, restitution or any other sanctions lawfully imposed against the licensee.
(5) Evidence, if any, of rehabilitation submitted by the licensee.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4030, 4200 and 4400, Business and Professions Code.
HISTORY

1. New section filed 8-3-73; effective thirtieth day thereafter (Register 73, No. 31).
2. Amendment filed 7-24-75; effective thirtieth day thereafter (Register 75, No. 30).
3. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1770. Substantial Relationship Criteria.
Note     •     History

For the purpose of denial, suspension, or revocation of a personal or facility license pursuant to Division 1.5 (commencing with Section 475) of the Business and Professions Code, a crime or act shall be considered substantially related to the qualifications, functions or duties of a licensee or registrant if to a substantial degree it evidences present or potential unfitness of a licensee or registrant to perform the functions authorized by his license or registration in a manner consistent with the public health, safety, or welfare.
NOTE

Authority cited: Sections 481 and 4005, Business and Professions Code. Reference: Sections 4300, 4301 and 4309, Business and Professions Code.
HISTORY

1. New section filed 7-24-75; effective thirtieth day thereafter (Register 75, No. 30).
2. Amendment filed 3-22-83; effective thirtieth day thereafter (Register 83, No. 13). 
3. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1771. Posting of Notice of Suspension.
Note     •     History

Any holder of a pharmacy permit whose permit is suspended shall post a notice provided by the Board of the Board's suspension order in a location conspicuous to the public. Such notice shall remain posted during the entire period of actual suspension. Failure to post the notice of suspension as required herein shall be a ground for further disciplinary action.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4005, Business and Professions Code.
HISTORY

1. New section filed 8-3-79; effective thirtieth day thereafter (Register 79, No. 31).
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1772. Disciplinary Condition of Suspension.
Note     •     History

Unless otherwise directed by the Board in its sole discretion, any pharmacist who is serving a period of licensure suspension shall not enter any pharmacy prescription area or engage in any pharmacy-related service.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4300, Business and Professions Code.
HISTORY

1. New section 8-3-79; effective thirtieth day thereafter (Register 79, No. 31).
2. Amendment filed 3-22-83; effective thirtieth day thereafter (Register 83, No. 13).
3. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1773. Disciplinary Conditions of Probation of Pharmacist.
Note     •     History

(a) Unless otherwise directed by the Board in its sole discretion, any pharmacist who is serving a period of probation shall comply with the following conditions:
(1) Obey all laws and regulations substantially related to the practice of Pharmacy;
(2) Report to the Board or its designee quarterly either in person or in writing as directed; the report shall include the name and address of the probationer's employer. If the final probation report is not made as directed, the period of probation shall be extended until such time as the final report is made;
(3) Submit to peer review if deemed necessary by the Board;
(4) Provide evidence of efforts to maintain skill and knowledge as a pharmacist as directed by the Board;
(5) Inform all present and prospective employers of license restrictions and terms of probation. Probationers employed by placement agencies must inform all permittees in whose premises they work of license restrictions and terms of probation.
(6) Not supervise any registered interns nor perform any of the duties of a preceptor;
(7) The period of probation shall not run during such time that the probationer is engaged in the practice of pharmacy in a jurisdiction other than California.
(b) If ordered by the Board in an administrative action or agreed upon in the stipulated settlement of an administrative action, any registered pharmacist who is serving a period of probation shall comply with any or all of the following conditions;
(1) Take and pass all or any sections of the pharmacist licensure examination and/or attend continuing education courses in excess of the required number in specific areas of practice if directed by the Board;
(2) Provide evidence of medical or psychiatric care if the need for such care is indicated by the circumstances leading to the violation and is directed by the Board;
(3) Allow the Board to obtain samples of blood or urine (at the pharmacist's option) for analysis at the pharmacist's expense, if the need for such a procedure is indicated by the circumstances leading to the violation and is directed by the Board;
(4) If and as directed by the Board, practice only under the supervision of a pharmacist not on probation to the Board. The supervision directed may be continuous supervision, substantial supervision, partial supervision, or supervision by daily review as deemed necessary by the Board for supervision, partial supervision, or supervision by daily review as deemed necessary by the Board for the protection of the public health and safety.
(5) Complete an ethics course that meets the requirements of section 1773.5.
(c) When the circumstances of the case so require, the Board may impose conditions of probation in addition to those enumerated herein by the terms of its decision in an administrative case or by stipulation of the parties.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4300, Business and Professions Code.
HISTORY

1. New section filed 8-3-79; effective thirtieth day thereafter (Register 79, No. 31).
2. Amendment of subsections (a) and (b) filed 3-22-83; effective thirtieth day thereafter (Register 83, No. 13).
3. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
4. New subsection (b)(5) filed 8-4-2009; operative 9-3-2009 (Register 2009, No. 32).
§1773.5. Ethics Course Required as Condition of Probation.
Note     •     History

When directed by the board, a pharmacist or intern pharmacist may be required to complete an ethics course that meets the requirements of this section as a condition of probation, license reinstatement or as abatement for a citation and fine. Board approval must be obtained prior to the commencement of an ethics course.
(a) The board will consider for approval an ethics course that at minimum satisfies the following requirements:
(1) Duration. The course shall consist of a minimum of 22 hours, of which at least 14 are contact hours and at least 8 additional hours are credited for preparation, evaluation and assessment.
(2) Faculty. Every instructor shall either possess a valid unrestricted California professional license or otherwise be qualified, by virtue of prior training, education and experience, to teach an ethics or professionalism course at a university or teaching institution.
(3) Educational Objectives. There are clearly stated educational objectives that can be realistically accomplished within the framework of the course.
(4) Methods of Instruction. The course shall describe the teaching methods for each component of the program, e.g., lecture, seminar, role-playing, group discussion, video, etc.
(5) Content. The course shall contain all of the following components:
(A) A background assessment to familiarize the provider and instructors with the factors that led to the prospective candidate's referral to the class.
(B) A baseline assessment of knowledge to determine the participant's knowledge/awareness of ethical and legal issues related to the practice of pharmacy in California, including but not limited to those legal and ethical issues related to the specific case(s) for which the participant has been referred to the program.
(C) An assessment of the participant's expectations of the program, recognition of need for change, and commitment to change.
(D) Didactic presentation of material related to those areas that were problems for the participants based upon the results of the background assessments and baseline assessments of knowledge.
(5) Experiential exercises that allow the participants to practice concepts and newly developed skills they have learned during the didactic section of the class.
(F) A longitudinal follow-up component that includes (1) a minimum of two contacts at spaced intervals (e.g., 6 months and 12 months) within one year after course completion or prior to completion of the participant's probationary period if probation is less than one year, to assess the participant's status; and (2) a status report submitted to the division within 10 calendar days after the last contact.
(6) Class Size. A class shall not exceed a maximum of 12 participants.
(7) Evaluation. The course shall include an evaluation method that documents that educational objectives have been met -- e.g. written examination or written evaluation -- and that provides for written follow-up evaluation at the conclusion of the longitudinal assessment.
(8) Records. The course provider shall maintain all records pertaining to the program, including a record of the attendance for each participant, for a minimum of 3 years and shall make those records available for inspection and copying by the board or its designee.
(9) Course Completion. The provider shall issue a certificate of completion to a participant who has successfully completed the program. The provider shall also notify the board or its designee in writing of its determination that a participant did not successfully complete the program. The provider shall fail a participant who either was not actively involved in the case or demonstrated behavior indicating a lack of insight (e.g., inappropriate comments, projection of blame). This notification shall be made within 10 calendar days of that determination and shall be accompanied by all documents supporting the determination.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4300, Business and Professions Code.
HISTORY

1. New section filed 8-4-2009; operative 9-3-2009 (Register 2009, No. 32).
§1774. Disciplinary Conditions of Probation of Permit.
Note     •     History

(a) Unless otherwise directed by the Board, any pharmacy permit which is on probation to the Board shall be subject to the following conditions:
(1) Obey all laws and regulations substantially related to the practice of pharmacy;
(2) The permit, through its officer, partners or owners, shall report to the Board or its designees quarterly, either in person or in writing as directed; if the final probation report is not made as directed, the period of probation shall be extended until such time as the final report is made;
(3) Cooperate with the Board in its inspectional program;
(4) Post or circulate notice of conditions of probation so that they are available to all employees involved in pharmacy operations;
(5) Submit the operation of the pharmacy to peer review if deemed necessary by the Board;
(6) Provide evidence that owners or officers are knowledgeable in the laws pertaining to pharmacy if deemed necessary by the Board.
(b) When the circumstances of the case so require, the Board may impose conditions of probation in addition to those enumerated herein by the terms of its decision in an administrative case or by stipulation of the parties.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4300, Business and Professions Code.
HISTORY

1. New section filed 8-3-79; effective thirtieth day thereafter (Register 79, No. 31).
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
Article 9. Citations and Fines
§1775. Issuing Citations.
Note     •     History

(a) The executive officer or his/her designee may issue a citation which may contain either or both an administrative fine and an order of abatement for:
(1) A violation of the Pharmacy Law (Business and Professions Code 4000 et seq.).
(2) A violation of a regulation adopted by the board.
(3) A violation of the Confidentiality of Medical Information Act (Civil Code 56 et seq.).
(4) Defaulting on a United States Department of Health and Human Services education loan.
(5) A violation of other statutes or regulations for which the board may issue a citation.
(b) Each citation shall be in writing and shall describe with particularity the nature and facts of the violation, including a reference to the statute or regulations alleged to have been violated. The citation shall be served upon the individual personally or by certified mail.
(c) A citation must inform the cited person or entity that if he/she or it desires a hearing to contest the finding of a violation, that hearing shall be requested by written notice to the board within 30 days of the issuance of the citation. If a hearing is not requested pursuant to this article, payment of any fine shall not constitute an admission of the violation charged.
NOTE

Authority cited: Sections 125.9, 148, 685 and 4005, Business and Professions Code; and Section 56.36, Civil Code. Reference: Sections 125.9, 148 and 685, Business and Professions Code; and Section 56.36, Civil Code.
HISTORY

1. New article 9.5 and section filed 5-31-95; operative 6-30-95 (Register 95, No. 22).
2. Amendment of subsection (a) and Note filed 3-1-2000; operative 3-31-2000 (Register 2000, No. 9). 
3. Amendment of subsection (a) and new subsection (d) filed 6-22-2001; operative 7-22-2001 (Register 2001, No. 25).
4. Change without regulatory effect renumbering former article 9.5 heading to new article 9 heading filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
5. Amendment of section heading, section and Note filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§1775.1. Amount of Fines.
Note     •     History

(a) The fine for violating the Pharmacy Law or regulations adopted pursuant thereto shall not exceed the amount specified in Section 125.9 of the Business and Professions Code, except for a fine issued pursuant to Section 4067 or Section 4127.4 of the Business and Professions Code.
(b) The fine for violating the Confidentiality of Medical Information Act shall not exceed the amount specified in Section 56.36 of the Civil Code.
(c) The fine for defaulting on a United States Department of Health and Human Services education loan shall not exceed $2,500.
(d) Failure of a person or entity cited to pay a fine within 30 days of the date of assessment, unless the citation is being appealed, may result in disciplinary action by the board. When a citation is not contested and a fine is not paid, the full amount of the fine shall be added to the fee for renewal of the license and the license shall not be renewed without payment of the renewal fee and fine.
NOTE

Authority cited: Sections 125.9, 148, 685 and 4005, Business and Professions Code; and Section 56.36, Civil Code. Reference: Sections 125.9, 148, 685, 4067 and 4127.4, Business and Professions Code; and Section 56.36, Civil Code.
HISTORY

1. New section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37). For prior history, see Register 2001, No. 25.
§1775.15. Executive Officer, Citations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 125.9, 148 and 4005, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 6-22-2001; operative 7-22-2001 (Register 2001, No. 25).
2. Repealer filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§1775.2. Factors Considered.
Note     •     History

In assessing the amount of an administrative fine, except violations of the Confidentiality of Medical Information Act and when assessing a fine pursuant to Business and Professions Code section 685, the following factors shall be considered:
(a) The gravity of the violation.
(b) The good or bad faith of the cited person or entity.
(c) The history of previous violations.
(d) Evidence that the violation was or was not willful.
(e) The extent to which the cited person or entity has cooperated with the board's investigation.
(f) The extent to which the cited person or entity has mitigated or attempted to mitigate any damage or injury caused by the violation.
(g) Other matters as may be appropriate.
(h) The number of violations found in the investigation.
NOTE

Authority cited: Sections 125.9, 148, 685 and 4005, Business and Professions Code; and Section 56.36, Civil Code. Reference: Sections 125.9, 148 and 685, Business and Professions Code; and Section 56.36, Civil Code.
HISTORY

1. New section filed 5-31-95; operative 6-30-95 (Register 95, No. 22).
2. Amendment of first three paragraphs, new subsection (h) and amendment of Note filed 6-22-2001; operative 7-22-2001 (Register 2001, No. 25).
3. Amendment of section heading, section and Note filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§1775.3. Compliance with Orders of Abatement.
Note     •     History

(a) If a cited person or entity who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his/her or its control after the exercise of reasonable diligence, the person or entity cited may request, from the board, an extension of time in which to complete the correction. Such a request shall be in writing and shall be made within the time set forth for abatement.
(b) When an order of abatement is not contested or if the order is appealed and the person or entity cited does not prevail, failure to abate the violation charged within the time specified in the citation shall constitute a violation and failure to comply with the order of abatement. An order of abatement shall either be personally served or mailed by certified mail. Failure to comply with an order of abatement shall constitute a ground for revocation or suspension of the license, permit, or registration.
NOTE

Authority cited: Sections 125.9, 148 and 4005, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 5-31-95; operative 6-30-95 (Register 95, No. 22).
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Amendment filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§1775.4. Contested Citations.
Note     •     History

(a) Any person or entity served with a citation may contest the citation by appealing to the board in writing within 30 days of the issuance of the citation. Appeals shall be conducted pursuant to the adjudication provisions of the Administrative Procedure Act. (Government Code Section 11500 et seq.)
(b) In addition to requesting a hearing, as provided for in subdivision (a), the person or entity cited may, within 14 calendar days after service of a citation, submit a written request for an informal office conference.  The person or entity cited may contest any or all aspects of the citation. The informal office conference will be conducted by the executive officer or his/her designee within 30 calendars days of receiving the request.
(c) The executive officer or his/her designee shall hold an informal office conference upon request as provided for in subdivision (b) with the person or entity cited and their legal counsel or authorized representative if they desire representation at the informal office conference. At the conclusion of the informal office conference, the executive officer or his/her designee may affirm, modify or dismiss the citation, including any administrative fine levied or order of abatement issued. The executive officer or his/her designee shall state in writing the reasons for their action and serve or send by certified mail, a copy of their findings and decision to the person or entity cited within 14 calendar days from the date of the informal office conference. This decision shall be deemed to be a final order with regard to the citation issued, including the administrative fine levied and/or an order of abatement.
(d) The person or entity cited does not waive their request for a hearing to contest a citation by requesting an informal office conference after which the citation is affirmed by the executive officer or his/her designee. If the citation is dismissed after the informal office conference, the request for a hearing on the matter of the citation shall be deemed to be withdrawn. If the citation, including any administrative fine levied or order of abatement, is modified, the citation originally issued shall be considered withdrawn and a new citation issued. If a hearing is requested for the subsequent citation, it shall be requested within 30 days of the issuance of the subsequent citation.
NOTE

Authority cited: Sections 125.9, 148 and 4005, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 5-31-95; operative 6-30-95 (Register 95, No. 22).
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Amendment filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
Article 9.6. Citation and Fine -- Patient Privacy Violations [Repealed]
§1777. Authority to Issue Citations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4005, Business and Professions Code; and Section 56.36, Civil Code. Reference: Section 56.36, Civil Code; and Section 4301, Business and Professions Code. 
HISTORY

1. New article 9.6 (sections 1777-1777.5) and section filed 10-24-2002; operative 11-23-2002 (Register 2002, No. 43).
2. Repealer of article 9.6 (sections 1777-1777.5) and repealer of section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§1777.1. Amount of Fines for Violations by Pharmacists. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4005, Business and Professions Code; and Section 56.36, Civil Code. Reference: Section 56.36, Civil Code; and Section 4301, Business and Professions Code.
HISTORY

1. New section filed 10-24-2002; operative 11-23-2002 (Register 2002, No. 43).
2. Repealer filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§1777.2. Amount of Fines for Violations by Non-Professional Licensees. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4005, Business and Professions Code; and Section 56.36, Civil Code. Reference: Section 56.36, Civil Code; and Section 4301, Business and Professions Code.
HISTORY

1. New section filed 10-24-2002; operative 11-23-2002 (Register 2002, No. 43).
2. Repealer filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§1777.3. Factors Considered in Assessing Fines. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4005, Business and Professions Code; and Section 56.36, Civil Code. Reference: Section 56.36, Civil Code; and Section 4301, Business and Professions Code.
HISTORY

1. New section filed 10-24-2002; operative 11-23-2002 (Register 2002, No. 43).
2. Repealer filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§1777.4. Compliance With Orders of Abatement. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4005, Business and Professions Code; and Section 56.36, Civil Code. Reference: Section 56.36, Civil Code; and Sections 125.9 and 4301, Business and Professions Code.
HISTORY

1. New section filed 10-24-2002; operative 11-23-2002 (Register 2002, No. 43).
2. Repealer filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§1777.5. Contested Citations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4005, Business and Professions Code; and Section 56.36, Civil Code. Reference: Section 56.36, Civil Code; and Section 4301, Business and Professions Code.
HISTORY

1. New section filed 10-24-2002; operative 11-23-2002 (Register 2002, No. 43).
2. Repealer filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
Article 9.8. Citation and Fine -- Internet Dispensing Violations [Repealed]
§1778. Authority to Issue Citations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4067, Business and Professions Code.
HISTORY

1. New article 9.8 (sections 1778-1778.3) and section filed 10-24-2002; operative 11-23-2002 (Register 2002, No. 43).
2. Repealer of article 9.8 (sections 1778-1778.3) and repealer of section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§1778.1. Factors Considered in Assessing Fines. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4067, Business and Professions Code.
HISTORY

1. New section filed 10-24-2002; operative 11-23-2002 (Register 2002, No. 43).
2. Repealer filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§1778.2. Compliance With Orders of Abatement. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 125.9 and 4067, Business and Professions Code.
HISTORY

1. New section filed 10-24-2002; operative 11-23-2002 (Register 2002, No. 43).
2. Repealer filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§1778.3. Contested Citations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Section 4067, Business and Professions Code.
HISTORY

1. New section filed 10-24-2002; operative 11-23-2002 (Register 2002, No. 43).
2. Repealer filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
Article 10. Wholesalers
§1780. Minimum Standards for Wholesalers.
Note     •     History

The following minimum standards shall apply to all wholesale establishments for which permits have been issued by the Board:
(a) A wholesaler shall store dangerous drugs in a secured and lockable area.
(b) All wholesaler premises, fixtures and equipment therein shall be maintained in a clean and orderly condition. Wholesale premises shall be well ventilated, free from rodents and insects, and adequately lighted. Plumbing shall be in good repair. Temperature and humidity monitoring shall be conducted to assure compliance with the United States Pharmacopeia Standards (1990, 22nd Revision).
(c) Entry into areas where prescription drugs are held shall be limited to authorized personnel.
(1) All facilities shall be equipped with an alarm system to detect entry after hours.
(2) All facilities shall be equipped with a security system that will provide suitable protection against theft and diversion. When appropriate, the security system shall provide protection against theft or diversion that is facilitated or hidden by tampering with computers or electronic records.
(3) The outside perimeter of the wholesaler premises shall be well-lighted.
(d) All materials must be examined upon receipt or before shipment.
(1) Upon receipt, each outside shipping container shall be visually examined for identity and to prevent the acceptance of contaminated prescription drugs or prescription drugs that are otherwise unfit for distribution. This examination shall be adequate to reveal container damage that would suggest possible contamination or other damage to the contents.
(2) Each outgoing shipment shall be carefully inspected for identity of the prescription drug products and to ensure that there is no delivery of prescription drugs that have been damaged in storage or held under improper conditions.
(e) The following procedures must be followed for handling returned, damaged and outdated prescription drugs.
(1) Prescription drugs that are outdated, damaged, deteriorated, misbranded or adulterated shall be placed in a quarantine area and physically separated from other drugs until they are destroyed or returned to their supplier.
(2) Any prescription drugs whose immediate or sealed outer or sealed secondary containers have been opened or used shall be identified as such, and shall be placed in a quarantine area and physically separated from other prescription drugs until they are either destroyed or returned to the supplier.
(3) If the conditions under which a prescription drug has been returned cast doubt on the drug's safety, identity, strength, quality or purity, the drug shall be destroyed or returned to the supplier unless testing or other investigation proves that the drug meets appropriate United States Pharmacopeia Standards (1990, 22nd Revision).
(f) Policies and procedures must be written and made available upon request by the board.
(1) Wholesale drug distributors shall establish, maintain, and adhere to written policies and procedures, which shall be followed for the receipt, security, storage, inventory and distribution of prescription drugs, including policies and procedures for identifying, recording, and reporting losses or thefts, for correcting all errors and inaccuracies in inventories, and for maintaining records to document proper storage.
(2) The records required by paragraph (1) shall be in accordance with Title 21, Code of Federal Regulations, Section 205.50(g). These records shall be maintained for three years after disposition of the drugs.
(3) Wholesale drug distributors shall establish and maintain lists of officers, directors, managers and other persons in charge of wholesale drug distribution, storage and handling, including a description of their duties and a summary of their qualifications.
(4) Each wholesaler shall provide adequate training and experience to assure compliance with licensing requirements by all personnel.
(g) The board shall require an applicant for a licensed premise or for renewal of that license to certify that it meets the requirements of this section at the time of licensure or renewal.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4043, 4051, 4053, 4054, 4059, 4120, 4160, 4161 and 4304, Business and Professions Code.
HISTORY

1. New Article 10 (1780 through 1782) filed 9-14-60; designated effective 1-1-61 (Register 60, No. 20).
2. Amendment filed 7-21-66; effective thirtieth day thereafter (Register 66, No. 23).
3. New subsection (k) filed 6-24-71; effective thirtieth day thereafter (Register 71, No. 26).
4. Amendment filed 3-8-84; effective thirtieth day thereafter (Register 84, No. 10).
5. Amendment of subsection (b), new subsections (c)-(f), and amendment of Note filed 6-23-92; operative 7-22-92 (Register 92, No. 26).
6. Amendment of subsection (a) and new subsection (g) filed 5-20-96; operative 6-19-96 (Register 96, No. 21).
7. Change without regulatory effect filed 2-5-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 6).
8. Change without regulatory effect adding article 10 heading and amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1780.1. Minimum Standards for Veterinary Food-Animal Drug Retailers.
Note     •     History

In addition to the minimum standards required of wholesalers by section 1780, the following standards shall apply to veterinary food-animal drug retailers.
(a) Drugs dispensed by a veterinary food-animal drug retailer pursuant to a veterinarian's prescription to a veterinarian's client are for use on food-producing animals.
(b) Repackaged within the meaning of Business and Professions Code section 4041 means that a veterinary food-animal drug retailer may break down case lots of dangerous drugs as described in 4022(a), legend drugs or extra label use drugs, so long as the seals on the individual containers are not broken. Veterinary food-animal drug retailers shall not open a container and count out or measure out any quantity of a dangerous, legend or extra label use drug.
(c) Dangerous drugs, legend drugs or extra label use drugs returned to a veterinary food-animal drug retailer from a client shall be treated as damaged or outdated prescription drugs and stored in the quarantine area specified in section 1780(e)(1). Returned drugs may not be returned to stock, or dispensed, distributed or resold.
(d) A pharmacist or person issued a permit under Business and Professions Code section 4053 (hereafter called a vet retailer designated representative) may dispense drugs for use on food-producing animals on the basis of a written, electronically transmitted or oral order received from a licensed veterinarian. Only a pharmacist or the vet retailer designated representative may receive an oral order for a veterinary food-animal drug from the veterinarian. A written copy of the oral prescription shall be sent or electronically transmitted to the prescribing veterinarian within 72 hours.
(e) When a vet retailer designated representative dispenses a prescription for controlled substances, the labels of the containers shall be countersigned by the prescribing veterinarian before being provided to the client.
(f) Whenever a vet retailer designated representative dispenses to the same client for use on the same production class of food-animals, dangerous drugs, legend drugs or extra label use drugs prescribed by multiple veterinarians, the vet retailer designated representative shall contact the prescribing veterinarians for authorization before dispensing any drugs.
(g) Refilling a veterinarian's prescription
(1) A veterinary food-animal drug retailer may refill a prescription only if the initial prescription is issued indicating that a specific number of refills are authorized. If no refills are indicated on the initial prescription, no refills may be dispensed. Instead, a new prescription is needed from the veterinarian.
(2) A veterinary food-animal drug retailer may not refill a veterinarian's prescription order six months after the issuance date of the initial order. Records of any refills shall be retained by the veterinary food-animal drug retailer for three years.
(h) Labels affixed to a veterinary food-animal drug dispensed pursuant to Business and Professions Code section 4041 shall contain the:
(1) Active ingredients or the generic names(s) of the drug
(2) Manufacturer of the drug
(3) Strength of the drug dispensed
(4) Quantity of the drug dispensed
(5) Name of the client
(6) Species of food-producing animals for which the drug is prescribed
(7) Condition for which the drug is prescribed
(8) Directions for use
(9) Withdrawal time
(10) Cautionary statements, if any
(11) Name of the veterinarian prescriber
(12) Date dispensed
(13) Name and address of the veterinary food-animal drug retailer
(14) Prescription number or another means of identifying the prescription, and if an order is filled in multiple containers, a sequential numbering system to provide a means to identify multiple units if shipped to the same client from the same prescription (container 1 of 6, container 2 of 6, etc.)
(15) Manufacturer's expiration date
(i) A record of shipment or an expanded invoice shall be included in the client's shipment, and shall include the names of the drugs, quantity shipped, manufacturer's name and lot number, date of shipment and the name of the pharmacist or vet retailer designated representative who is responsible for the distribution. Copies of the records shall be distributed to the prescribing veterinarian and retained by the veterinary food-animal drug retailer for three years.
(j) If a retailer is unable at any one time to fill the full quantity of drugs prescribed, the retailer may partially ship a portion so long as the full quantity is shipped within 30 days. When partially filling a veterinarian's prescription, a pharmacist or vet retailer designated representative must note on the written prescription for each date the drugs are shipped: the quantity shipped, the date shipped, and number of containers shipped, and if multiple containers are dispensed at one time, each container must be sequentially numbered (e.g., 1 of 6 containers), If a retailer is unable to dispense the full quantity prescribed within 30 days, a new veterinarian's prescription is required to dispense the remainder of the drugs originally prescribed.
(k) Upon delivery of the drugs, the supplier or his or her agent shall obtain the signature of the client or the client's agent on the invoice with notations of any discrepancies, corrections or damage.
(l) If a person, on the basis of whose qualifications a certificate of exemption has been granted under Business and Professions Code Section 4053 (the vet retailer designated representative), leaves the employ of a veterinary food-animal drug retailer, the retailer shall immediately return the certificate of exemption to the board.
(m) Training of Vet Retailer Designated representative:
(1) A course of training that meets the requirements of section 4053(b)(4) shall include at least 240 hours of theoretical and practical instruction, provided that at least 40 hours are theoretical instruction stressing:
(A) Knowledge and understanding of the importance and obligations relative to drug use on food-animals and residue hazards to consumers.
(B) Knowledge and understanding of state and federal law regarding dispensing of drugs, including those prescribed by a veterinarian.
(C) Knowledge and understanding of prescription terminology, abbreviations, dosages and format, particularly for drugs prescribed by a veterinarian.
(D) Understanding of cautionary statements and withdrawal times.
(E) Knowledge and understanding of information contained in package inserts.
(2) As an alternative to the training program specified in paragraph (1), other training programs that satisfy the training requirements of 4053 include fulfillment of one of the following:
(A) Possessing a registration as a registered veterinary technician with the California Veterinary Medical Board.
(B) Being eligible to take the State Board of Pharmacy's pharmacist licensure exam or the Veterinary Medical Board's veterinarian licensure examination.
(C) Having worked at least 1,500 hours within the last three years at a veterinary food-animal drug retailer's premises working under the direct supervision of a vet retailer designated representative. The specific knowledge, skills and abilities listed in sections 1780.1(m)(1)(A-E) shall be learned as part of the 1500 hours of work experience. A vet retailer designated representative who vouches for the qualifying experience earned by an applicant for registration must do so under penalty of perjury.
NOTE

Authority cited: Sections 4005 and 4197, Business and Professions Code. Reference: Sections 4040, 4041, 4053, 4059, 4063, 4070, 4081, 4196, 4197, 4198 and 4199, Business and Professions Code.
HISTORY

1. New section filed 12-12-96; operative 1-11-97 (Register 96, No. 50).
2. Amendment of subsections b., d., h., l., m.(1) and m.(2), new subsection m.(2)(C), and amendment of Note filed 5-1-97; operative 5-31-97 (Register 97, No. 18).
3. Change without regulatory effect amending section filed 12-18-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 51).
§1781. Exemption Certificate.
Note     •     History

A registered pharmacist or a designated representative certified in accordance with Section 4053 or 4054 of the Business and Professions Code shall be present and in control of a manufacturer's or wholesaler's licensed premises during the conduct of business.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4053 and 4054, Business and Professions Code.
HISTORY

1. Amendment filed 7-21-66; effective thirtieth day thereafter (Register 66, No. 23).
2. Amendment filed 6-24-71; effective thirtieth day thereafter (Register 71, No. 26).
3. Amendment filed 3-8-84; effective thirtieth day thereafter (Register 84, No. 10). 
4. Change without regulatory effect amending section and Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
5. Change without regulatory effect amending section filed 12-18-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 51).
§1782. Reporting Sales of Drugs Subject to Abuse.
Note     •     History

All manufacturers and wholesalers shall report to the Board or its designee, up to twelve (12) times a year, all sales of dangerous drugs subject to abuse as designated by the Board for reporting, in excess of amounts to be determined by the Board from time to time. Reports shall be made within thirty (30) days of the request in the form specified by the Board.
NOTE

Authority cited: Section 4005, Business and Professions Code; and Section 26692, Health and Safety Code. Reference: Sections 4081 and 4332, Business and Professions Code; and Section 26692, Health and Safety Code.
HISTORY

1. New section filed 3-31-78 as an emergency; effective upon filing (Register 78, No. 13). For history of former Section 1782, see Register 71, No. 26.
2. Repealed by operation of Section 11422.1(c), Government Code (Register 78, No. 14).
3. New section filed 10-13-78; effective thirtieth day thereafter (Register 78, No. 41).
4. Amendment filed 3-8-84; effective thirtieth day thereafter (Register 84, No. 10). 
5. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1783. Manufacturer or Wholesaler Furnishing Drugs and Devices.
Note     •     History

(a) A manufacturer or wholesaler shall furnish dangerous drugs or devices only to an authorized person; prior to furnishing dangerous drugs and devices to a person not known to the furnisher, the manufacturer or wholesaler shall contact the board or, if the person is licensed or registered by another government entity, that entity, to confirm the recipient is an authorized person.
(b) “Authorized person” means a person to whom the board has issued a permit which enables the permit holder to purchase dangerous drugs or devices for use within the scope of its permit. “Authorized person” also means any person in this state or in another jurisdiction within the United States to the extent such furnishing is authorized by the law of this state, any applicable federal law, and the law of the jurisdiction in which that person is located. The manufacturer or wholesaler furnishing to such person shall, prior to furnishing the dangerous drugs and devices, establish the intended recipient is legally authorized to receive the dangerous drugs or devices.
(c) Dangerous drugs or devices furnished by a manufacturer or wholesaler shall be delivered only to the premises listed on the permit; provided that a manufacturer or wholesaler may furnish drugs to an authorized person or an agent of that person at the premises of the manufacturer or wholesaler if (1) the identity and authorization of the recipient is properly established and (2) this method of receipt is employed only to meet the immediate needs of a particular patient of the authorized person. Dangerous drugs or devices may be furnished to a hospital pharmacy receiving area provided that a pharmacist or authorized receiving personnel signs, at the time of delivery, a receipt showing the type and quantity of the dangerous drugs or devices so received. Any discrepancy between the receipt and the type and quantity of dangerous drugs and devices actually received shall be reported to the delivering manufacturer or wholesaler by the next business day after the delivery to the pharmacy receiving area.
(d) A manufacturer or wholesaler shall not accept payment for or allow the use of an entity's credit to establish an account for the purchase of dangerous drugs or devices from any person other than: (1) the owner(s) of record, chief executive officer, or chief financial officer listed on the permit for the authorized person; and (2) on an account bearing the name of the permittee.
(e) All records of dangerous drugs or devices furnished by a manufacturer or wholesaler to an authorized person shall be preserved by the authorized person for at least three years from the date of making and shall, at all times during business hours, be open to inspection by authorized officers of the law at the licensed premises. The manufacturer or wholesaler shall also maintain all records of dangerous drugs or devices furnished pursuant to this section for at least three years from the date of making and shall, at all times during business hours, keep them open to inspection by authorized officers of the law at the premises from which the dangerous drugs or devices were furnished.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4043, 4059, 4059.5, 4080, 4081, 4120, 4160, 4161, 4163 and 4304, Business and Professions Code; and Section 11209, Health and Safety Code.
HISTORY

1. New section filed 8-25-99; operative 9-24-99 (Register 99, No. 35). For prior history see Register 84, No. 10.
§1784. Self-Assessment of a Wholesaler by the Designated Representative-In-Charge.
Note     •     History

(a) The designated representative-in-charge of each wholesaler as defined under section 4160 of the Business and Professions Code shall complete a self-assessment of the wholesaler's compliance with federal and state pharmacy law. The assessment shall be performed before July 1 of every odd-numbered year. The primary purpose of the self-assessment is to promote compliance through self-examination and education.
(b) In addition to the self-assessment required in subdivision (a) of this section, the designated representative-in-charge shall complete a self-assessment within 30 days whenever:
(1) A new wholesaler permit is issued, or
(2) There is a change in the designated representative-in-charge. The new designated representative-in-charge of a wholesaler is responsible for compliance with this subdivision.
(3) There is a change in the licensed location of a wholesaler to a new address.
(c) The components of this assessment shall be on Form 17M-26 (Rev. 01/11) entitled “Wholesaler Dangerous Drugs & Dangerous Devices Self-Assessment” which is hereby incorporated by reference to evaluate compliance with federal and state laws and regulations.
(d) Each self-assessment shall be kept on file in the licensed wholesale premises for three years after it is completed.
(e) The wholesaler is jointly responsible with the designated representative-in-charge for compliance with this section.
NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4022.5, 4043, 4053, 4059, 4120, 4160, 4161, 4201, 4301 and 4305.5, Business and Professions Code.
HISTORY

1. New section filed 3-26-2007; operative 4-25-2007 (Register 2007, No. 13). For prior history, see Register 84, No. 10.
2. Change without regulatory effect amending subsection (c) filed 3-11-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 11).
3. Amendment of subsection (c) filed 9-19-2011; operative 10-19-2011 (Register 2011, No. 38).
§1785. Definitions. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4008, 4008.1 and 4227, Business and Professions Code. Reference: Sections 4050.7 and 4227, Business and Professions Code.
HISTORY

1. New Article 11 (Sections 1785 through 1794) filed 3-6-73 as an emergency; effective upon filing (Register 73, No. 10).
2. Certificate of Compliance filed 7-3-73 (Register 73, No. 27).
3. Amendment of subsection (a) and (c) filed 10-31-74; effective thirtieth day thereafter (Register 74, No. 44).
4. Repealer filed 3-8-84; effective thirtieth day thereafter (Register 84, No. 10).
§1786. Exemptions. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4005, Business and Professions Code. Reference: Sections 4051, 4053 and 4054, Business and Professions Code.
HISTORY

1. New subsection (c) filed 10-31-74; effective thirtieth day thereafter (Register 74, No. 44).
2. Amendment filed 3-8-84; effective thirtieth day thereafter (Register 84, No. 10).
3. Change without regulatory effect amending section and Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
4. Change without regulatory effect repealing section filed 12-18-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 51).
Article 10.1. Home Dialysis Drugs and Devices
§1787. Authorization to Distribute Dialysis Drugs and Devices.
Note     •     History

(a) Only the following dangerous drugs and devices may be distributed directly to home dialysis patients in case or full shelf package lots:
(1) Dialysate
(2) Heparin 1000u/cc
(3) Sterile Sodium Chloride 0.9% for injection
(4) Needles
(5) Syringes
(6) Dialyzers, delivery systems and their accessory equipment necessary for chronic hemodialysis.
(b) The drugs and devices specified in 1787(a) may be distributed on the basis of a written or oral order received from a licensed prescriber. The prescriber or his or her authorized employee may transmit oral orders directly to a pharmacist or designated representative.
(c) Orders are refillable during a six-month interval as ordered by the prescriber. Records of such refills shall be retained by the supplier for three years.
NOTE

Authority cited: Sections 4005 and 4059, Business and Professions Code. Reference: Sections 4059, 4081 and 4332, Business and Profession Code.
HISTORY

1. Amendment filed 3-8-84; effective thirtieth day thereafter (Register 84, No. 10).
2. Change without regulatory effect adding article 10.1 heading and amending section heading, subsection (a) and Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Change without regulatory effect amending subsection (b) filed 12-18-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 51).
§1788. Facilities. [Repealed]
History

HISTORY

1. Repealer filed 3-8-84; effective thirtieth day thereafter (Register 84, No. 10). 
§1789. Authorization. [Repealed]
History

HISTORY

1. Amendment filed 10-31-74; effective thirtieth day thereafter (Register 74, No. 44).
2. Repealer filed 3-8-84; effective thirtieth day thereafter (Register 84, No. 10).
§1790. Assembling and Packaging.
Note     •     History

A record of shipment or expanded invoice shall be included in the patient's shipment, and shall include the name(s) of the drugs or devices, quantities, manufacturer's name and lot number, date of shipment, and the name of the pharmacist or designated representative who supervised and was responsible for the distribution. Copies of the record shall also be distributed to the prescribing physician and retained by the supplier for three years.
NOTE

Authority cited: Sections 4005 and 4059, Business and Profession Code. Reference: Sections 4059, 4081 and 4332, Business and Professions Code.
HISTORY

1. Amendment filed 3-8-84; effective thirtieth day thereafter (Register 84, No. 10).
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Change without regulatory effect amending section filed 12-18-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 51).
§1791. Labeling.
Note     •     History

In addition to the manufacturer's label, each case or full shelf package furnished to a home hemodialysis patient shall have affixed in a conspicuous place the name of that patient. In addition the shipment must include the following information: the patient's name and address, the name, strength, dosage size and quantity of the dangerous drugs or devices contained therein, the name of the prescriber, the name and address of the supplier, the date of assembly, and appropriate directions for use.
NOTE

Authority cited: Sections 4005 and 4059, Business and Professions Code. Reference: Sections 4059, 4081 and 4332, Business and Professions Code.
HISTORY

1. Amendment filed 10-31-74; effective thirtieth day thereafter (Register 74, No. 44).
2. Amendment filed 3-8-84; effective thirtieth day thereafter (Register 84, No. 10).
3. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
§1792. Receipt for Shipment.
Note     •     History

Upon delivery of such drugs and devices, the supplier or his or her agent shall obtain the signature of the patient or his or her agent on the invoice with notations of any discrepancies, corrections or damage.
NOTE

Authority cited: Sections 4005 and 4059, Business and Professions Code. Reference: Sections 4059, 4081 and 4332, Business and Professions Code.
HISTORY

1. Amendment filed 3-8-84; effective thirtieth day thereafter (Register 84, No. 10).
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
Article 11.  Ancillary Personnel
§1793. Definitions.
Note     •     History

“Pharmacy technician” means an individual who, under the direct supervision and control of a pharmacist, performs packaging, manipulative, repetitive, or other nondiscretionary tasks related to the processing of a prescription in a pharmacy, but who does not perform duties restricted to a pharmacist under section 1793.1.
NOTE

Authority cited: Sections 4005, 4007, 4038, 4115 and 4202, Business and Professions Code. Reference: Sections 4005, 4007, 4038, 4115 and 4202, Business and Professions Code.
HISTORY

1. Repealer filed 3-8-84; effective thirtieth day thereafter (Register 84, No. 10).
2. New article 12 and section filed 8-12-92; operative 9-11-92 (Register 92, No. 33).
3. Change without regulatory effect renumbering former article 12 heading to new article 11 heading and amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
4. Amendment filed 9-22-2004; operative 10-22-2004 (Register 2004, No. 39).
§1793.1. Duties of a Pharmacist.
Note     •     History

Only a pharmacist, or an intern pharmacist acting under the supervision of a pharmacist, may:
(a) Receive a new prescription order orally from a prescriber or other person authorized by law.
(b) Consult with a patient or his or her agent regarding a prescription, either prior to or after dispensing, or regarding any medical information contained in a patient medication record system or patient chart.
(c) Identify, evaluate and interpret a prescription.
(d) Interpret the clinical data in a patient medication record system or patient chart.
(e) Consult with any prescriber, nurse or other health care professional or authorized agent thereof.
(f) Supervise the packaging of drugs and check the packaging procedure and product upon completion.
(g) Perform all functions which require professional judgment.
NOTE

Authority cited: Sections 4005, 4007, 4038, 4115 and 4202, Business and Professions Code. Reference: Sections 4005, 4007, 4038, 4115 and 4202, Business and Professions Code.
HISTORY

1. New section filed 8-12-92; operative 9-11-92 (Register 92, No. 33).
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Amendment of section heading and first paragraph, repealer of subsections (g)-(h) and subsection relettering filed 9-22-2004; operative 10-22-2004 (Register 2004, No. 39).
§1793.2. Duties of a Pharmacy Technician.
Note     •     History

“Nondiscretionary tasks” as used in Business and Professions Code section 4115, include:
(a) removing the drug or drugs from stock;
(b) counting, pouring, or mixing pharmaceuticals;
(c) placing the product into a container;
(d) affixing the label or labels to the container;
(e) packaging and repackaging.
NOTE

Authority cited: Sections 4005, 4007, 4038, 4115 and 4202, Business and Professions Code. Reference: Sections 4005, 4007, 4038, 4115 and 4202, Business and Professions Code.
HISTORY

1. New section filed 8-12-92; operative 9-11-92 (Register 92, No. 33).
2. Change without regulatory effect amending first paragraph and Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Repealer of first paragraph filed 9-22-2004; operative 10-22-2004 (Register 2004, No. 39).
§1793.3. Other Non-Licensed Pharmacy Personnel.
Note     •     History

(a) In addition to employing a pharmacy technician to perform the tasks specified in section 1793.2, a pharmacy may employ a non-licensed person to type a prescription label or otherwise enter prescription information into a computer record system, but the responsibility for the accuracy of the prescription information and the prescription as dispensed lies with the registered pharmacist who initials the prescription or prescription record. At the direction of the registered pharmacist, a non-licensed person may also request and receive refill authorization. 
(b) A pharmacist may supervise the number of non-licensed personnel performing the duties specified in subdivision (a) that the pharmacist determines, in the exercise of his or her professional judgment, does not interfere with the effective performance of the pharmacist's responsibilities under the Pharmacy Law.
(c) A pharmacist who, exercising his or her professional judgment pursuant to subdivision (b), refuses to supervise the number of non-licensed personnel scheduled by the pharmacy, shall notify the pharmacist-in-charge in writing of his or her determination, specifying the circumstances of concern with respect to the pharmacy or the non-licensed personnel that have led to the determination, within a reasonable period, but not to exceed 24 hours, after the posting of the relevant schedule.
(d) No entity employing a pharmacist may discharge, discipline, or otherwise discriminate against any pharmacist in the terms and conditions of employment for exercising or attempting to exercise in good faith the right established pursuant to this section.
NOTE

Authority cited: Sections 4005 and 4007, Business and Professions Code. Reference: Sections 4005 and 4007, Business and Professions Code.
HISTORY

1. New section filed 8-12-92; operative 9-11-92 (Register 92, No. 33).
2. Editorial correction of Reference cite (Register 95, No. 30).
3. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
4. Redesignation and amendment of section as subsection (a) and new subsections (b) and (c) filed 9-3-2004; operative 10-3-2004 (Register 2004, No. 36).
§1793.4. Qualifications for Registration as a Pharmacy Technician. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4005, 4007, 4038, 4115 and 4202, Business and Professions Code. Reference: Sections 4005, 4007, 4038, 4115 and 4202, Business and Professions Code.
HISTORY

1. New section filed 8-12-92; operative 9-11-92 (Register 92, No. 33).
2. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Repealer filed 9-22-2004; operative 10-22-2004 (Register 2004, No. 39).
§1793.5. Pharmacy Technician Application.
Note     •     History

The “Pharmacy Technician Application” (Form 17A-5 (Rev. 01/11)), incorporated by reference herein, required by this section is available from the Board of Pharmacy upon request.
(a) Each application for a pharmacy technician license shall include:
(1) Information sufficient to identify the applicant.
(2) A description of the applicant's qualifications and supporting documentation for those qualifications.
(3) A criminal background check that will require submission of fingerprints in a manner specified by the board and the fee authorized in Penal Code section 11105(e).
(4) A sealed, original Self-Query from the National Practitioner Data Bank -- Healthcare Integrity and Protection Data Bank (NPDB-HIPDB) dated no earlier than 60 days of the date an application is submitted to the board.
(b) The applicant shall sign the application under penalty of perjury and shall submit it to the Board of Pharmacy.
(c) The board shall notify the applicant within 30 days if an application is deficient; and what is needed to correct the deficiency. Once the application is complete, and upon completion of any investigation conducted pursuant to section 4207 of the Business and Professions Code, the board will notify the applicant within 60 days of a license decision.
(d) Before expiration of a pharmacy technician license, a pharmacy technician must renew that license by payment of the fee specified in subdivision (r) of section 4400 of the Business and Professions Code.
NOTE

Authority cited: Sections 163.5, 4005, 4007, 4038, 4115, 4202, 4207 and 4400, Business and Professions Code. Reference: Sections 163.5, 4005, 4007, 4038, 4115, 4202, 4207, 4402 and 4400, Business and Professions Code; and Section 11105, Penal Code.
HISTORY

1. New section filed 8-12-92; operative 9-11-92 (Register 92, No. 33).
2. Amendment of first paragraph, subsections (a)(2), (a)(4), (d) and Note filed 4-27-95; effective on filing 4-27-95 and operative 7-1-95 (Register 95, No. 17).
3. Change without regulatory effect amending subsections (a)(4) and (d) and amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
4. Amendment of section heading and section filed 9-22-2004; operative 10-22-2004 (Register 2004, No. 39).
5. Amendment of section and Note filed 9-1-2011; operative 10-1-2011 (Register 2011, No. 35).
§1793.6. Training Courses Specified by the Board.
Note     •     History

A course of training that meets the requirements of Business and Professions Code section 4202(a)(2) is:
(a) Any pharmacy technician training program accredited by the American Society of Health--System Pharmacists,
(b) Any pharmacy technician training program provided by a branch of the federal armed services for which the applicant possesses a certificate of completion, or
(c) Any other course that provides a training period of at least 240 hours of instruction covering at least the following:
(1) Knowledge and understanding of different pharmacy practice settings.
(2) Knowledge and understanding of the duties and responsibilities of a pharmacy technician in relationship to other pharmacy personnel and knowledge of standards and ethics, laws and regulations governing the practice of pharmacy.
(3) Knowledge and ability to identify and employ pharmaceutical and medical terms, abbreviations and symbols commonly used in prescribing, dispensing and record keeping of medications.
(4) Knowledge of and the ability to carry out calculations required for common dosage determination, employing both the metric and apothecary systems.
(5) Knowledge and understanding of the identification of drugs, drug dosages, routes of administration, dosage forms and storage requirements.
(6) Knowledge of and ability to perform the manipulative and record-keeping functions involved in and related to dispensing prescriptions.
(7) Knowledge of and ability to perform procedures and techniques relating to manufacturing, packaging, and labeling of drug products.
NOTE

Authority cited: Sections 4005, 4007, 4038, 4115 and 4202, Business and Professions Code. Reference: Sections 4005, 4007, 4038, 4115 and 4202, Business and Professions Code.
HISTORY

1. New section filed 8-12-92; operative 9-11-92 (Register 92, No. 33).
2. Amendment of section and Note filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note, including amendment of subsection (c), refiled 12-22-97 as an emergency; operative 12-22-97 (Register 97, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-98 or emergency language will be repealed by operation of law on the following day.
4. Reinstatement of section as it existed prior to 12-22-97 emergency amendment by operation of Government Code section 11346.1(f) (Register 98, No. 20).
5. Amendment of section and Note filed 5-15-98 as an emergency; operative 5-15-98 (Register 98, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-14-98 or emergency language will be repealed by operation of law on the following day.
6. Reinstatement of section as it existed prior to 5-15-98 emergency by operation of Government Code section 11346.1(f) (Register 98, No. 39).
7. Amendment of section and Note filed 9-24-98 as an emergency; operative 9-24-98 (Register 98, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-22-99 or emergency language will be repealed by operation of law on the following day.
8. Reinstatement of section as it existed prior to 9-24-98 emergency amendment by operation of Government Code section 11346.1(f) (Register 99, No. 14).
9. Change without regulatory effect amending Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
10. Amendment of first paragraph and subsection (c) filed 9-22-2004; operative 10-22-2004 (Register 2004, No. 39).
§1793.7. Requirements for Pharmacies Employing Pharmacy Technicians.
Note     •     History

(a) Except as otherwise provided in section 1793.8, any function performed by a pharmacy technician in connection with the dispensing of a prescription, including repackaging from bulk and storage of pharmaceuticals, must be verified and documented in writing by a pharmacist. Except for the preparation of prescriptions for an inpatient of a hospital and for an inmate of a correctional facility, the pharmacist shall indicate verification of the prescription by initialing the prescription label before the medication is provided to the patient.
(b) Pharmacy technicians must work under the direct supervision of a pharmacist and in such a relationship that the supervising pharmacist is fully aware of all activities involved in the preparation and dispensing of medications, including the maintenance of appropriate records.
(c) A pharmacy technician must wear identification clearly identifying him or her as a pharmacy technician.
(d) Any pharmacy employing or using a pharmacy technician shall develop a job description and written policies and procedures adequate to ensure compliance with the provisions of Article 11 of this Chapter, and shall maintain, for at least three years from the time of making, records adequate to establish compliance with these sections and written policies and procedures.
(e) A pharmacist shall be responsible for all activities of pharmacy technicians to ensure that all such activities are performed completely, safely and without risk of harm to patients.
(f) For the preparation of a prescription for an inpatient of a licensed health facility and for a patient of a licensed home health agency, the ratio shall not be less than one pharmacist on duty for a total of two pharmacy technicians on duty. Pursuant to Business and Professions Code section 4115(g)(1), this ratio shall not apply to the preparation of a prescription for an inmate of a correctional facility of the Department of the Youth Authority or the Department of Corrections, or for a person receiving treatment in a facility operated by the State Department of Mental Health, the State Department of Developmental Services, or the Department of Veterans Affairs.
NOTE

Authority cited: Sections 4005, 4007, 4038, 4115 and 4202, Business and Professions Code. Reference: Sections 4005, 4007, 4038, 4115 and 4202, Business and Professions Code.
HISTORY

1. New section filed 8-12-92; operative 9-11-92 (Register 92, No. 33).
2. Change without regulatory effect amending subsection (f) and Note filed 9-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 37).
3. Repealer of subsection (a), subsection relettering, amendment of newly designated subsections (b) and (d) and new subsection (e) filed 9-22-2004; operative 10-22-2004 (Register 2004, No. 39).
4. Amendment of subsection (a) filed 12-7-2006; operative 1-6-2007 (Register 2006, No. 49).
§1793.8. Technicians in Hospitals with Clinical Pharmacy Programs.
Note     •     History

(a) A general acute care hospital, as defined in Health and Safety Code 1250(a), that has an ongoing clinical pharmacy program may allow pharmacy technicians to check the work of other pharmacy technicians in connection with the filling of floor and ward stock and unit dose distribution systems for patients admitted to the hospital whose orders have previously been reviewed and approved by a licensed pharmacist.
Only inpatient hospital pharmacies as defined in 4029(a) that maintain a clinical pharmacy services program as described in 4052.1 may have a technician checking technician program as described. The pharmacy shall have on file a description of the clinical pharmacy program prior to initiating a technician checking technician program.
(1) This section shall only apply to acute care inpatient hospital pharmacy settings.
(2) Hospital pharmacies that have a technician checking technician program shall deploy pharmacists to the inpatient care setting to provide clinical services.
(b) Compounded or repackaged products must have been previously checked by a pharmacist and then may be used by the technician to fill unit dose distribution systems, and floor and ward stock.
(c) To ensure quality patient care and reduce medication errors, programs that use pharmacy technicians to check the work of other pharmacy technicians pursuant to this section must include the following components:
(1) The overall operation of the program shall be the responsibility of the pharmacist-in-charge.
(2) The program shall be under the direct supervision of a pharmacist and the parameters for the direct supervision shall be specified in the facility's policies and procedures.
(3) The pharmacy technician who performs the checking function has received specialized and advanced training as prescribed in the policies and procedures of the facility.
(4) To ensure quality there shall be ongoing evaluation of programs that use pharmacy technicians to check the work of other pharmacy technicians.
NOTE

Authority cited: Sections 4005 and 4115, Business and Professions Code. Reference: Sections 4005, 4052.1 and 4115, Business and Professions Code.
HISTORY

1. New section filed 12-7-2006; operative 1-6-2007 (Register 2006, No. 49).
2. Change without regulatory effect amending subsection (a) and amending Note filed 12-18-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 51).
§1794. Prescriber's Records. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4008, Business and Professions Code. Reference: Section 4227, Business and Professions Code.
HISTORY

1. Repealer filed 3-8-84; effective thirtieth day thereafter (Register 84, No. 10).
§1795. Emergency Drugs. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4008, Business and Professions Code. Reference: Sections 4008 and 4035, Business and Professions Code.
HISTORY

1. New Article 12 (Section 1795) filed 8-3-79; effective thirtieth day thereafter (Register 79, No. 31).
2. Repealer filed 2-22-80; effective thirtieth day thereafter (Register 80, No. 8).
Division 18. Board of Behavioral Sciences

(Originally Printed 12-5-46)
Article 1. General Provisions
§1800. Declaratory Decisions.
Note     •     History

No decision or opinion issued by the Board is a declaratory decision under Government Code Sections 11465.10.-11465.70. unless the decision or opinion specifically states that it is a “Declaratory Decision”.
NOTE

Authority cited: Sections 4980.60 and 4990.20, Business and Professions Code. Reference: Sections 11465.10-11465.70, Government Code.
HISTORY

1. New section filed 6-11-98; operative 7-11-98 (Register 98, No. 24). For prior history, see Register 97, No. 3.
2. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1801. Tenses, Gender, and Number. [Repealed]
History

HISTORY

1. Repealer filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
§1802. Definitions.
Note     •     History

For the purpose of the rules and regulations contained in this chapter, the term “board” means the Board of Behavioral Sciences; and the term “Code” means the Business and Professions Code.
NOTE

Authority cited: Sections 4980.60 and 4990.20, Business and Professions Code. Reference: Sections 4990 and 4990.1, Business and Professions Code.
HISTORY

1. Amendment filed 6-24-71; effective thirtieth day thereafter (Register 71, No. 26).
2. Amendment filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
3. Change without regulatory effect of NOTE (Register 86, No. 41).
4. Change without regulatory effect amending section filed 11-24-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 48).
5. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1803. Delegation of Certain Functions.
Note     •     History

The power and discretion conferred by law upon the board to receive and file accusations; issue notices of hearing, statements to respondent and statements of issues; receive and file notices of defense; determine the time and place of hearings under Section 11508 of the Government Code; issue subpoenas and subpoenas duces tecum; set and calendar cases for hearing, issue orders compelling an evaluation of a licensee's physical or mental condition in accordance with Section 820 of the Business and Professions Code and perform other functions necessary to the efficient dispatch of the business of the board in connection with proceedings under the provisions of Section 11500 through 11528 of the Government Code, prior to the hearing of such proceedings; and the certification and delivery or mailing of copies of decisions under Section 11518 of said code are hereby delegated to and conferred upon the executive officer, or, in his or her absence from the office of the board, the acting executive officer.
NOTE

Authority cited: Sections 4980.60 and 4990.20, Business and Professions Code. Reference: Sections 820, 4980.07, 4990.04 and 4990.12, Business and Professions Code; and Section 11500-11528, Government Code.
HISTORY

1. Amendment filed 8-20-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Change without regulatory effect of NOTE (Register 86, No. 41).
3. Amendment filed 8-10-87; operative 8-10-87 (Register 87, No. 34).
4. Amendment of section and Note filed 3-20-2007; operative 4-19-2007 (Register 2007, No. 12).
5. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1804. Filing of Addresses.
Note     •     History

Each person or professional corporation regulated by the board shall maintain a current mailing address with the board and shall notify the board within thirty (30) days concerning any change of address giving both the old and new addresses.
NOTE

Authority cited: Sections 4980.60, 4990.11 and 4990.20, Business and Professions Code. Reference: Sections 4980.07, 4990.08 and 4990.12, Business and Professions Code.
HISTORY

1. Amendment filed 8-20-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
3. Change without regulatory effect of NOTE (Register 86, No. 41).
4. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1805. Applications.
Note     •     History

(a) Applications submitted to the board for registration or licensure shall be on a form prescribed by the board.
(b) A 180-day waiting period is required between examinations for any applicant retaking an examination. In the event special or unusual circumstances occur that impact the examination, the Board's Executive Officer may allow for a lesser period of time, as long as the integrity of the examination or examination security is not compromised.
NOTE

Authority cited: Sections 4980.60, 4988.2 and 4990.20(a), Business and Professions Code. Reference: Sections 4980.30, 4980.40, 4989.20, 4992, 4996.2, 4999.50 and 4999.54, Business and Professions Code.
HISTORY

1. Amendment filed 1-10-73; effective thirtieth day thereafter (Register 73, No. 2).
2. Amendment filed 12-20-74; effective thirtieth day thereafter (Register 74, No. 51).
3. Amendment filed 8-20-76; effective thirtieth day thereafter (Register 76, No. 34).
4. Amendment filed 10-5-78; effective thirtieth day thereafter (Register 78, No. 40).
5. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
6. Change without regulatory effect of NOTE (Register 86, No. 41).
7. Amendment of section and Note filed 12-24-99; operative 1-23-2000 (Register 99, No. 52).  
8. Repealer and new subsection (b) and amendment of Note filed 11-30-2007; operative 12-30-2007 (Register 2007, No. 48).
9. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1805.1. Permit Processing Times.
Note     •     History

“Permit” as defined by the Permit Reform Act of 1981 means any license, certificate, registration, permit or any other form of authorization required by a state agency to engage in a particular activity or act. Processing times for the board's various programs are set forth below. The actual processing times reflect the period from the date the board receives an application to the date a license or registration is issued, and apply to those persons who take and pass the first actual available examination. 

			Maximum time
	Maximum		after receipt
	time for	 	of a complete
	notifying that		application to
	application		issue or deny	  ACTUAL PROCESSING TIMES
	is complete		license or	        BASED ON PRIOR TWO YEARS     
Program	or deficient		registration	Minimum	Median	Maximum

MFT Intern
  Registration		60 days	30 days	15	100	186
MFT License		90 days	120 days	104	182	260
LCSW Associate
  Registration		60 days	30 days	15	53	90
LCSW License		90 days	120 days	104	178	253
LEP License		90 days	120 days	98	179	260
CE Provider
  Approval		30 days	30 days	n/a	n/a	n/a
MFT Referral
  Service 
 Registration		30 days	30 days	n/a	n/a	n/a
All Renewals		30 days	60 days	28	42	56

NOTE

Authority cited: Sections 650.4, 4980.60 and 4990.20, Business and Professions Code. Reference: Section 15376, Government Code. 
HISTORY

1. New section filed 1-8-90; operative 1-8-90 (Register 90, No. 3). 
2. Amendment filed 5-19-97; operative 5-19-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 21).
3. Editorial correction (Register 97, No. 30).
4. Amendment filed 11-5-97; operative 12-5-97 (Register 97, No. 45).
5. Change without regulatory effect amending table filed 3-22-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 12).
6. Change without regulatory effect amending section filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
7. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1806. Abandonment of Application.
Note     •     History

An application shall be deemed abandoned under any of the following circumstances:
(a) The application has not been completed by the applicant within one (1) year after it has been filed. An application shall be deemed complete when all documents and information required have been submitted to the board.
(b) The applicant does not submit information required in order to correct the deficiencies specified in a deficiency letter within one (1) year from the date of the deficiency letter.
(c) The applicant fails to sit for the standard written examination within one (1) year after being notified of initial eligibility to take the standard written examination.
(d) The applicant fails to sit for the clinical vignette examination within one (1) year of being notified of passing the standard written examination.
(e) The applicant fails to sit for the jurisprudence and ethics examination required in Section 4999.52 and 4999.54 of the Code within one (1) year after being notified of initial eligibility to take the jurisprudence and ethics examination.
(f) The applicant fails to sit for the examination required in 4999.54(b)(2) of the Code within one (1) year after being notified of initial eligibility to take the examination.
(g) The applicant fails to sit for an examination required in 4999.52(c)(5) of the Code within one (1) year after being notified of initial eligibility to take that examination.
(h) An applicant fails to retake an examination within one (1) year from the date the applicant was notified of failing an examination.
(i) The applicant fails to pay the initial license fee within one (1) year after notification by the board of successful completion of examination requirements.
An application submitted after an application has been abandoned shall be treated as a new application, including any fees required, and current requirements.
NOTE

Authority cited: Sections 4980.60 and 4990.20(a), Business and Professions Code. Reference: Sections 4980.30, 4980.35, 4984.7, 4989.20, 4989.68, 4992, 4996.3, 4999.50, 4999.52, 4999.54 and 4999.120, Business and Professions Code.
HISTORY

1. Amendment filed 8-20-76; effective thirtieth day thereafter (Register 76, No. 34).
2. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
3. Change without regulatory effect of NOTE (Register 86, No. 41).
4. Amendment filed 5-17-90; operative 5-17-90 (Register 90, No. 26).
5. Amendment of subsections (a) and (c), new subsection (d) and amendment of Note filed 9-6-96; operative 9-6-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 36).
6. Amendment of subsections (a) and (b) and Note filed 6-17-98; operative 7-17-98 (Register 98, No. 25).
7. Amendment of section and Note filed 11-30-2007; operative 12-30-2007 (Register 2007, No. 48).
8. New subsections (e)-(g), subsection relettering and amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1807. Human Sexuality Training.
Note     •     History

The human sexuality training required of marriage and family therapists, clinical social workers, and professional clinical counselors by Sections 25, 4980.41, 4996.2, and 4999.32 of the Code shall:
(a) Consist of a minimum of ten (10) hours of training or coursework.
(b) Include the study of physiological-psychological and social-cultural variables associated with sexual identity, sexual behavior or sexual disorders.
(c) Have been completed after January 1, 1970, and shall have been obtained from one of the educational institutions or entities specified herein:
(1) An educational institution accredited by one or more of those entities specified in Section 1832 of these regulations, including extension courses offered by such institutions; or
(2) An educational institution approved by the Bureau for Private Postsecondary Education pursuant to Sections 94802 and 94887 of the Education Code, including extension courses offered by such institutions; or
(3) A continuing education provider approved by the board; or
(4) A course sponsored by a professional association; or
(5) A course sponsored, offered, or approved by a state, county, or local department of health services or department of mental health.
NOTE

Authority cited: Sections 4980.60 and 4990.20, Business and Professions Code. Reference: Sections 25, 4980.41, 4980.54, 4996.2, 4996.22 and 4999.32, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 1841 to Section 1807 filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38). For history of former Section 1807, see Registers 77, No. 5; and 73, No. 27.
2. Change without regulatory effect of NOTE (Register 86, No. 41).
3. Amendment filed 8-10-87; operative 8-10-87 (Register 87, No. 34).
4. Amendment of subsections (c)(2)-(3) and amendment of Note filed 7-12-2001; operative 8-11-2001 (Register 2001, No. 28).
5. Change without regulatory effect amending first paragraph filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
6. Amendment of first paragraph, subsection (c)(2), and Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1807.1. Human Sexuality Training; Renewal and Documentation. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4980.60 and 4990.14, Business and Professions Code. Reference: Section 25, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 1841.1 to Section 1807.1 filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
2. Change without regulatory effect of NOTE (Register 86, No. 41).
3. Repealer filed 8-10-87; operative 8-10-87 (Register 87, No. 34).
§1807.2. Child Abuse Assessment Training Requirements.
Note     •     History

In addition to all other requirements for licensure, all persons applying for a license as a marriage and family therapist, clinical social worker, or professional clinical counselor or renewal of a license as an educational psychologist shall in addition to all other requirements for licensure, have completed coursework or training in child abuse assessment and reporting and shall submit documentation to the board. The coursework or training in child abuse assessment and reporting shall consist of not less than 7 classroom hours and shall include training in each of the subject areas described in Section 28 of the Code. The coursework or training shall be:
(a) Obtained at an educational institution, or in an extension course offered by an institution which is accredited by the Western Association of Schools and Colleges, or approved by the Bureau for Private Postsecondary Education, pursuant to Sections 94802 and 94887 of the Education Code; or
(b) Obtained from a statewide professional association representing the professions of psychology, social work or marriage and family therapy; or
(c) Obtained from or sponsored by a local, county, state or federal governmental entity, or licensed health facility; or
(d) Obtained from a continuing education provider approved by the board.
(e) Completed after January 1, 1983.
(f) A licensed educational psychologist shall meet the requirements of this section prior to applying for his or her first license renewal on or after January 1, 2012. 
NOTE

Authority cited: Sections 28, 4980.60, 4989.34 and 4990.20, Business and Professions Code. Reference: Sections 28, 4980.54, 4989.34, 4996.22 and 4999.32, Business and Professions Code; and Sections 11165 and 11166, Penal Code.
HISTORY

1. New section filed 5-7-87; operative 5-7-87 (Register 87, No. 20).
2. Change without regulatory effect amending subsection (a) filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
3. Amendment of section and Note filed 3-13-2003; operative 4-12-2003 (Register 2003, No. 11).
4. Change without regulatory effect amending first paragraph and subsection (b) filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
5. Change without regulatory effect amending subsection (b) filed 10-18-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 42).
6. Amendment of first paragraph and subsection (a), new subsection (f) and amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1808. Surrender of Suspended or Revoked Licenses. [Repealed]
History

HISTORY

1. Renumbering from Section 1836 filed 2-25-72 (Register 72, No. 9).
2. Renumbering of Section 1848 to Section 1808 filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
3. Repealer filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
§1809. Results of Examination. [Repealed]
Note     •     History

NOTE

Authority cited: Section 17806, Business and Professions Code. Reference: Sections 17800, 17800.2, 17800.3, 17800.7, 17801, 17803, 17804, 17804.1, 17804.2, 17804.3, 17804.4, 17804.5, 17805, 17806, 17820 and 17847, Business and Professions Code.
HISTORY

1. New section filed 10-5-78; effective thirtieth day thereafter (Register 78, No. 40).
2. Repealer filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
§1810. Alcoholism and Other Chemical Substance Dependency Training.
Note     •     History

(a) The instruction and training in alcoholism and other chemical substance dependency required by Sections 4980.41, 4980.80, 4980.90, 4996.2, 4996.17, and 4999.32 of the Code shall consist of not less than fifteen hours of classroom training or coursework and shall include each of the following areas:
(1) The definition of alcoholism and other chemical dependency, and the evaluation of the abuser.
(2) Medical aspects of alcoholism and other chemical dependency.
(3) Current theories of the etiology of substance abuse.
(4) The role of persons and systems that support or compound the abuse.
(5) Major treatment approaches to alcoholism and chemical dependency.
(6) Legal aspects of substance abuse.
(7) Knowledge of certain populations at risk with regard to substance abuse.
(8) Community resources offering assessment, treatment and follow-up for the abuser and family.
(9) The process of referring affected persons.
(10) Education concerning and prevention of substance abuse.
(b) For persons subject to Section 4980.41(d) of the Code, the training or coursework shall be:
(1) Obtained from an educational institution or in an extension course offered by an institution that is either accredited by one or more of the entities specified in Section 1832 of these regulations or is approved by the Bureau for Private Postsecondary Education pursuant to Sections 94802 and 94887 of the Education Code;
(c) For all others, the training or coursework shall be:
(1) Obtained from the educational institutions identified in subsection (b)(1); or
(2) Obtained from or sponsored by a local, county, state or federal governmental entity; or
(3) Obtained from a licensed health facility; or
(4) Obtained from a continuing education provider approved by the board.
(d) A licensed educational psychologist that renews his or her license on or after January 1, 2012 shall receive not less than fifteen (15) hours of instruction and training in alcoholism and other chemical substance dependency that shall include classroom training or coursework in each of the following areas: 
(1) The definition of alcoholism and other chemical dependency, and the evaluation of the abuser. 
(2) Medical aspects of alcoholism and other chemical dependency. 
(3) Current theories of the etiology of substance abuse. 
(4) The role of persons and systems that support or compound the abuse. 
(5) Major treatment approaches to alcoholism and chemical dependency. 
(6) Legal aspects of substance abuse. 
(7) Knowledge of certain populations at risk with regard to substance abuse. 
(8) Community resources offering assessment, treatment and follow-up for the abuser and family. 
(9) The process of referring affected persons. 
(10) Education concerning and prevention of substance abuse. 
(e) Training and coursework received pursuant to subsection (d) of this section shall be obtained as provided in subsection (c) of this section. 
NOTE

Authority cited: Sections 4980.60, 4989.34 and 4990.20, Business and Professions Code. Reference: Sections 4980.41, 4980.80, 4980.90, 4989.34, 4996.2, 4996.17 and 4999.32, Business and Professions Code.
HISTORY

1. New section filed 3-28-86; effective thirtieth day thereafter (Register 86, No. 13).
2. Change without regulatory effect of NOTE (Register 86, No. 41).
3. Amendment filed 8-10-87; operative 8-10-87 (Register 87, No. 34).
4. Amendment of section heading, section and Note filed 7-1-2004; operative 7-31-2004 (Register 2004, No. 27).
5. Amendment of subsections (a) and (b)(1), new subsections (d)-(e) and amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1810.1. California Law and Ethics Training; Acceptable Education Providers.
Note     •     History

The California law and ethics training required of professional clinical counselors and out-of-state marriage and family therapist applicants required by Sections 4980.80 and 4999.32 of the Code shall:
(a) Have been obtained from one of the educational institutions or entities specified herein:
(1) An educational institution accredited by the Western Association of Schools and Colleges or one or more of those entities specified in Section 1832 of these regulations, including extension courses offered by such institutions; or, 
(2) An educational institution approved by the Bureau for Private Postsecondary Education pursuant to Sections 94802 and 94887 of the Education Code, including extension courses offered by such institutions; or
(3) A continuing education provider approved by the board; or
(4) A course sponsored, offered, or approved by a state, county, or local department of health services or department of mental health. 
NOTE

Authority cited: Sections 4980.60 and 4990.20, Business and Professions Code. Reference: Sections 4980.80 and 4999.32, Business and Professions Code.
HISTORY

1. New section filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1810.2. Crisis or Trauma Counseling Training.
Note     •     History

The crisis or trauma counseling training required by Sections 4999.32 of the Code shall:
(a) Have been obtained from one of the educational institutions or entities specified herein:
(1) An educational institution accredited by the Western Association of Schools and Colleges or one or more of those entities specified in Section 1832 of these regulations, including extension courses offered by such institutions; or, 
(2) An educational institution approved by the Bureau for Private Postsecondary Education pursuant to Sections 94802 and 94887 of the Education Code, including extension courses offered by such institutions; or
(3) A continuing education provider approved by the board; or
(4) A course sponsored, offered, or approved by a state, county, or local department of health services or department of mental health. 
NOTE

Authority cited: Section 4990.20, Business and Professions Code. Reference: Section 4999.32, Business and Professions Code.
HISTORY

1. New section filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1811. Use of License Number in Directories and Advertisements.
Note     •     History

All persons or referral services regulated by the board who advertise their services shall include their license or registration number in the advertisement unless such advertisement contains the following specific information:
(a) The full name of the licensee or registered referral service as filed with the board; and
(b) A designation of the type of license or registration held as follows:
(1) Licensed Marriage and Family Therapist.
(2) Licensed Educational Psychologist.
(3) Licensed Clinical Social Worker.
(4) Registered MFT Referral Service.
(5) Licensed Professional Clinical Counselor 
(c) An unlicensed Marriage and Family Therapist Registered Intern may advertise if such advertisement complies with Section 4980.44(c) of the Code making disclosures required by that section.
(d) An unlicensed Associate Clinical Social Worker may advertise if such advertisement complies with Section 4996.18(e) of the Code making disclosures required by that section.
(e) An unlicensed Professional Clinical Counselor Intern may advertise if such advertisement complies with Section 4999.45(c) of the Code making disclosures required by that section.
NOTE

Authority cited: Sections 137, 650.4, 4980.60 and 4990.20, Business and Professions Code. Reference: Sections 137, 4980.44, 4996.18 and 4999.45, Business and Professions Code.
HISTORY

1. New section filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
2. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38.)
3. Change without regulatory effect (Register 86, No. 41).
4. Amendment of section and Note filed 11-5-97; operative 12-5-97 (Register 97, No. 45).
5. Change without regulatory effect amending subsection (c) filed 11-25-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 48).
6. Amendment of first paragraph and subsection (a), repealer of subsection (b)(4), subsection renumbering, new subsection (d) and amendment of Note filed 9-13-2002; operative 10-13-2002 (Register 2002, No. 37).
7. Change without regulatory effect amending subsections (b)(1), (b)(4) and (c) filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
8. Amendment of subsections (b)(5) and (e) and amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1812. Substantial Relationship Criteria.
Note     •     History

For purposes of denial, suspension, or revocation of a license or registration pursuant to Division 1.5 (commencing with Section 475) of the Code, a crime or act shall be considered to be substantially related to the qualifications, functions or duties of a person holding a license under Chapters 13, 13.5, 14, and 16 of Division 2 of the Code if to a substantial degree it evidences present or potential unfitness of a person holding a license to perform the functions authorized by his or her license in a manner consistent with the public health, safety or welfare.
NOTE

Authority cited: Sections 4980.60 and 4990.20, Business and Professions Code. Reference: Sections 481, 490 and 4982, Business and Professions Code.
HISTORY

1. New section filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
2. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
3. Change without regulatory effect of NOTE (Register 86, No. 41).
4. Amendment of section and Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1813. Criteria for Rehabilitation--Denial of Licensure.
Note     •     History

When considering the denial of a license or registration under Section 480 of the Code, the board, in evaluating the rehabilitation of the applicant and his or her present eligibility for a license or registration shall consider the following criteria:
(a) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(b) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the Code.
(c) The time that has elapsed since commission of the act(s) or crime(s) referred to in Section 480 of the Code.
(d) The extent to which the applicant has complied with any terms of probation, parole, restitution, or any other sanctions lawfully imposed against the applicant.
(e) Evidence, if any, of rehabilitation submitted by the applicant.
NOTE

Authority cited: Sections 4980.60 and 4990.20, Business and Professions Code. Reference: Sections 482 and 4982, Business and Professions Code.
HISTORY

1. New section filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
2. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
3. Change without regulatory effect of NOTE (Register 86, No. 41).
4. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1814. Criteria for Rehabilitation--Suspensions or Revocations.
Note     •     History

(a) When considering the suspension or revocation of a license, the board, in evaluating the rehabilitation of such person and his or her eligibility for a license will consider the following criteria:
(1) Nature and severity of the act(s) or crime(s) under consideration as grounds for suspension or revocation.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for suspension or revocation under Section 490 of the Code.
(3) The time that has elapsed since commission of the act(s) or crime(s) giving rise to the suspension or revocation.
(4) Whether the licensee has complied with any terms of probation, parole, restitution or any other sanctions lawfully imposed against such person.
(5) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(6) Evidence, if any, concerning the degree to which a false statement relative to application for licensure may have been unintentional, inadvertent or immaterial.
(7) Efforts made by the applicant either to correct a false statement once made on an application or to conceal the truth concerning facts required to be disclosed.
(8) Evidence, if any, of rehabilitation submitted by the licensee. 
(b) When considering a petition for reinstatement of a license or registration under the provisions of Section 11522 of the Government Code, the board shall evaluate evidence of rehabilitation submitted by the petitioner considering those criteria specified in Section 1813 of this article.
NOTE

Authority cited: Sections 4980.60 and 4990.20, Business and Professions Code. Reference: Sections 482 and 4982, Business and Professions Code.
HISTORY

1. New section filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
2. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
3. Change without regulatory effect of NOTE (Register 86, No. 41).
4. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1815. Fingerprint Submission.
Note     •     History

(a) All licensees and registrants who have not previously submitted fingerprints as a condition of licensure or registration or for whom an electronic record of the licensee's fingerprints does not exist in the Department of Justice's criminal offender record identification database shall successfully complete a state and federal level criminal offender record information search conducted through the Department of Justice by the licensee's or registrant's renewal date that occurs on or after October 31, 2009.
(b) Failure of a licensee or registrant to comply with subdivision (a) is grounds for disciplinary action by the board against the license or registration.
(c) Licensees and registrants shall retain, for at least three years, as evidence of their having complied with subdivision (a) either a receipt showing that he or she has electronically transmitted his or her fingerprint images to the Department of Justice or, for those licensees or registrants who did not use an electronic fingerprinting system, a receipt evidencing that the licensee's or registrant's fingerprints were taken.
(d) Licensees and registrants shall pay the actual costs for furnishing the fingerprints and conducting the searches in compliance with subdivision (a).
(e) As a condition of petitioning the board for reinstatement of a revoked or surrendered license or registration, an applicant shall comply with subsection (a).
(f) The board may waive the requirements of this section for licensees or registrants who are actively serving in the United States military. The board may not return a license or registration to active status until the licensee or registrant has complied with subdivision (a).
NOTE

Authority cited: Sections 4990.16, 4990.18, 4990.20 and 4996.6, Business and Professions Code. Reference: Sections 4982(a), 4989.54(a), 4992.3(a), 4996.6 and 4999.90(a), Business and Professions Code; and Sections 11105(b)(10) and 11105(e), Penal Code.
HISTORY

1. New section filed 5-20-2009; operative 6-19-2009 (Register 2009, No. 21). For prior history, see Register 2004, No. 30.
2. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
Article 2. Fees
§1816. Renewal Fees.
Note     •     History

(a) The annual renewal fee for marriage and family therapist intern registration is seventy-five dollars ($75.00).
(b) The annual renewal fee for associate clinical social worker registration is seventy-five dollars ($75.00).
(c) The fee for associate clinical social worker extension is fifty dollars ($50.00).
(d) The annual renewal fee for professional clinical counselor interns is one hundred dollars ($100.00).
(e) The biennial active renewal fee for a marriage and family therapist is one hundred and thirty dollars ($130.00).
(f) The biennial active renewal fee for a licensed educational psychologist is eighty dollars ($80.00).
(g) The biennial active renewal fee for a licensed clinical social worker is one hundred dollars ($100.00).
(h) The biennial active renewal fee for a licensed professional clinical counselor is one hundred seventy-five dollars ($175.00).
(i) The annual renewal fee for licenses issued pursuant to Section 4999.54(a)(1) of the Code is one hundred fifty dollars ($150.00). 
(j) The biennial renewal fee for a board-approved continuing education provider is two hundred dollars ($200.00).
(k) For the period of January 1, 2001 through December 31, 2002, the biennial renewal fee for a marriage and family therapist is twenty-five dollars ($25.00).
(l) For the period of January 1, 2001 through December 31, 2002, The biennial renewal fee for a licensed educational psychologist is twenty-five dollars ($25.00).
(m) For the period of January 1, 2001 though December 31, 2002, The biennial renewal fee for a licensed clinical social worker is twenty-five dollars ($25.00).
NOTE

Authority cited: Sections 4980.54, 4980.60 and 4990.20(a), Business and Professions Code. Reference: Sections 4980.54, 4984.7, 4989.68, 4996.3, 4996.6, 4996.18, 4996.22 and 4999.120, Business and Professions Code.
HISTORY

1. Amendment filed 11-5-81; effective thirtieth day thereafter (Register 81, No. 45).
2. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
3. Repealer filed 8-10-87; operative 8-10-87 (Register 87, No. 34).
4. New section filed 2-5-96; operative 2-5-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 6).
5. New subsection (d) and amendment of  Note filed 5-19-97; operative 5-19-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 21).
6. Amendment of section and Note filed 3-11-98; operative 3-11-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 11).
7. Amendment of section heading, new subsections (e)-(g), and amendment of Note filed 1-8-99; operative 1-8-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 2).
8. Amendment of subsections (a)-(c) and new subsections (h)-(j) filed 7-25-2000; operative 1-1-2001 (Register 2000, No. 30).
9. Change without regulatory effect amending subsections (a) and (h) filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
10. Repealer and new section and amendment of Note filed 11-30-2007; operative 12-30-2007 (Register 2007, No. 48).
11. New subsections (d), (h) and (i), subsection relettering and amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1816.1. Initial License and Registration Fees.
Note     •     History

(a) The fee for initial issuance of the marriage and family therapist license shall be one hundred thirty dollars ($130.00). 
(b) The fee for initial issuance of the licensed educational psychologist license shall be eighty dollars ($80.00).
(c) The fee for initial issuance of the licensed clinical social worker license shall be one hundred dollars ($100.00).
(d) The fee for initial issuance of the licensed professional clinical counselor license shall be two hundred dollars ($200.00).
(e) The fee for initial application of the professional clinical counselor intern registration shall be one hundred dollars ($100.00).
NOTE

Authority cited: Sections 4980.60 and 4990.20(a), Business and Professions Code. Reference: Sections 4984.7, 4989.68, 4996.3, 4996.18 and 4999.120, Business and Professions Code.
HISTORY

1. New section filed 2-5-96; operative 2-5-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 6).
2. Amendment of section and Note filed 3-11-98; operative 3-11-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 11).
3. Amendment of section heading, new subsections (d) and (e), and amendment of Note filed 1-8-99; operative 1-8-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 2).
4. Change without regulatory effect amending subsection (a) filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
5. Repealer and new section and amendment of Note filed 11-30-2007; operative 12-30-2007 (Register 2007, No. 48).
6. New subsections (d) and (e) and amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1816.2. Examination Fees.
Note     •     History

(a) The licensed clinical social worker standard written examination fee shall be one hundred dollars ($100.00).
(b) The licensed clinical social worker written clinical vignette examination fee shall be one hundred dollars ($100.00).
(c) The marriage and family therapist standard written examination fee shall be one hundred dollars ($100.00).
(d) The marriage and family therapist written clinical vignette examination fee shall be one hundred dollars ($100.00).
(e) The licensed educational psychologist written examination fee shall be one hundred dollars ($100.00).
(f) The licensed professional clinical counselor jurisprudence and ethics examination shall be one hundred dollars ($100.00).
(g) The licensed professional clinical counselor examination described in Section 4999.54(b) of the Code shall be one hundred dollars ($100.00). 
(h) The fee for the licensed professional clinical counselor written examination shall be one hundred and fifty dollars ($150.00). 
NOTE

Authority cited: Sections 4980.60 and 4990.20(a), Business and Professions Code. Reference: Sections 4984.7, 4989.68, 4996.3(a), 4996.4 and 4999.120, Business and Professions Code.
HISTORY

1. New section filed 9-6-96; operative 9-6-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 36).
2. Amendment of section heading and subsection (a), repealer and new subsection (b), new subsections (c)-(e), and amendment of Note filed 1-8-99; operative 1-8-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 2).
3. Amendment of section heading and subsections (a)-(d) filed 3-3-2004 as an emergency; operative 3-3-2004 (Register 2004, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-1-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-3-2004 order transmitted to OAL 6-18-2004 and filed 7-22-2004 (Register 2004, No. 30).
5. Amendment of section heading, section and Note filed 11-30-2007; operative 12-30-2007 (Register 2007, No. 48).
6. New subsections (f)-(h) and amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1816.3. Examination Rescoring Fees.
Note     •     History

The fee for rescoring any marriage and family therapist, licensed clinical social worker, or licensed educational psychologist written examination shall be twenty dollars ($20.00).
NOTE

Authority cited: Sections 4980.60 and 4990.20, Business and Professions Code. Reference: Sections 4984.7, 4989.68 and 4996.3, Business and Professions Code.
HISTORY

1. New section filed 1-8-99; operative 1-8-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 2).
2. Amendment of section heading and section filed 3-3-2004 as an emergency; operative 3-3-2004 (Register 2004, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-1-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-3-2004 order transmitted to OAL 6-18-2004 and filed 7-22-2004 (Register 2004, No. 30).
4. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1816.4. Examination Application Fees.
Note     •     History

(a) The fee for the marriage and family therapist examination eligibility application shall be one hundred dollars ($100.00).
(b) The fee for the licensed clinical social worker examination eligibility application shall be one hundred dollars ($100.00).
(c) The fee for the licensed educational psychologist examination eligibility application shall be one hundred dollars ($100.00).
(d) The fee for the licensed professional clinical counselor examination eligibility application shall be one hundred and eighty dollars ($180.00). 
NOTE

Authority cited: Sections 4980.60 and 4990.20(a), Business and Professions Code. Reference: Sections 4984.7, 4989.68, 4996.3 and 4999.120, Business and Professions Code.
HISTORY

1. New section filed 1-8-99; operative 1-8-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 2).
2. Change without regulatory effect amending subsection (a) filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
3. Amendment of section and Note filed 11-30-2007; operative 12-30-2007 (Register 2007, No. 48).
4. New subsection (d) and amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1816.5. Replacement and Certification Fees.
Note     •     History

(a) The fee for issuance of any replacement registration, license, or certificate shall be twenty dollars ($20.00).
(b) The fee for issuance of a certificate or letter of good standing shall be twenty-five dollars ($25.00).
NOTE

Authority cited: Sections 4980.60 and 4990.20, Business and Professions Code. Reference: Sections 4984.7, 4989.68 and 4996.6, Business and Professions Code.
HISTORY

1. New section filed 1-8-99; operative 1-8-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 2).
2. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1816.6. Inactive License Fees.
Note     •     History

(a) The fee for issuance or renewal of an inactive marriage and family therapist license shall be sixty-five dollars ($65.00).
(b) The fee for issuance or renewal of an inactive licensed clinical social worker license shall be fifty dollars ($50.00).
(c) The fee for issuance or renewal of an inactive licensed educational psychologist license shall be forty dollars ($40.00).
(d) The fee for issuance or biennial renewal of an inactive licensed professional clinical counselor license shall be eighty seven dollars and fifty cents ($87.50). 
(e) The fee for issuance or annual renewal of an inactive license issued pursuant to Section 4999.54(a)(1) of the Code shall be seventy five dollars ($75.00). 
NOTE

Authority cited: Sections 4980.60 and 4990.20(a), Business and Professions Code. Reference: Sections 4984.8, 4989.44, 4997 and 4999.112, Business and Professions Code.
HISTORY

1. New section filed 1-8-99; operative 1-8-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 2).
2. Amendment of subsections (a)-(c) and new subsections (d)-(f) filed 7-25-2000; operative 1-1-2001 (Register 2000, No. 30).
3. Change without regulatory effect amending subsections (a) and (d) filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
4. Amendment of section and Note filed 11-30-2007; operative 12-30-2007 (Register 2007, No. 48).
5. New subsections (d) and (e) and amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1816.7. Delinquency Fees.
Note     •     History

(a) The delinquency fee for the marriage and family therapist license shall be sixty-five dollars ($65.00).
(b) The delinquency fee for the licensed clinical social worker license shall be fifty dollars ($50.00).
(c) The delinquency fee for the licensed educational psychologist license shall be forty dollars ($40.00).
(d) The delinquency fee for the licensed professional clinical counselor license shall be eighty seven dollars and fifty cents ($87.50).
(e) The delinquency fee for the license issued pursuant to Section 4999.54(a)(1) of the Code shall be seventy five dollars ($75.00). 
(f) The delinquency fee for the continuing education provider approval shall be one hundred dollars ($100).
NOTE

Authority cited: Sections 4980.60 and 4990.20, Business and Professions Code. Reference: Sections 4984.7, 4989.60, 4996.6 and 4999.104, Business and Professions Code.
HISTORY

1. New section filed 1-8-99; operative 1-8-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 2).
2. Amendment of subsections (a)-(c) and new subsections (d)-(f) filed 7-25-2000; operative 1-1-2001 (Register 2000, No. 30).
3. Change without regulatory effect amending subsections (a) and (d) filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
4. Amendment of section heading, section and Note filed 12-27-2007; operative 1-26-2008 (Register 2007, No. 52).
5. Amendment of section and Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1816.8. Applications for Licensure Pursuant to Business and Professions Code Section 4999.54.
Note     •     History

The application fee for licensure pursuant to Business and Professions Code Section 4999.54 shall be one hundred and eighty dollars ($180).
NOTE

Authority cited: Sections 4980.60 and 4990.20, Business and Professions Code. Reference: Sections 4999.54 and 4999.120, Business and Professions Code. 
HISTORY

1. New section filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1817. Professional Corporation Fees. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4980.60 and 4990.14, Business and Professions Code. Reference: Sections 4987.6, 4987.7, 4998.1 and 4998.2, Business and Professions Code.
HISTORY

1. Amendment filed 10-5-78; effective thirtieth day thereafter (Register 78, No. 40).
2. Amendment of subsection (b) filed 11-5-81; effective thirtieth day thereafter (Register 81, No. 45).
3. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
4. Change without regulatory effect of NOTE (Register 86, No. 41).
5. Change without regulatory effect repealing section filed 3-22-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 12).
§1818. Licensed Educational Psychologist Fees. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4980.60, Business and Professions Code. Reference: Sections 152.6 and 4986.80, Business and Professions Code.
HISTORY

1. Amendment of subsection (c) filed 11-5-81; effective thirtieth day thereafter (Register 81, No. 45).
2. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
3. Change without regulatory effect of NOTE (Register 86, No. 41).
4. Repealer filed 8-10-87; operative 8-10-87 (Register 87, No. 34).
§1819. Refund of Application Fee. [Repealed]
History

HISTORY

1. Repealer filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
§1819.1. Continuing Education Provider Fees.
Note     •     History

The application fee for board approval as a continuing education provider is two hundred dollars ($200.00). This fee also covers the issuance of the initial two-year continuing education provider approval.
NOTE

Authority cited: Sections 4980.60, 4989.34 and 4990.20, Business and Professions Code. Reference: Sections 4980.54, 4989.34, 4996.22, 4999.32 and 4999.76, Business and Professions Code.
HISTORY

1. New section filed 5-19-97; operative 5-19-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 21).
2. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
Article 3. Licensed Professional Clinical Counselors
§1820. Experience.
Note     •     History

(a) In order for experience to qualify under Section 4999.50(a)(2) of the Code, it must have been gained in accordance with Sections 4999.44 through 4999.47 of the Code and the regulations contained in this article.
(b) The term “supervision”, as used in this article, includes ensuring that the extent, kind, and quality of counseling performed is consistent with the education, training, and experience of the person being supervised; reviewing client/patient records, monitoring and evaluating assessment, diagnosis, and treatment decisions of the intern; monitoring and evaluating the ability of the intern to provide services at the site(s) where he or she will be practicing and to the particular clientele being served; and ensuring compliance with laws and regulations governing the practice of professional clinical counseling. Supervision shall include that amount of direct observation, or review of audio or video tapes of counseling, as deemed appropriate by the supervisor. 
(c) The term “clinical setting,” as used in this article means any setting that meets all the following requirements:
(1) Lawfully and regularly provides mental health counseling or psychotherapy; and, 
(2) Provides oversight to ensure that the intern's work at the setting meets the experience and supervision requirements set forth in Chapter 16 (Commencing with Section 4999.10) of Division 2 of the Business and Professions Code and is within the scope of practice of the profession as specified therein.
(d) The term “community mental health setting,” as used in Section 4999.46 of the Code, means a clinical setting that meets all of the following requirements:
(1) Lawfully and regularly provides mental health counseling or psychotherapy;
(2) Clients routinely receive psychopharmacological interventions in conjunction with psychotherapy, counseling, or other psycho-social interventions; 
(3) Clients receive coordinated care that includes the collaboration of mental health providers; and, 
(4) Is not a private practice owned by a licensed professional clinical counselor, marriage and family therapist, a licensed psychologist, a licensed clinical social worker, a licensed physician or surgeon, a professional corporation of any of these licensed professions or a corporation of unlicensed individuals. 
(e) Supervision shall be credited only upon the following conditions:
(1) During each week in which experience is claimed and for each work setting in which experience is gained, an applicant or intern shall have at least one (1) hour of one-on-one, individual, face-to-face supervisor contact or two (2) hours of face-to-face supervisor contact in a group of not more than eight (8) persons receiving supervision. No more than five (5) hours of supervision, whether individual or group, shall be credited during any single week.
(2) The applicant or intern shall have received at least one (1) hour of one-on-one, individual, face-to-face supervisor contact per week for a minimum of fifty-two (52) weeks.
(3) In a setting which is not a private practice, the authorized supervisor may be employed by the applicant's employer on either a paid or a voluntary basis. If such employment is on a voluntary basis, a written agreement must be executed between the supervisor and the organization, prior to commencement of supervision, in which the supervisor agrees to ensure that the extent, kind, and quality of counseling performed by the intern is consistent with the intern's training, education, and experience, and is appropriate in extent, kind, and quality. The agreement shall contain an acknowledgment by the employer that the employer: 
(A) Is aware of the licensing requirements that must be met by the intern and agrees not to interfere with the supervisor's legal and ethical obligations to ensure compliance with those requirements; and 
(B) Agrees to provide the supervisor access to clinical records of the clients counseled by the intern. 
(4) The applicant or intern maintains a record of all hours of experience gained toward licensure on the “Weekly Summary of Experience Hours for Professional Clinical Counselor Interns” (form No. 1800 37A-645 New 3/10), hereby incorporated by reference. The record of hours must be signed by the supervisor on a weekly basis. An intern shall retain all “Weekly Summary of Experience Hours for Professional Clinical Counselor Interns” until such time as the applicant is licensed by the board. The board shall have the right to require an applicant to submit all or such portions of the “Weekly Summary of Experience Hours for Professional Clinical Counselor Interns” as it deems necessary to verify hours of experience.
(f) When an intern employed in private practice is supervised by someone other than the employer, the supervisor must be employed by and practice at the same site(s) as the intern's employer.
NOTE

Authority cited: Sections 4990.20, 4999.48 and 4999.50, Business and Professions Code. Reference: Sections 4999.44, 4999.45, 4999.46 and 4999.47, Business and Professions Code.
HISTORY

1. New article 3 (sections 1820-1822) and section filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). For prior history of article 3, see Register 83, No. 38.
§1820.5. Experience Working Directly with Couples, Families, or Children.
Note     •     History

(a) Professional clinical counselor interns and clinical counselor trainees shall be exempt from Section 4999.20(a)(3) of the Code if the intern or trainee meets both of the following requirements: 
(1) Is gaining supervised experience to comply with 4999.20(a)(3)(B), 4999.32(c)(3)(I), or 4999.33(c)(3)(K) of the Code; and, 
(2) The supervised experience is gained under the direct supervision of a marriage and family therapist or a licensed professional clinical counselor who meets all requirements specified in Section 4999.20 (a)(3) of the Code. 
(b) A licensed professional clinical counselor shall be exempt from Section 4999.20(a)(3) of the Code if the licensee meets all of the following requirements:
(1) Is gaining supervised experience to comply with Section 4999.20(a)(3)(B) of the Code; 
(2) The supervised experience is gained under the direct supervision of a marriage and family therapist or a licensee who meets all requirements specified in Section 4999.20(a)(3) of the Code. 
(3) The licensed professional clinical counselor gaining the hours of supervised work experience to comply with Section 4999.20(a)(3) of the Code meets both of the following requirements:
(A) Has completed, beyond the minimum training and education, six semester units or nine quarter units specifically focused on the theory and application of marriage and family therapy or a named specialization or emphasis area on the qualifying degree in marriage and family therapy; marital and family therapy; marriage, family, and child counseling; or couple and family therapy. 
(B) Completes a minimum of six hours of continuing education specific to marriage and family therapy, completed in each renewal cycle. 
NOTE

Authority cited: Sections 4990.20 and 4999.20, Business and Professions Code. Reference: Sections 4990.20, 4999.20, 4999.32 and 4999.33, Business and Professions Code.
HISTORY

1. New section filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21).
§1821. Requirements for Supervisors.
Note     •     History

(a) Any person supervising an intern (hereinafter “supervisor”) within California shall comply with the requirements set forth in this section.
(b) Prior to the commencement of any counseling or supervision, the supervisor shall sign under penalty of perjury the “Responsibility Statement for Supervisors of a Professional Clinical Counselor Intern” (form No. 1800 37A-643, New 3/10), hereby incorporated by reference, requiring that:
(1) The supervisor possesses and maintains a current valid California license as either a professional clinical counselor, marriage and family therapist, licensed clinical social worker, licensed psychologist, or physician who is certified in psychiatry as specified in Section 4999.12 (h) of the Code and has been so licensed in California for at least two years prior to commencing any supervision.
(2) A supervisor who is not licensed as a professional clinical counselor, shall have sufficient experience, training, and education in professional clinical counseling to competently practice professional clinical counseling in California. 
(3) The supervisor keeps himself or herself informed of developments in professional clinical counseling and in California law governing the practice of professional clinical counseling.
(4) The supervisor has and maintains a current license in good standing and will immediately notify the intern of any disciplinary action, including revocation or suspension, even if stayed, probation terms, inactive license status, or any lapse in licensure that affects the supervisor's ability or right to supervise.
(5) The supervisor has practiced psychotherapy or provided direct supervision of trainees, interns, or associate clinical social workers who perform psychotherapy for at least two (2) years within the five (5) year period immediately preceding any supervision.
(6) The supervisor has had sufficient experience, training, and education in the area of clinical supervision to competently supervise interns.
(A) Persons licensed by the board who provide supervision shall complete a minimum of six (6) hours of supervision training or coursework in each renewal period while providing supervision. This training or coursework may apply towards the continuing education requirements set forth in Sections 4980.54, 4996.22, and 4999.76 of the Code.
(B) Persons licensed by the board who provide supervision and who have not met requirements of subsection (A), shall complete a minimum of six (6) hours of supervision training or coursework within sixty (60) days of commencement of supervision.
(7) The supervisor knows and understands the laws and regulations pertaining to both the supervision of interns and the experience required for licensure as a professional clinical counselor. 
(8) The supervisor shall ensure that the extent, kind, and quality of counseling performed by the intern is consistent with the education, training, and experience of the intern.
(9) The supervisor shall monitor and evaluate the extent, kind, and quality of counseling performed by the intern by direct observation, review of audio or video tapes of therapy, review of progress and process notes and other treatment records, or by any other means deemed appropriate by the supervisor. 
(10) The supervisor shall address with the intern the manner in which emergencies will be handled.
(c) Each supervisor shall provide the intern with the original signed “Responsibility Statement for Supervisors of a Professional Clinical Counselor Intern” (new 03/10, form No. 1800 37A-643) prior to the commencement of any counseling or supervision. Interns shall provide the board with the signed “Responsibility Statement for Supervisors of a Professional Clinical Counselor Intern” (new 03/10, form No. 1800 37A-643) from each supervisor upon application for examination eligibility. 
(d) A supervisor shall give at least one (1) week's prior written notice to an intern of the supervisor's intent not to sign for any further hours of experience for such person. A supervisor who has not provided such notice shall sign for hours of experience obtained in good faith where such supervisor actually provided the required supervision. 
(e) The supervisor shall obtain from each intern for whom supervision will be provided, the name, address, and telephone number of the intern's most recent supervisor and employer.
(f) In any setting that is not a private practice, a supervisor shall evaluate the site(s) where an intern will be gaining hours of experience toward licensure and shall determine that: (1) the site(s) provides experience which is within the scope of practice of a professional clinical counselor; and (2) the experience is in compliance with the requirements set forth in section 1820 and section 4999.46 of the Code. 
(g) Upon written request of the board, the supervisor shall provide to the board any documentation which verifies the supervisor's compliance with the requirements set forth in this section.
(h) The board shall not deny hours of experience gained towards licensure by any supervisee due to failure of his or her supervisor to complete the training or coursework requirements in subsection (a) (6) (A).
NOTE

Authority cited: Sections 4990.20 and 4999.48, Business and Professions Code. Reference: Sections 4999.12, 4999.34, 4999.36, 4999.44-4999.48 and 4999.54, Business and Professions Code.
HISTORY

1. New section filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21).
§1822. Supervisory Plan.
Note     •     History

(a) All licensed mental health professionals acceptable to the board as defined in Section 4999.12 of the Code who assume responsibility for providing supervision shall develop a supervisory plan that describes the goals and objectives of supervision and shall complete and sign under penalty of perjury the “Supervisory Plan”, (form no. 1800 37A-521, Rev. 3/10), hereby incorporated by reference.
(b) This supervisory plan shall be completed by each supervisor providing supervision and the original signed plan shall be submitted by the professional clinical counselor intern to the board upon application for examination eligibility.
NOTE

Authority cited: Sections 4990.20 and 4999.48, Business and Professions Code. Reference: Sections 4999.12, 4999.34, 4999.36, 4999.44-4999.48 and 4999.54, Business and Professions Code. 
HISTORY

1. New section filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21).
Article 3. Registered Social Workers [Repealed]
HISTORY

1. Repealer of article 3 (sections 1820-1823) filed 9-15-83; operative 10-15-83 (Register 83, No. 38). For prior history of section 1823, see Register 78, No. 40.
Article 4. Marriage and Family Therapist
§1829. Examinations.
Note     •     History

The written examinations shall consist of the following:
(a) A standard written examination designed to determine an applicant's knowledge, familiarity with the field, and practical understanding of the principles, techniques, objectives, theory and laws under which he or she must operate; and
(b) A written clinical vignette examination designed to assess the applicant's judgment, knowledge of the application of psychosocial and psychotherapeutic methods and measures in treatment, and ability to assume professional responsibilities.
NOTE

Authority cited: Sections 4980.40 and 4980.60, Business and Professions Code. Reference: Section 4980.40, Business and Professions Code.
HISTORY

1. New section filed 3-3-2004 as an emergency; operative 3-3-2004 (Register 2004, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-1-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-3-2004 order, including amendment of article heading, transmitted to OAL 6-18-2004 and filed 7-22-2004 (Register 2004, No. 30).
§1830. Education Requirements of Application. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4980.60, Business and Professions Code. Reference: Sections 25, 4980.40 and 4980.41, Business and Professions Code.
HISTORY

1. Amendment of subsections (b) and (c) filed 3-28-86; effective thirtieth day thereafter (Register 86, No. 13). For prior history, see Register 85, No. 12).
2. Repealer filed 8-10-87; operative 8-10-87 (Register 87, No. 34).
§1831. Minimum Educational Requirements. [Repealed]
History

HISTORY

1. Amendment filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Amendment filed 5-4-72; effective thirtieth day thereafter (Register 72, No. 19).
3. Repealer filed 9-26-75; effective thirtieth day thereafter (Register 75, No. 39).
§1832. Equivalent Accrediting Agencies.
Note     •     History

The following accrediting agencies are essentially equivalent to Western College Association, which has been renamed the Western Association of Schools and Colleges, and Northwest Association of Secondary and Higher Schools:
(a) Middle States Association of Colleges and Secondary Schools.
(b) New England Association of Schools and Colleges.
(c) North Central Association of Colleges and Secondary Schools.
(d) Southern Association of Colleges and Schools.
(e) The Credentials Evaluation Service of the International Education Research Foundation, Inc. when it evaluates the foreign degree as being equivalent to the required degrees, and those foreign degree programs meet the educational requirements for equivalent degrees and the specific course content and educational requirements as set forth in sections 4980.40 and 4980.41 of the Code.
(f) State of California, Department of Education, Bureau of School Approvals with respect to its functions under Education Code section 29023(a)(2), when applied to master's degree and/or doctoral programs which meet the requirements for an equivalent degree pursuant to section 1830 of these regulations, and the specific course content and educational requirements as set forth in sections 4980.40 and 4980.41, of the Code.
NOTE

Authority cited: Sections 4980.60 and 4990.20, Business and Professions Code. Reference:Sections 4980.40, 4980.41 and 4999.12, Business and Professions Code.
HISTORY

1. Amendment filed 9-26-75; effective thirtieth day thereafter (Register 75, No. 39).
2. Amendment filed 4-29-77; effective thirtieth day thereafter (Register 77, No. 18).
3. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
4. Change without regulatory effect (Register 86, No. 41).
5. Amendment of subsection (e) filed 5-17-90; operative 5-17-90 (Register 90, No. 26).
6. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1832.5. Requirements for Degrees from Educational Institutions Approved by the Bureau for Private Postsecondary and Vocational Education.
Note     •     History

(a) A doctor's or master's degree in marriage, family, and child counseling, marital and family therapy, psychology, clinical psychology, counseling psychology, or counseling with an emphasis in either marriage, family, and child counseling or marriage and family therapy, obtained from a school, college, or university that held an approval to operate  from the Bureau for Private Postsecondary and Vocational Education as of June 30, 2007 shall be considered by the board to meet the course requirements necessary to qualify for licensure under Section 4980.40 or registration under 4980.44 of the Code provided that the degree is awarded on or before June 30, 2012.
(b) This Section will become inoperative if legislation reenacts the Private Postsecondary and Vocational Education Reform Act of 1989, Chapter 7 (commencing with Section 94700) of Part 59 of Division 10 of the Education Code and the Bureau for Private Postsecondary and Vocational Education, or if legislation provides for a successor agency to the Bureau for Private Postsecondary and Vocational Education and that agency commences operations on or after January 1, 2009.
NOTE

Authority cited: Section 4990.20, Business and Professions Code. Reference: Sections 4980.40, 4980.40.5 and 4980.44, Business and Professions Code.
HISTORY

1. New section filed 1-28-2009; operative 2-27-2009 (Register 2009, No. 5).
§1833. Experience.
Note     •     History

(a) In order for experience to qualify under Section 4980.40(f) of the code, it must meet the following criteria: 
(1) It must have been gained in accordance with Sections 4980.42 through 4980.45 of the Code and the regulations contained in this article.
(2) Experience shall not be credited for more than forty (40) hours in any week. 
(3) No more than five hundred (500) hours of experience will be credited for providing group therapy or group counseling. 
(4) No more than two hundred fifty (250) hours of experience will be credited for administering and evaluating psychological tests of counselees, writing clinical reports, writing progress notes, or writing process notes; except that for any person who enrolled in a qualifying degree program prior to January 1, 1990, no more than five hundred (500) hours of experience may be credited for such activities. 
(5) For any person who enrolls in a qualifying degree program on or after January 1, 1990, no more than two hundred fifty (250) hours of experience will be credited for actual time spent counseling or crisis counseling on the telephone.
(6) For any person who enrolls in a qualifying degree program on or after January 1, 1990, not less than five hundred (500) total hours of experience shall have been gained in diagnosing and treating couples, families and children.
(b) The term “supervision”, as used in this article, includes ensuring that the extent, kind, and quality of counseling performed is consistent with the education, training, and experience of the person being supervised; reviewing client/patient records, monitoring and evaluating assessment, diagnosis, and treatment decisions of the intern or trainee; monitoring and evaluating the ability of the intern or trainee to provide services at the site(s) where he or she will be practicing and to the particular clientele being served; and ensuring compliance with laws and regulations governing the practice of marriage and family therapy. Supervision shall include that amount of direct observation, or review of audio or video tapes of therapy, as deemed appropriate by the supervisor. Supervision shall be credited only upon the following conditions: 
(1) During each week in which experience is claimed and for each work setting in which experience is gained, an applicant shall have at least one (1) hour of one-on-one, individual, face-to-face supervisor contact or two (2) hours of face-to-face supervisor contact in a group of not more than eight (8) persons receiving supervision. No more than five (5) hours of supervision, whether individual or group, shall be credited during any single week. 
(2) The applicant shall have received at least one (1) hour of one-on-one, individual, face-to-face supervisor contact per week for a minimum of fifty-two (52) weeks. 
(3) Any experience obtained under the supervision of a spouse, relative, or domestic partner shall not be credited toward the required hours of supervised experience. Any experience obtained under the supervision of a supervisor with whom the applicant has had or currently has a personal or business relationship which undermines the authority or effectiveness of the supervisor shall not be credited toward the required hours of supervised experience. 
(4) In a setting which is not a private practice, the authorized supervisor may be employed by the applicant's employer on either a paid or a voluntary basis. If such employment is on a voluntary basis, a written agreement must be executed between the supervisor and the organization, prior to commencement of supervision, in which the supervisor agrees to ensure that the extent, kind, and quality of counseling performed by the intern or trainee is consistent with the intern or trainee's training, education, and experience, and is appropriate in extent, kind, and quality. The agreement shall contain an acknowledgment by the employer that the employer:

(A) Is aware of the licensing requirements that must be met by the intern or tra	inee and agrees not to interfere with the supervisor's legal and ethical obligations to ensure compliance with those requirements; and
(B) Agrees to provide the supervisor access to clinical records of the clients counseled by the intern or trainee.
(c) Professional enrichment activities may be credited toward the experience requirement as specified in this article and by Section 4980.43(d)(1) of the Code. 
(1) No more than two hundred fifty (250) hours of verified attendance, with the approval of the applicant's supervisor, at workshops, seminars, training sessions, or conferences directly related to marriage and family therapy will be credited. 
(2) No more than one hundred (100) hours of psychotherapy, which will be triple counted, received as specified in Section 4980.43(d)(2) of the Code, will be credited.
(d) Experience gained by interns and trainees shall be subject to the following conditions, as applicable: 
(1) When an intern employed in private practice is supervised by someone other than the employer, the supervisor must be employed by and practice at the same site(s) as the intern's employer. 
(2) A trainee shall not perform services in a private practice. 
(3) Interns and trainees may only perform services as employees or volunteers and not as independent contractors. 
(e) Effective January 1, 1991, trainees and interns shall maintain a log of all hours of experience gained toward licensure. The log shall be in the form specified below and shall be signed by the supervisor on a weekly basis. An applicant shall retain all logs until such time as the applicant is licensed by the board. The board shall have the right to require an applicant to submit all or such portions of the log as it deems necessary to verify hours of experience.

View Graphic
NOTE

Authority cited: Sections 4980.35 and 4980.60, Business and Professions Code. Reference: Sections 4980.35, 4980.40(f), and 4980.42 through 4980.45, Business and Professions Code. 
HISTORY

1. Amendment filed 8-20-76; effective thirtieth day thereafter (Register 76, No. 34). For prior history, see Register 75, No. 39. 
2. Amendment filed 10-5-78; effective thirtieth day thereafter (Register 78,No. 40). 
3. New subsection (g) filed 1-24-80; effective thirtieth day thereafter (Register 80, No. 4). 
4. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38). 
5. Amendment filed 3-19-85; effective thirtieth day thereafter (Register 85, No. 12). 
6. Amendment of subsections (a)-(e) filed 2-5-90; operative 2-5-90 (Register 90, No. 8). 
7. Repealer of form and new form filed 12-24-92; operative 1-25-93 (Register 93, No. 1).
8. Amendment of section, including repealer and new form, filed 10-31-97; operative 1-1-98 (Register 97, No. 44).
9. The Board of Behavioral Sciences has discovered that the word “hours” was mistakenly duplicated in subsection (c)(2) (filed with the Secretary of State on 10-31-97). However, the duplication was not printed in Barclays Official California Code of Regulations. This action is a change without regulatory effect amending subsection (c)(2) (to remove the duplication from the regulation as filed with the Secretary of State) filed 12-29-97 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 1).
10. Change without regulatory effect amending form filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
11. Change without regulatory effect amending subsections (b) and (c)(1) filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
12. Change without regulatory effect amending subsections (b) and (c)(1) filed 10-18-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 42).
§1833.1. Requirements for Supervisors.
Note     •     History

Any person supervising a trainee or an intern (hereinafter “supervisor”) within California shall comply with the requirements set forth below.
(a) Prior to the commencement of any counseling or supervision, the supervisor shall sign under penalty of perjury the “Responsibility Statement for Supervisors of a Marriage and Family Therapist Trainee or Intern” (revised 3/10, form #1800 37A-523), hereby incorporated by reference, requiring that:
(1) The supervisor possesses and maintains a current valid California license as a marriage and family therapist, licensed clinical social worker, licensed professional clinical counselor, licensed psychologist, or physician who is certified in psychiatry as specified in Section 4980.03(g) of the Code and has been so licensed in California for at least two years prior to commencing any supervision; or
(A) Provides supervision only to trainees at an academic institution that offers a qualifying degree program as specified in Section 4980.40(a) of the Code; and
(B) Has been licensed in California as specified in Section 4980.03(g) of the Code, and in any other state, for a total of at least two years prior to commencing any supervision.
(2) A supervisor who is not licensed as a marriage and family therapist shall have sufficient experience, training, and education in marriage and family therapy to competently practice marriage and family therapy in California.
(3) The supervisor keeps himself or herself informed of developments in marriage and family therapy and in California law governing the practice of marriage and family therapy.
(4) The supervisor has and maintains a current license in good standing and will immediately notify the trainee or intern of any disciplinary action, including revocation or suspension, even if stayed, probation terms, inactive license status, or any lapse in licensure, that affects the supervisor's ability or right to supervise. 
(5) The supervisor has practiced psychotherapy or provided direct supervision of trainees, interns, associate clinical social workers, or professional clinical counselor interns who perform psychotherapy for at least two (2) years within the five (5) year period immediately preceding any supervision. 
(6) The supervisor has had sufficient experience, training and education in the area of clinical supervision to competently supervise trainees or interns. 
(A) Persons licensed by the board who provide supervision shall complete a minimum of six (6) hours of supervision training or coursework in each renewal period while providing supervision. This training or coursework may apply towards the continuing education requirements set forth in Sections 4980.54, 4996.22, and 4999.76 of the Code.
(B) Persons licensed by the board who provide supervision and who have not met requirements of subsection (A), shall complete a minimum of six (6) hours of supervision training or coursework within sixty (60) days of commencement of supervision.
(7) The supervisor knows and understands the laws and regulations pertaining to both the supervision of trainees and interns and the experience required for licensure as a marriage and family therapist.
(8) The supervisor shall ensure that the extent, kind, and quality of counseling performed is consistent with the education, training, and experience of the trainee or intern.
(9) The supervisor shall monitor and evaluate the extent, kind, and quality of counseling performed by the trainee or intern by direct observation, review of audio or video tapes of therapy, review of progress and process notes and other treatment records, or by any other means deemed appropriate by the supervisor.
(10) The supervisor shall address with the trainee or intern the manner in which emergencies will be handled.
(b) Each supervisor shall provide the trainee or intern with the original signed “Responsibility Statement for Supervisors of a Marriage and Family Therapist Intern or Trainee” (revised 3/10, form #1800 37A-523) prior to the commencement of any counseling or supervision. Trainees and interns shall provide the board with the signed “Responsibility Statement for Supervisors of a Marriage and Family Therapist Intern or Trainee” (revised 3/10, form #1800 37A-523) from each supervisor upon application for licensure.
(c) A supervisor shall give at least one (1) week's prior written notice to a trainee or intern of the supervisor's intent not to sign for any further hours of experience for such person. A supervisor who has not provided such notice shall sign for hours of experience obtained in good faith where such supervisor actually provided the required supervision. 
(d) The supervisor shall obtain from each trainee or intern for whom supervision will be provided, the name, address, and telephone number of the trainee's or intern's most recent supervisor and employer.
(e) In any setting that is not a private practice, a supervisor shall evaluate the site(s) where a trainee or intern will be gaining hours of experience toward licensure and shall determine that: (1) the site(s) provides experience which is within the scope of practice of a marriage and family therapist; and (2) the experience is in compliance with the requirements set forth in section 1833 and section 4980.43 of the Code.
(f) Upon written request of the board, the supervisor shall provide to the board any documentation which verifies the supervisor's compliance with the requirements set forth in this section.
(g) The board shall not deny hours of experience gained towards licensure by any supervisee due to failure of his or her supervisor to complete the training or coursework requirements in subsection (a)(6)(A).
NOTE

Authority cited: Sections 4980.40, 4980.60 and 4990.20, Business and Professions Code. Reference: Sections 4980.03, 4980.35, 4980.42-4980.45, 4980.48, 4980.54, 4996.22 and 4999.76, Business and Professions Code. 
HISTORY

1. Renumbering of former Section 1833.1 to Section 1833.3 and new Section 1833.1 filed 1-5-90; operative 1-1-91 (Register 90, No. 8). For prior history, see Registers 87, No. 34 and 83, No. 38. 
2. Amendment filed 10-31-97; operative 1-1-98 (Register 97, No. 44).
3. Change without regulatory effect amending subsection (a), adding new subsections (a)(11)(E)-(G), repealing and adopting new subsection (a)(12)(E), adding new subsections (a)(12)(F)-(H) and amending subsection (b) filed 4-28-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 18).
4. Amendment of subsections (a)(1), (a)(3) and (a)(4), new subsections (a)(6)(A)-(C), amendment of subsection (b), new subsection (h) and amendment of Note filed 1-21-99; operative 2-20-99 (Register 99, No. 4).
5. Change without regulatory effect amending subsections (a) and (b) filed 12-22-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 52).
6. Change without regulatory effect amending subsections (a), (a)(1), (a)(2)-(3) and (a)(7), repealing subsections (a)(11)-(a)(12)(H) and amending subsections (b) and (e) filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
7. Change without regulatory effect amending subsections (a)(2), (a)(3), (a)(6)(B) and (e) filed 10-18-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 42).
8. Change without regulatory effect amending subsections (a) and (b) and “Responsibility Statement for Supervisors of a Marriage and Family Therapist Intern or Trainee” form (incorporated by reference) filed 2-21-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 8).
9. Amendment of section and Note filed 12-27-2007; operative 1-26-2008 (Register 2007, No. 52).
10. Amendment of subsections (a)-(a)(1), (a)(5)-(6) and (b) and amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1833.2. Supervision of Experience Gained Outside of California.
Note     •     History

Experience gained outside of California on or after January 1, 1991 must have been supervised in accordance with the following criteria: 
At the time of supervision, the supervisor was licensed or certified by the state in which the supervision occurred and possessed a current license which was not under suspension or probation. The supervisor was licensed or certified by that state, for at least two (2) years prior to acting as supervisor, as either a psychologist, clinical social worker, physician certified in psychiatry as specified in Section 4980.40(f) of the code, professional clinical counselor, or a marriage and family therapist or similarly titled marriage and family practitioner. 
In a state which does not license or certify marriage and family therapists or similarly titled marriage and family practitioners, experience may be obtained under the supervision of a person who at the time of supervision held a clinical membership in the American Association of Marriage and Family Therapists for at least two years and who maintained such membership throughout the period of supervision. 
NOTE

Authority cited: Sections 4980.35, 4980.40(f) and 4980.60, Business and Professions Code. Reference: Sections 4980.35, 4980.40(f), 4980.42-4980.45 and 4980.90, Business and Professions Code. 
HISTORY

1. New section filed 1-5-90; operative 1-5-90 (Register 90, No. 8). 
2. Change without regulatory effect amending second and third paragraphs filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
3. Change without regulatory effect amending third paragraph filed 10-18-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 42).
4. Amendment of second paragraph filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1833.3. Reexamination. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4980.60, Business and Professions Code. Reference: Sections 4980.40 and 4980.50, Business and Professions Code.
HISTORY

1. Renumbering from section 1861 filed 1-10-73; effective thirtieth day thereafter (Register 73, No. 2).
2. Amendment filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
3. Amendment filed 10-5-78; effective thirtieth day thereafter (Register 78, No. 40).
4. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38.
5. Renumbering of former section 1833.1 to section 1833.3 filed 1-5-90; operative 1-5-90 (Register 90, No. 8).
6. Amendment of NOTE filed 5-17-90; operative 5-17-90 (Register 90, No. 26).
7. Amendment filed 3-3-2004 as an emergency; operative 3-3-2004 (Register 2004, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-1-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-3-2004 order transmitted to OAL 6-18-2004 and filed 7-22-2004 (Register 2004, No. 30).
9. Repealer filed 11-30-2007; operative 12-30-2007 (Register 2007, No. 48).
§1834. Improper Advertising. [Repealed]
History

HISTORY

1. Amendment of subsection (a) filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Repealer filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
§1834.5. Notification of Degrees. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 9012 and 17806, Business and Professions Code. Reference: Sections 9023, 17804, 17808, 17820, Business and Professions Code.
HISTORY

1. New section filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Repealer filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
§1834.6. Criteria for Use of Hypnosis. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4980.60, Business and Professions Code. Reference: Sections 4980.02 and 4980.40, Business and Professions Code. 
HISTORY

1. New section filed 4-29-77; effective thirtieth day thereafter (Register 77, No. 18).
2. Amendment of subsection (a) filed 1-20-78 as an emergency; effective upon filing (Register 78, No. 3).
3. Certificate of Compliance filed 4-18-78 (Register 78, No. 16).
4. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
5. Amendment filed 3-19-85; effective thirtieth day thereafter (Register 85, No. 12).
6. Change without regulatory effect repealing section filed 11-18-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 47).
§1835. Licensure Required. [Repealed]
Note     •     History

NOTE

Authority cited: Section 17806, Business and Professions Code. Reference: Sections 17800, 17800.2, 17800.3, 17800.7, 17801, 17803, 17804, 17804.1, 17804.2, 17804.3, 17804.4, 17804.5, 17805, 17806, 17820 and 17847, Business and Professions Code.
HISTORY

1. Amendment filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5). For prior history, see Register 72, No. 9.
2. Amendment filed 10-5-78; effective thirtieth day thereafter (Register 78, No. 40).
3. Repealer filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
§1836. Supervision of Unlicensed Counselors. [Repealed]
History

HISTORY

1. Renumbering to Section 1848 and new section filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Repealer filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
§1840. Display of License. [Repealed]
History

HISTORY

1. New section filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Repealer filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
§1841. Human Sexuality Training. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 25, 9012 and 17806, Business and Professions Code. Reference: Sections 25, 9042 and 17804, Business and Professions Code.
HISTORY

1. New section filed 10-5-78; effective thirtieth day thereafter (Register 78, No. 40).
2. Renumbering and amendment of Section 1841 to Section 1807 filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
§1841.1. Human Sexuality Training Required for Licensees. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 25, 9012 and 17806, Business and Professions Code. Reference: Sections 25, 9042 and 17804, Business and Professions Code.
HISTORY

1. New section filed 10-5-78; effective thirtieth day thereafter (Register 78, No. 40).
2. Renumbering and amendment of Section 1841.1 to Section 1807.1 filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
§1841.2. Renewal Dependent upon Training Documentation. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25, 9012 and 17806, Business and Professions Code. Reference: Sections 25, 9042 and 17804, Business and Professions Code.
HISTORY

1. New section filed 10-5-78; effective thirtieth day thereafter (Register 78, No. 40).
2. Repealer filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
§1845. Unprofessional Conduct.
Note     •     History

As used in Section 4982 of the code, unprofessional conduct includes, but is not limited to:
(a) Performing or holding himself or herself out as able to perform professional services beyond his or her field or fields of competence as established by his or her education, training and/or experience.
(b) Permitting a trainee or intern under his or her supervision or control to perform or permitting the trainee or intern to hold himself or herself out as competent to perform professional services beyond the trainee's or intern's level of education, training and/or experience.
(c) Failing to comply with the child abuse reporting requirements of Penal Code Section 11166.
(d) Failing to comply with the elder and dependent adult abuse reporting requirements of Welfare and Institutions Code Section 15630.
NOTE

Authority cited: Section 4980.60, Business and Professions Code. Reference: Sections 4980.03, 4980.60 and 4982, Business and Professions Code; Section 11166, Penal Code; and Section 15630, Welfare and Institutions Code.
HISTORY

1. New section filed 2-25-72; effective thirtieth day thereafter (Register 72, No. 9).
2. Amendment filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
3. Amendment filed 10-5-78; effective thirtieth day thereafter (Register 78, No. 40).
4. Amendment filed 1-24-80; effective thirtieth day thereafter (Register 80, No. 4).
5. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
6. Change without regulatory effect of NOTE (Register 86, No. 41).
7. New subsection (o) and amendment of NOTE filed 5-7-87; operative 5-7-87 (Register 87, No. 20).
8. Amendment filed 8-10-87; operative 8-10-87 (Register 87, No. 34).
9. Amendment of subsection (c), new subsection (d) and amendment of Note filed 5-27-2003; operative 6-26-2003 (Register 2003, No. 22).
§1846. Marriage and Family Therapist Interns.
Note     •     History

The registration of each intern shall expire at midnight one year from the last day of the month in which the registration was issued.
NOTE

Authority cited: Section 4980.60, Business and Professions Code. Reference: Sections 4980.03(b), 4980.44 and 4984.7(e), Business and Professions Code.
HISTORY

1. New section filed 10-5-78; effective thirtieth day thereafter (Register 78, No. 40).
2. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
3. Change without regulatory effect of NOTE (Register 86, No. 41).
4. Amendment filed 8-10-87; operative 8-10-87 (Register 87, No. 34).
5. Change without regulatory effect filed 12-7-87; operative 1-6-88 (Register 87, No. 50).
6. Change without regulatory effect amending section heading filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
§1846.1. Notification of Employment and Termination of a Registered Marriage and FamilyTherapist Intern. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4980.60, Business and Professions Code. Reference: Sections 4980.40, 4980.42 and 4980.60, Business and Professions Code.
HISTORY

1. New section filed 1-24-80; effective thirtieth day thereafter (Register 80, No. 4).
2. Change without regulatory effect of NOTE (Register 86, No. 41).
3. Repealer filed 8-10-87; operative 8-10-87 (Register 87, No. 34).
4. Change without regulatory effect amending section heading filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
§1848. Surrender of Suspended or Revoked Licenses. [Renumbered]
History

HISTORY

1. Renumbering to Section 1808 filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5). For prior history, see Register 72, No. 9.
Article 4.5. Professional Corporations [Repealed]
§1850. Citation of Rules. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 9012, 9077, 17806 and 17882, Business and Professions Code. Reference for Article 4.5: Section 17875, et seq., Business and Professions Code; Section 13400, et seq., Corporations Code.
HISTORY

1. New Article 4.5 (Sections 1850, 1850.1-1850.8) filed 7-6-73; effective thirtieth day thereafter (Register 73, No. 27).
2. Amendment filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
3. Repealer filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
§1850.1. Definitions as Used in This Article. [Repealed]
History

HISTORY

1. Amendment of subsection (c) filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
2. Repealer filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
§1850.2. Professional Relationships, Responsibilities and Conduct Not Affected. [Repealed]
History

HISTORY

1. Amendment filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
2. Repealer filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
§1850.3. Office for Filing. [Repealed]
History

HISTORY

1. Amendment filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
2. Repealer filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
§1850.4. Application: Review of Refusal to Approve. [Repealed]
History

HISTORY

1. Amendment filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
2. Repealer filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
§1850.5. Requirements for Issuance of Certificate of Registration. [Repealed]
History

HISTORY

1. Repealer filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
§1850.6. Name of Corporation.
Note     •     History

The wording or abbreviation denoting corporate existence shall be limited to one of the following: “Professional Corporation,” “Prof. Corp.,” “Corporation,” “Corp.,” “Incorporated,” or “Inc.”
NOTE

Authority cited: Sections 4980.60 and 4990.20, Business and Professions Code. Reference: Sections 4987.8 and 4998.3, Business and Professions Code.
HISTORY

1. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
2. Change without regulatory effect of NOTE (Register 86, No. 41).
3. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1850.7. Shares: Ownership and Transfer.
Note     •     History

(a) The shares of a marriage and family therapist corporation may be issued or transferred only to the issuing corporation or to an appropriately licensed person in accordance with Section 13401.5 of the Corporations Code.
(b) The shares of a licensed clinical social worker corporation may be issued or transferred only to the issuing corporation or to an appropriately licensed person in accordance with Section 13401.5 of the Corporations Code.
(c) Where there are two or more shareholders in a corporation and one of its shareholders dies, or becomes a disqualified person as defined in Section 13401(d) of the Corporations Code, for a period exceeding ninety (90) days, his or her shares shall be sold and transferred to a licensed person or to the issuing corporation, on such terms as are agreed upon. Such sale or transfer shall not be later than six (6) months after any such death and not later than ninety (90) days after the date the shareholder became a disqualified person.
(d) A corporation and its shareholders may, but need not, agree that shares sold to it by a person who becomes a disqualified person may be resold to such person if and when he or she again ceases to become a disqualified person.
(e) The restrictions of subdivisions (a) or (b) where appropriate and, if appropriate, subdivision (c) of this section shall be set forth in the corporation's by-laws or articles of incorporation.
(f) The income of the corporation attributable to professional, licensed services rendered while a shareholder is a disqualified person shall not in any manner accrue to the benefit of such shareholder or his or her shares.
(g) The share certificates of the corporation shall contain either:
(1) An appropriate legend setting forth the restriction of subdivision (a) or (b) where appropriate , and where applicable, the restriction of subdivision (c), or
(2) An appropriate legend stating that ownership and transfer of the shares are restricted and specifically referring to an identified section of the by-laws or articles of incorporation of the corporation wherein the restrictions are set forth.
NOTE

Authority cited: Sections 4980.60 and 4990.20, Business and Professions Code. Reference: Sections 4987.9, 4988, 4998.4 and 4998.5, Business and Professions Code; and Sections 13401, 13401.5, 13403 and 13407, Corporations Code.
HISTORY

1. Amendment of subsections (b), (c) and (e) filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
2. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
3. Amendment filed 3-19-85; effective thirtieth day thereafter (Register 85, No. 12).
4. Change without regulatory effect of NOTE (Register 86, No. 41).
5. Change without regulatory effect amending subsection (a) filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
6. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1850.8. Certificate of Registration: Continuing Validity: Reports. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4980.60 and 4990.14, Business and Professions Code. Reference: Sections 4987.6, 4987.7, 4998, 4998.1 and 4998.2, Business and Professions Code.
HISTORY

1. Amendment filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
2. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
3. Change without regulatory effect of NOTE (Register 86, No. 41). 
4. Change without regulatory effect repealing section filed 3-22-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 12).
Article 5. Licensed Educational Psychologists
§1854. Equivalent Degrees.
Note     •     History

Educational institutions approved by the board are defined as a college or university accredited by one of the following agencies:
(a) Western Association of Schools and Colleges.
(b) Northwest Association of Secondary and Higher Schools.
(c) Middle States Association of Colleges and Secondary Schools.
(d) New England Association of Colleges and Secondary Schools.
(e) North Central Association of Colleges and Secondary Schools.
(f) Southern Association of Colleges and Schools.
(g) The Credentials Evaluation Service of the International Education Research Foundation, Inc., where it evaluates the foreign degree as being equivalent to the required degree or degrees.
NOTE

Authority cited: Section 4990.20(a), Business and Professions Code. Reference: Section 4989.20(a)(1), Business and Professions Code.
HISTORY

1. New Article 5 (Sections 1854, 1855, 1856, 1857, 1861 and 1863) filed 6-24-71; effective thirtieth day thereafter (Register 71, No. 26).
2. Amendment filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
3. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
4. Change without regulatory effect (Register 86, No. 41).
5. Amendment of first paragraph and Note filed 11-30-2007; operative 12-30-2007 (Register 2007, No. 48).
§1855. Equivalent Experience in Pupil Personnel Services. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4980.60, Business and Professions Code. Reference: Section 4986.20, Business and Professions Code.
HISTORY

1. Amendment filed 6-13-74; effective thirtieth day thereafter (Register 74, No. 24).
2. Amendment filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
3. Change without regulatory effect (Register 86, No. 41).
4. Repealer filed 11-30-2007; operative 12-30-2007 (Register 2007, No. 48).
§1856. Experience Equivalent to Three (3) Years Full-Time Experience as Credentialed School Psychologist.
Note     •     History

(a) No more than one year of experience will be granted for any 12 month period.
(b) Part time experience may be accumulated provided that the experience is obtained within six (6) calendar years.
(c) Experience as a credentialed school psychologist employed by a parochial or private school may, at the board's discretion, be deemed equivalent to experience as a credentialed school psychologist in the public schools.
NOTE

Authority cited: Section 4990.20(a), Business and Professions Code. Reference: Section 4982.20, Business and Professions Code.
HISTORY

1. Amendment filed 6-13-74; effective thirtieth day thereafter (Register 74, No. 24).
2. Amendment filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
3. Change without regulatory effect of subsection (d) and new NOTE (Register 86, No. 41).
4. Repealer of subsections (d)-(d)(7) and amendment of Note filed 11-30-2007; operative 12-30-2007 (Register 2007, No. 48).
§1857. Experience Equivalent to One Year of Supervised Professional Experience. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4980.60, Business and Professions Code. Reference: Section 4980.20, Business and Professions Code.
HISTORY

1. Amendment filed 6-13-74; effective thirtieth day thereafter (Register 74, No. 24).
2. Change without regulatory effect adding NOTE (Register 86, No. 41).
3. Repealer filed 11-30-2007; operative 12-30-2007 (Register 2007, No. 48).
§1858. Unprofessional Conduct.
Note     •     History

The Board may suspend or revoke the license of a licensee who:
(a) Impersonates a licensee or allows another person to use his or her license.
(b) Permits a person under his or her supervision or control to perform or permits such person to hold himself or herself out as competent to perform professional services beyond the level of education, training and/or experience of that person.
NOTE

Authority cited: Section 4989.18, Business and Professions Code. Reference: Sections 4989.18 and 4989.54, Business and Professions Code.
HISTORY

1. New section filed 1-24-80; effective thirtieth day thereafter (Register 80, No. 4).
2. Change without regulatory effect of NOTE (Register 86, No. 41).
3. New subsection (o) and amendment of NOTE filed 5-7-87; operative 5-7-87 (Register 87, No. 20).
4. Amendment of subsections (h), (m) and (o), new subsection (p) and amendment of Note filed 5-27-2003; operative 6-26-2003 (Register 2003, No. 22).
5. Repealer of subsections (a), (c)-(i) and (k)-(p), subsection relettering and amendment of Note filed 11-30-2007; operative 12-30-2007 (Register 2007, No. 48).
§1863. Application and Renewal Fees. [Repealed]
History

HISTORY

1. Amendment filed 6-13-74; effective thirtieth day thereafter (Register 74, No. 24).
2. Repealer filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
Article 6. Licensed Clinical Social Workers
§1870. Requirements for Associate Clinical Social Worker Supervisors.
Note     •     History

Any person supervising an associate clinical social worker registered with the board (hereinafter called “supervisor”) within California shall comply with the requirements set forth below.
(a) Prior to the commencement of any therapy or supervision, the supervisor shall sign under penalty of perjury the “Responsibility Statement for Supervisors of an Associate Clinical Social Worker” (revised 3/10, form #1800 37A-522), hereby incorporated by reference, which requires that:
(1) The supervisor possesses and will maintain a current valid California license as a licensed clinical social worker or a licensed mental health professional acceptable to the Board as specified in Section 1874.
(2) The supervisor has and will maintain a current license in good standing and will immediately notify the associate of any disciplinary action, including revocation, suspension (even if stayed), probation terms, inactive license, or any lapse in licensure, that affects the supervisor's ability or right to supervise.
(3) The supervisor has practiced psychotherapy or provided direct supervision of associates, or marriage and family therapist interns or trainees who perform psychotherapy for at least two (2) years within the last five (5) years immediately preceding supervision.
(4) The supervisor has had sufficient experience, training and education in the area of clinical supervision to competently supervise associates.
(A) Persons licensed by the board who provide supervision shall have a minimum of fifteen (15) contact hours in supervision training obtained from a state agency or approved continuing education provider. This training may apply towards the approved continuing education requirements set forth in Sections 4980.54, 4996.22, and 4999.76 of the Code. The content of such training shall include, but not be limited to:
(i) Familiarity with supervision literature through reading assignments specified by course instructors;
(ii) Facilitation of therapist-client and supervisor-therapist relationships;
(iii) Evaluation and identification of problems in therapist-client and supervisor-therapist relationships;
(iv) Structuring to maximize supervision, including times and conditions of supervision sessions, problem solving ability, and implementing supervisor interventions within a range of supervisory modalities including live, videotape, audiotape, and case report methods;
(v) Knowledge of contextual variables such as culture, gender, ethnicity, and economic issues; and
(vi) The practice of clinical social work, including the mandated reporting laws, and knowledge of ethical and legal issues.
(5) The supervisor knows and understands the laws and regulations pertaining to both supervision of associates and the experience required for licensure as a clinical social worker.
(6) The supervisor shall do all of the following:
(A) Ensure that the extent, kind and quality of clinical social work performed by the associate is consistent with the training and experience of the person being supervised.
(B) Review client/patient records and monitor and evaluate assessment and treatment decisions of the associate clinical social worker.
(C) Monitor and evaluate the ability of the associate to provide services at the site(s) where he or she will be practicing and to the particular clientele being served.
(D) Ensure compliance with all laws and regulations governing the practice of clinical social work.
(7) The supervisor and the associate shall develop the “Supervisory Plan” as described in Section 1870.1. The associate shall submit the original signed plan for each supervisor to the board upon application for licensure.
(8) The supervisor shall provide the associate with the original, signed “Responsibility Statement for Supervisors of an Associate Clinical Social Worker” (revised 3/10, form #1800 37A-522), prior to commencement of any supervision. The associate shall provide the board with the original signed form for each supervisor upon application for licensure.
(9) A supervisor shall give at least one (1) week's written notice to an associate of the supervisor's intent not to sign for any further hours of experience for such person. A supervisor who has not provided such notice shall sign for hours of experience obtained in good faith where such supervisor actually provided the required supervision.
(10) The supervisor shall complete an assessment of the ongoing strengths and limitations of the associate. The assessments shall be completed at least once a year and at the completion or termination of supervision. A copy of all assessments shall be provided to the associate by the supervisor.
(11) Upon written request of the board, the supervisor shall provide to the board any documentation which verifies the supervisor's compliance with the requirements set forth in this section.
(b) The board shall not deny hours of experience gained toward licensure by any associate due to the failure of his or her supervisor to complete the training requirements specified in subsection (a)(4)(A).
NOTE

Authority cited: Section 4980.60 and 4990.20, Business and Professions Code. Reference: Sections 4980.54, 4996.22 and 4996.23, Business and Professions Code.
HISTORY

1. New section filed 5-10-99; operative 5-10-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 20).
2. Change without regulatory effect amending subsections (a) and (a)(8) filed 10-16-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 42).
3. Change without regulatory effect amending subsections (a), (a)(1) and (a)(7)-(8), repealing subsection (a)(10), relettering subsections and amending “Responsibility Statement for Supervisors of an Associate Clinical Social Worker” form (incorporated by reference) filed 10-20-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 42).
4. Change without regulatory effect amending subsections (a) and (a)(8) and “Responsibility Statement for Supervisors of an Associate Clinical Social Worker” form (incorporated by reference) filed 2-21-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 8).
5. Amendment of section and Note filed 12-27-2007; operative 1-26-2008 (Register 2007, No. 52).
6. Amendment of subsections (a), (a)(4)(A) and (a)(8) and amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1870.1. Supervisory Plan.
Note     •     History

(a) On and after January 1, 1999, all associate clinical social workers and licensed clinical social workers or licensed mental health professionals acceptable to the board as defined in Section 1874 who assume responsibility for providing supervision shall develop a supervisory plan that describes the goals and objectives of supervision and shall complete and sign under penalty of perjury the “Supervisory Plan”, (form no. 1800 37A-521, revised 3/10), hereby incorporated by reference.
(b) This supervisory plan shall be completed by each supervisor providing supervision and the original signed plan shall be submitted by the associate clinical social worker to the board upon application for licensure.
NOTE

Authority cited: Section 4990.20, Business and Professions Code. Reference: Sections 4996.18 and 4996.23, Business and Professions Code.
HISTORY

1. New section filed 12-23-98 as an emergency; operative 1-1-99 (Register 98, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-3-99 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction moving section 1870.1 from article 5 to article 6 (Register 99, No. 4).
3. Certificate of Compliance as to 12-23-98 order, including amendment of subsection (a) and Note, transmitted to OAL 4-6-99 and filed 5-11-99 (Register 99, No. 20).
4. Change without regulatory effect amending section and amending “Supervisory Plan” form (incorporated by reference) filed 10-20-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 42).
5. Change without regulatory effect amending subsection (a) and “Supervisory Plan” form  (incorporated by reference) filed 2-21-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 8).
6. Amendment of subsection (a) and Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1873. Experience. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4990.14, Business and Professions Code. Reference: Sections 4992.1 and 4996.2, Business and Professions Code.
HISTORY

1. New Article 6 (Sections 1873, 1876 and 1880) filed 1-10-73; effective thirtieth day thereafter (Register 73, No. 2).
2. New subsection (c) filed 7-6-73; effective thirtieth day thereafter (Register 73, No. 27).
3. Amendment filed 1-26-77; effective thirtieth day thereafter (Register 77, No. 5).
4. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38). 
5. Change without regulatory effect of NOTE (Register 86, No. 41).
6. Amendment of subsections (a) and (b), and renumbering and amendment of former Section 1876 to Section 1873(c) filed 12-18-89; operative 12-18-89 pursuant to Government Code Section 11346.2(d) (Register 89, No. 51). 
7. Change without regulatory effect repealing section filed 3-22-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 12).
§1874. Definition of Acceptable Mental Health Professionals.
Note     •     History

For purposes of Section 4996.23(a), a licensed mental health professional acceptable to the board is one who, at the time of  supervision, has possessed for at least two years a valid license as a psychologist, marriage and family therapist, licensed professional clinical counselor or physician certified in psychiatry by the American Board of Psychiatry and Neurology.
NOTE

Authority cited: Section 4990.20, Business and Professions Code. Reference: Section 4996.23, Business and Professions Code.
HISTORY

1. New section filed 12-18-89; operative 12-18-89 pursuant to Government Code Section 11346.2(d) (Register 89, No. 51). 
2. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
3. Change without regulatory effect amending section filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
4. Change without regulatory effect amending section filed 10-20-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 42).
5. Amendment of section and Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1876. Professional Supervision or Consultation. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 4990.14, Business and Professions Code. Reference: Sections 4992.1 and 4996.2, Business and Professions Code.
HISTORY

1. Repealer and new section filed 8-20-76; effective thirtieth day thereafter (Register 76, No. 34). For prior history, see Register 74, No. 12.
2. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38). 
3. Change without regulatory effect of NOTE (Register 86, No. 41).
4. Renumbering and; amendment of former Section 1876 to Section 1873(c) filed 12-18-89; operative 12-18-89 pursuant to Government Code Section 11346.2(d) (Register 89, No. 51). 
§1877. Examinations.
Note     •     History

The written examinations shall consist of the following:
(a) A standard written examination designed to determine an applicant's knowledge, familiarity with the field, and practical understanding of the principles, techniques, objectives, theory and laws under which he or she must operate; and
(b) A written clinical vignette examination designed to assess the applicant's judgment, knowledge of the application of psychosocial and psychotherapeutic methods and measures in treatment, and ability to assume professional responsibilities.
NOTE

Authority cited: Section 4990.20, Business and Professions Code. Reference: Section 4992.1, Business and Professions Code.
HISTORY

1. New section filed 7-6-73; effective thirtieth day thereafter (Register 73, No. 27.)
2. Amendment filed 8-20-76; effective thirtieth day thereafter (Register 76, No. 34).
3. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
4. Change without regulatory effect of NOTE (Register 86, No. 41).
5. Amendment filed 3-3-2004 as an emergency; operative 3-3-2004 (Register 2004, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-1-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-3-2004 order transmitted to OAL 6-18-2004 and filed 7-22-2004 (Register 2004, No. 30).
7. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1878. Human Sexuality Training. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25, 9012 and 17806, Business and Professions Code. Reference: Sections 25, 9042 and 17804, Business and Professions Code.
HISTORY

1. New section filed 10-5-78; effective thirtieth day thereafter (Register 78, No. 40).
2. Repealer filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
§1878.1. Human Sexuality Training Required for Licensees. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25, 9012 and 17806, Business and Professions Code. Reference: Sections 25, 9042 and 17804, Business and Professions Code.
HISTORY

1. New section filed 10-5-78; effective thirtieth day thereafter (Register 78, No. 40).
2. Repealer filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
§1878.2. Renewal Dependent upon Training Documentation. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25, 9012 and 17806, Business and Professions Code. Reference: Sections 25, 9042 and 17804, Business and Professions Code.
HISTORY

1. New section filed 10-5-78; effective thirtieth day thereafter (Register 78, No. 40).
2. Repealer filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
§1880. Unlicensed Assistants.
Note     •     History

An unlicensed person employed under Section 4996.15 of the Code to perform limited social work functions shall inform each patient or client prior to performing any such functions that he or she is not a licensed clinical social worker and is under the supervision of a licensed clinical social worker, marriage and family therapist, licensed professional clinical counselor, or a licensed psychologist or a licensed psychologist or a licensed psychiatrist, whichever is applicable.
NOTE

Authority cited: Section 4990.20, Business and Professions Code. Reference: Section 4996.15, Business and Professions Code.
HISTORY

1. Repealer of subsection (b) filed 7-6-73; effective thirtieth day thereafter (Register 73, No. 27).
2. Amendment filed 8-20-76; effective thirtieth day thereafter (Register 76, No. 34).
3. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
4. Change without regulatory effect (Register 86, No. 41).
5. Change without regulatory effect amending section and Note filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
6. Amendment of section and Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1880.1. Notification of Employment and Termination of an Apprentice Clinical Social Worker. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4990.14, Business and Professions Code. Reference: Section 4996.17, Business and Professions Code.
HISTORY

1. New section filed 1-24-80; effective thirtieth day thereafter (Register 80, No. 4).
2. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
3. Change without regulatory effect of NOTE (Register 86, No. 41).
4. Change without regulatory effect repealing section filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§1881. Unprofessional Conduct.
Note     •     History

The board may suspend or revoke the license of a licensee or may refuse to issue a license to a person who:
(a) Misrepresents the type or status of license held by such person or otherwise misrepresents or permits the misrepresentation of his or her professional qualifications or affiliations.
(b) Impersonates a licensee or who allows another person to use his or her license.
(c) Aids or abets an unlicensed person to engage in conduct requiring a license.
(d) Intentionally or recklessly causes physical or emotional harm to a client.
(e) Commits any dishonest, corrupt, or fraudulent act which is substantially related to the qualifications, functions or duties of a licensee.
(f) Has sexual relations with a client, or who solicits sexual relations with a client, or who commits an act of sexual abuse, or who commits an act of sexual misconduct, or who commits an act punishable as a sexual related crime if such act or solicitation is substantially related to the qualifications, functions or duties of a Licensed Clinical Social Worker.
(g) Performs or holds himself or herself out as able to perform professional services beyond his or her field or fields of competence as established by his or her education, training and/or experience.
(h) Permits a person under his or her supervision or control to perform or permits such person to hold himself or herself out as competent to perform professional services beyond the level of education, training and/or experience of that person.
(i) Fails to maintain the confidentiality, except as otherwise required or permitted by law, of all information that has been received from a client during the course of treatment and all information about the client which is obtained from tests or other such means.
(j) Prior to the commencement of treatment, fails to disclose to the client, or prospective client, the fee to be charged for the professional services, or the basis upon which such fee will be computed.
(k) Advertises in a manner which is false or misleading.
(l) Reproduces or describes in public or in publications subject to general public distribution, any psychological test or other assessment device, the value of which depends in whole or in part on the naivete of the subject, in ways that might invalidate such test or device. The licensee shall limit access to such test or device to persons with professional interest who are expected to safeguard their use.
(m) Commits an act or omission which falls sufficiently below that standard of conduct of the profession as to constitute an act of gross negligence.
(n) Pays, accepts or solicits any consideration, compensation or remuneration for the referral of professional clients. All consideration, compensation or remuneration must be in relation to professional counseling services actually provided by the licensee. Nothing in this section shall prevent collaboration among two or more licensees in a case or cases. However, no fee shall be charged for such collaboration except when disclosure of such fee is made in compliance with subparagraph (j) above.
(o) Fails to comply with the child abuse reporting requirements of Penal Code Section 11166.
(p) Fails to comply with the elder and dependent adult abuse reporting requirements of Welfare and Institutions Code Section 15630.
NOTE

Authority cited: Section 4990.20, Business and Professions Code. Reference: Sections 4990.20, 4992.3, 4992.33 and 4996.11, Business and Professions  Code; Section 11166, Penal Code; and Section 15630, Welfare and Institutions Code.
HISTORY

1. New section filed 1-24-80; effective thirtieth day thereafter (Register 80, No. 4).
2. Amendment filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38).
3. Change without regulatory effect of NOTE (Register 86, No. 41).
4. New subsection (o) and amendment of NOTE filed 5-7-87; operative 5-7-87 (Register 87, No. 20).
5. Amendment of subsection (o), new subsection (p) and amendment of Note filed 5-27-2003; operative 6-26-2003 (Register 2003, No. 22).
6. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
Article 6.5. Licensed Clinical Social Workers Corporations [Repealed]
NOTE

Additional authority cited: Section 9077, Business and Professions Code. Reference: Sections 9070-9076, Business and Professions Code; Sections 13400-13410, Corporations Code.
HISTORY

1. New Article 6.5 (Sections 1885, 1885.1-1885.8) filed 7-6-73; effective thirtieth day thereafter (Register 73, No. 27).
2. Amendment filed 8-20-76; effective thirtieth day thereafter (Register 76, No. 34).
3. Repealer of Article 6.5 (Sections 1885-1885.8) filed 9-15-83; effective thirtieth day thereafter (Register 83, No. 38). For prior history, see Register 77, No. 5.
Article 7. Citations and Fines
§1886. Authority to Issue Citations and Fines.
Note     •     History

The executive officer of the board is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and fines for violations by a licensed marriage and family therapist (MFT), licensed educational psychologist (LEP), licensed clinical social worker (LCSW), licensed professional clinical counselor (LPCC), MFT Intern, Associate Clinical Social Worker, or professional clinical counselor intern of the statutes and regulations enforced by the Board of Behavioral Sciences.
NOTE

Authority cited: Sections 125.9, 148, 149, 4980.60, 4987 and 4990.20, Business and Professions Code. Reference: Sections 125.9, 148 and 149, Business and Professions Code.
HISTORY

1. New article 7 (sections 1886-1886.80) and section filed 1-17-97; operative 2-16-97 (Register 97, No. 3).
2. Change without regulatory effect amending section filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
3. Amendment of section and Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1886.10. Citations for Unlicensed Practice.
Note     •     History

The executive officer of the board is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and fines against persons, as defined in Section 302(d) of the Code, who are performing or who have performed services for which a license is required under the statutes and regulations enforced by the Board of Behavioral Sciences. Each citation issued for unlicensed activity shall contain an order of abatement. Where appropriate, the executive officer shall levy a fine for such unlicensed activity in accordance with section 1886.40 of these regulations. The provisions of sections 1886-1886.80 shall apply to the issuance of citations for unlicensed activity under this section. The sanction authorized under this section shall be separate from and in addition to any other civil or criminal remedies.
NOTE

Authority cited: Sections 125.9, 148, 149, 4980.60, 4987 and 4990.20, Business and Professions Code. Reference: Sections 125.9, 125.95, 148, 149 and 302(d), Business and Professions Code.
HISTORY

1. New section filed 1-17-97; operative 2-16-97 (Register 97, No. 3).
2. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1886.20. Citation Format.
Note     •     History

A citation shall be issued whenever any fine is levied or any order of abatement is issued. Each citation shall be in writing and shall describe with particularity the nature and facts of each violation, including a reference to the statute(s) or regulation(s) alleged to have been violated. The citation shall inform the cited person of the right to contest the citation. The citation shall be served upon the cited person personally or by certified mail in accordance with the provisions of Section 11505(c) of the Government Code.
NOTE

Authority cited: Sections 125.9, 148, 149, 4980.60, 4987 and 4990.20, Business and Professions Code. Reference: Sections 125.9, 148 and 149, Business and Professions Code.
HISTORY

1. New section filed 1-17-97; operative 2-16-97 (Register 97, No. 3).
2. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1886.30. Citation Factors.
Note     •     History

In assessing an administrative fine or issuing an order of abatement, the executive officer of the board shall give due consideration to the following factors:
(a) The gravity of the violation.
(b) The good or bad faith exhibited by the cited person.
(c) The history of previous violations of the same or similar nature.
(d) Evidence that the violation was or was not willful.
(e) The extent to which the cited person has cooperated with the board's investigation.
(f) The extent to which the cited person has mitigated or attempted to mitigate any damage or injury caused by the violation.
(g) Any other factors as justice may require.
NOTE

Authority cited: Sections 125.9, 148, 149, 4980.60, 4987 and 4990.20, Business and Professions Code. Reference: Sections 125.9, 148 and 149, Business and Professions Code.
HISTORY

1. New section filed 1-17-97; operative 2-16-97 (Register 97, No. 3).
2. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1886.40. Amount of Fines.
Note     •     History

(a) For purposes of this section, a “citable offense” is defined as any violation of the statutes and regulations enforced by the Board of Behavioral Sciences, including Chapters 13, 13.5, 14, and 16 of Division Two of the Business and Professions Code and Title 16, Division 18, California Code of Regulations.
(b) The executive officer of the board may assess fines for citable offenses which shall not exceed two thousand five hundred dollars ($2,500) for each investigation except as otherwise provided in this section. The executive officer shall not impose any duplicate fines for the same violation.
(c) The executive officer of the board may assess fines for citable offenses which shall not exceed five thousand ($5,000) for each investigation if the violation or count includes one or more of the following circumstances:
(1) The cited person has a history of two or more prior citations for similar violations, except for citations withdrawn or dismissed after appeal.
(2) The citation involves multiple violations that demonstrate a willful disregard of the statutes or regulations.
(3) The citation is for a violation or violations involving a minor, elder or dependent adult, or a person with a physical or mental disability as defined in Section 12926 of the Government Code.
(4) The citation involves unlicensed practice.
(5) The citation involves an unlawful or unauthorized breach of confidentiality.
(6) The citation is for failure to submit fingerprints to the Department of Justice as required by the Board.
(d) The executive officer of the board may assess fines which shall not exceed five thousand dollars ($5,000) for each violation or count if the violation or count involves fraudulent billing submitted to an insurance company, the Medi-Cal program, or Medicare.
NOTE

Authority cited: Sections 125.9, 148, 149, 4980.60 and 4990.20, Business and Professions Code. Reference: Sections 123, 125, 125.9, 136, 141, 148, 149, 480, 651, 654.2, 703, 728, 4980, 4980.02, 4980.30, 4980.43, 4980.44, 4980.45, 4980.46, 4980.48, 4982, 4982.25, 4984, 4987.7, 4987.8, 4988, 4988.1, 4989.10, 4989.12, 4989.14, 4989.20, 4989.22, 4989.24, 4989.26, 4989.28, 4989.34, 4992.3, 4992.36, 4996, 4996.5, 4996.7, 4996.8, 4996.9, 4996.16, 4996.18, 4996.19, 4996.22, 4996.23, 4998.2, 4998.3, 4998.4, 4999.20, 4999.24, 4999.30, 4999.32, 4999.33, 4999.42, 4999.44, 4999.45, 4999.46, 4999.54, 4999.58, 4999.60 and 4999.76, Business and Professions Code; and Section 15630, Welfare and Institutions Code.
HISTORY

1. New section filed 1-17-97; operative 2-16-97 (Register 97, No. 3).
2. Amendment of section heading, section and Note filed 8-4-2006; operative 9-3-2006 (Register 2006, No. 31).
3. New subsection (c)(6) and amendment of Note filed 5-20-2009; operative 6-19-2009 (Register 2009, No. 21). 
4. Amendment of subsection (a) and Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1886.50. Exceptions.
Note     •     History

A citation shall not be issued in any of the following circumstances:
(a) The violation is of such a nature and/or severity that revocation of the license or restrictions on the cited person are necessary in order to ensure consumer protection.
(b) The cited person failed to comply with any requirement of any previous citation, including any order of abatement or fine.
NOTE

Authority cited: Sections 125.9, 148, 149, 4980.60, 4987 and 4990.20, Business and Professions Code. Reference: Sections 125.9, 148 and 149, Business and Professions Code.
HISTORY

1. New section filed 1-17-97; operative 2-16-97 (Register 97, No. 3).
2. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1886.60. Compliance with Citation/Order of Abatement.
Note     •     History

(a) If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, the cited person may request an extension of time in which to complete the correction from the executive officer of the board. Such a request shall be in writing and shall be made within the time set forth for abatement.
(b) If a citation is not contested, or if the citation is contested and the cited person does not prevail, failure to abate the violation or to pay the assessed fine within the time allowed shall constitute a violation and a failure to comply with the citation or order of abatement.
(c) Failure to timely comply with an order of abatement or pay an assessed fine may result in disciplinary action being taken by the board or other appropriate judicial action being taken against the cited person.
(d) If a fine is not paid after a citation has become final, the fine shall be added to the cited person's license or registration renewal fee. A license or registration shall not be renewed without payment of the renewal fee and fine.
NOTE

Authority cited: Sections 125.9, 148, 149, 4980.60, 4987 and 4990.20, Business and Professions Code. Reference: Sections 125.9, 148 and 149, Business and Professions Code; and Section 11505(c), Government Code.
HISTORY

1. New section filed 1-17-97; operative 2-16-97 (Register 97, No. 3).
2. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1886.70. Contested Citations and Request for a Hearing or Informal Citation Conference.
Note     •     History

(a) If a cited person wishes to contest the citation, assessment of the administrative fine, or order of abatement, the cited person shall, within thirty (30) days after service of the citation, file in writing a request for an administrative hearing to the executive officer regarding the acts charged in the citation, as provided for in subdivision (b)(4) of Section 125.9 of the Code.
(b) In addition to or instead of requesting an administrative hearing, as provided for in subdivision (b)(4) of Section 125.9 of the Code, the cited person may, within 30 days after service of the citation, contest the citation by submitting a written request for an informal citation conference to the executive officer or his/her designee.
(c) Upon receipt of a written request for an informal citation conference, the executive officer or his/her designee shall, within 60 days, hold an informal citation conference with the cited person. The cited person may be accompanied and represented at the informal conference by an attorney or other authorized representative.
(d) If an informal citation conference is held, the request for an administrative hearing shall be deemed to be withdrawn and the executive officer or his/her designee may affirm, modify or dismiss the citation, including any fine levied or order of abatement issued, at the conclusion of the informal citation conference. If affirmed or modified, the citation originally issued shall be considered withdrawn and an affirmed or modified citation, including reasons for the decision, shall be issued. The affirmed or modified citation shall be mailed to the cited person and his/her counsel, if any, within 10 days from the date of the informal citation conference.
(e) If a cited person wishes to contest an affirmed or modified citation, the cited person shall, within 30 days after service of the citation, contest the affirmed or modified citation by submitting a written request for an administrative hearing, as provided for in subdivision (b)(4) of Section 125.9 of the Code, to the executive officer or his or her designee. An informal citation conference shall not be held on affirmed or modified citations.
NOTE

Authority cited: Sections 125.9, 148, 149, 4980.60, 4987 and 4990.20, Business and Professions Code. Reference: Sections 125.9, 148 and 149, Business and Professions Code.
HISTORY

1. New section filed 1-17-97; operative 2-16-97 (Register 97, No. 3).
2. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1886.80. Disconnection of Telephone Service.
Note     •     History

Nothing in this section shall preclude the board from using the provisions of Section 149 of the Code in addition to any citation issued to an unlicensed person.
NOTE

Authority cited: Sections 125.9, 148, 149, 4980.60, 4987 and 4990.20, Business and Professions Code. Reference: Sections 125.9, 148 and 149, Business and Professions Code.
HISTORY

1. New section filed 1-17-97; operative 2-16-97 (Register 97, No. 3).
2. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
Article 8. Continuing Education Requirements for Marriage and Family Therapists, Licensed Clinical Social Workers, Licensed Educational Psychologists, and Licensed Professional Clinical Counselors
§1887. Definitions.
Note     •     History

As used in this article:
(a) A continuing education “course” means a form of systematic learning at least one hour in length including, but not limited to, academic studies, extension studies, lectures, conferences, seminars, workshops, viewing of videotapes or film instruction, viewing or participating in other audiovisual activities including interactive video instruction and activities electronically transmitted from another location which has been verified and approved by the continuing education provider, and self-study courses.
(b) A “self-study course” means a form of systematic learning performed at a licensee's residence, office, or other private location including, but not limited to, listening to audiotapes or participating in self-assessment testing (open-book tests that are completed by the member, submitted to the provider, graded, and returned to the member with correct answers and an explanation of why the answer chosen by the provider was the correct answer).
(c) A continuing education “provider” means an accredited or approved school, or an association, health facility, governmental entity, educational institution, individual, or other organization that offers continuing education courses and meets the requirements contained in this article.
(d) An “initial renewal period” means the period from issuance of an initial license to the license's first expiration date.
(e) A “renewal period” means the two-year period which spans from a license's expiration date to the license's next expiration date.
NOTE

Authority cited: Sections 4980.60, 4989.34, 4999.76 and 4990.20, Business and Professions Code. Reference: Sections 4980.54, 4989.34, 4996.22 and 4999.76, Business and Professions Code.
HISTORY

1. New article 8 (sections 1887-1887.12) and section filed 5-19-97; operative 5-19-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 21).
2. Editorial correction of article heading (Register 98, No. 9).
3. Amendment of subsections (a) and (b) filed 1-16-2003; operative 2-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 3).
4. Change without regulatory effect amending article heading filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
5. Amendment of article heading, new subsection (d), subsection relettering and amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1887.1. License Renewal Requirements.
Note     •     History

(a) Except as provided in Section 1887.2, a licensee shall certify in writing, when applying for license renewal, by signing a statement under penalty of perjury that during the preceeding renewal period the licensee has completed thirty-six (36) hours of continuing education credit as set forth in Sections 4980.54, 4989.34, 4996.22, and 4999.76 of the Code.
(b) A licensee who falsifies or makes a material misrepresentation of fact when applying for license renewal or who cannot verify completion of continuing education by producing a record of course completion, upon request by the board, is subject to disciplinary action under Sections 4982(b), 4989.54(b), 4992.3(b), and 4999.90(b) of the Code.
(c) Licensed educational psychologists shall be subject to the license renewal requirements of this section as specified:
(1) Beginning January 1, 2012 and through December 31, 2012 licensees shall certify in writing, when applying for license renewal, by signing a statement under penalty of perjury that during the preceding renewal period the licensee has completed eighteen (18) hours of continuing education. 
(2) On and after January 1, 2013 licensees shall meet all of the requirements of subdivisions (a) and (b). 
NOTE

Authority cited: Sections 4980.60, 4989.34, 4990.20 and 4999.76, Business and Professions Code. Reference: Sections 4980.54, 4989.34, 4996.22 and 4999.90, Business and Professions Code.
HISTORY

1. New section filed 5-19-97; operative 5-19-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 21).
2. Amendment of section and Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1887.2. Exceptions from Continuing Education Requirements.
Note     •     History

(a) A licensee in his or her initial renewal period shall complete at least eighteen (18) hours of continuing education, of which no more than nine (9) hours may be earned through self-study courses, prior to his or her first license renewal.
(b) A licensed educational psychologist that renews his or her license beginning January 1, 2012 and through December 31, 2012 shall complete at least eighteen (18) hours of continuing education prior to his or her license renewal. 
(c) A licensee is exempt form the continuing education requirement if his or her license is inactive pursuant to Sections 4984.8, 4989.44, 4997 or 4999.112 of the Code.
(d) A licensee may submit a written request for exception from, or reasonable accommodation for, the continuing education requirement, on a form entitled “Request for Continuing Education Exception -- Licensee Application,” Form No. 1800 37A-635 (Rev 3/10), hereby incorporated by reference, for any of the reasons listed below. The request must be submitted to the board at least sixty (60) days prior to the expiration date of the license. The board will notify the licensee, within thirty (30) working days after receipt of the request for exception or reasonable accommodation, whether the exception or accommodation was granted. If the request for exception or accommodation is denied, the licensee is responsible for completing the full amount of continuing education required for license renewal. If the request for exception or accommodation is approved, it shall be valid for one renewal period.
(1) The Board shall grant an exception if the licensee can provide evidence, satisfactory to the board that:
(A) For at least one year during the licensee's previous license renewal period the licensee was absent from California due to military service;
(B) For at least one year during the licensee's previous license renewal period the licensee resided in another country; or
(2) The board may grant a reasonable accommodation if, for at least one year during the licensee's previous license renewal period, the licensee or an immediate family member, including a domestic partner, where the licensee is the primary caregiver for that family member, had a physical or mental disability or medical condition as defined in Section 12926 of the Government Code. The physical or mental disability or medical condition must be verified by a licensed physician or psychologist with expertise in the area of the physical or mental disability or medical condition. Verification of the physical or mental disability or medical condition must be submitted by the licensee on a form entitled “Request for Continuing Education Exception -- Verification of Disability or Medical Condition,” Form No. 1800 37A-636 (New 03/10), hereby incorporated by reference.
NOTE

Authority cited: Sections 4980.54, 4980.60, 4989.34, 4990.20(a), 4996.22 and 4999.76, Business and Professions Code; and Sections 12944 and 12926, Government Code. Reference: Sections 4980.54, 4989.34, 4996.22 and 4999.76, Business and Professions Code.
HISTORY

1. New section filed 5-19-97; operative 5-19-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 21).
2. Change without regulatory effect amending subsection (b) filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
3. Amendment of subsection (a) and amendment of Note filed 2-19-2008; operative 3-20-2008 (Register 2008, No. 8).
4. Amendment of section and Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1887.3. Continuing Education Course Requirements.
Note     •     History

(a) During each renewal period, a licensee shall accrue at least thirty-six (36) hours of continuing education coursework as defined in Section 1887.4. A licensee may accrue no more than eighteen (18) hours of continuing education earned through self-study courses during each renewal period.
(b) A marriage and family therapist and clinical social worker licensee who started graduate study prior to January 1, 1986, shall take a continuing education course in the detection and treatment of alcohol and other chemical substance dependency during their first renewal period after the adoption of these regulations. The course shall be at least seven (7) hours in length and its content shall comply with the requirements of Section 29 of the Code. This is a one-time requirement for those licensees specified above.
Equivalent alcohol and other chemical substance dependency courses taken prior to the adoption of these regulations, or proof of equivalent teaching or practice experience, may be submitted to the board upon request in lieu of this requirement; however, this coursework or experience shall not be credited as hours toward the continuing education requirements.
(c) Pursuant to Section 32 of the Code, a marriage and family therapist and clinical social worker licensee shall take a continuing education course in the characteristics and methods of assessment and treatment of people living with human immunodeficiency virus (HIV) and acquired immune deficiency syndrome (AIDS) during their first renewal period after the adoption of these regulations. The course shall be at least seven (7) hours in length and its content shall comply with the requirements of Section 32 of the Code. This is a one-time requirement for all licensees.
Equivalent HIV and AIDS courses taken prior to the adoption of these regulations, or proof of equivalent teaching or practice experience, may be submitted to the board upon request in lieu of this requirement; however, this coursework or experience shall not be credited as hours toward the continuing education requirements.
(d) Any person renewing his or her license on and after January 1, 2004 shall complete a minimum of six (6) hours of continuing education in the subject of law and ethics for each renewal period. The six (6) hours shall be considered part of the thirty-six (36) hour continuing education requirement.
(e) If a licensee teaches a course, the licensee may claim credit for the course only one time during a single renewal period, receiving the same amount of hours of continuing education credit as a licensee who attended the course.
(f) A licensee may not claim the same course more than once during a single renewal period for hours of continuing education credit.
(g) A licensee who takes a course as a condition of probation resulting from disciplinary action by the board may not apply the course as credit towards the continuing education requirement.
(h) Provisions of this section shall apply to licensed educational psychologists as follows: 
(1) Beginning January 1, 2012 and through December 31, 2012 licensees shall complete at least eighteen (18) hours of continuing education prior to his or her license renewal, in accordance with subdivision (d) through (g). 
(2) On and after January 1, 2013, licensees shall meet the requirements of subdivision (a) through (g). 
NOTE

Authority cited: Sections 4980.60, 4989.34, 4990.20 and 4999.76, Business and Professions Code. Reference: Sections 29, 32, 4980.54, 4989.34, 4996.22 and 4999.76, Business and Professions Code.
HISTORY

1. New section filed 5-19-97; operative 5-19-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 21).
2. New subsection (d) and subsection relettering filed 12-4-2001; operative 1-1-2002 pursuant to Government Code section 11343.4 (Register 2001, No. 49). 
3. Amendment of subsection (a) and amendment of Note filed 2-19-2008; operative 3-20-2008 (Register 2008, No. 8).
4. Amendment of section and Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1887.4. Continuing Education Course Content.
Note     •     History

(a) A provider shall ensure that the content of a course shall be relevant to the practice of marriage and family therapy, educational psychology, professional clinical counselor, or clinical social work and meet the requirements set forth in sections 4980.54, 4989.34, 4996.22, and 4999.76 of the Code. The content of a course shall also be related to direct or indirect patient/client care.
(1) Direct patient/client care courses cover specialty areas of therapy (e.g., theoretical frameworks for clinical practice; intervention techniques with individuals, couples, or groups).
(2) Indirect patient/client care courses cover pragmatic aspects of clinical practice (e.g., legal or ethical issues, consultation, recordkeeping, office management, insurance risks and benefits, managed care issues, research obligations, supervision training).
(b) A provider shall ensure that a course has specific objectives that are measurable.
(c) Upon completion of a course, a licensee shall evaluate the course through some type of evaluation mechanism.
NOTE

Authority cited: Sections 4980.60, 4989.34, 4990.20 and 4990.76, Business and Professions Code. Reference: Sections 4980.54, 4989.34, 4996.22 and 4999.76, Business and Professions Code.
HISTORY

1. New section filed 5-19-97; operative 5-19-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 21).
2. Change without regulatory effect amending subsection (a) filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
3. Change without regulatory effect amending subsection (a) filed 10-18-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 42).
4. Amendment of subsection (a) and Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1887.5. Hours of Continuing Education Credit.
Note     •     History

(a) One hour of instruction is equal to one hour of continuing education credit.
(b) One academic quarter unit is equal to ten (10) hours of continuing education credit.
(c) One academic semester unit is equal to fifteen (15) hours of continuing education credit.
NOTE

Authority cited: Sections 4980.60, 4989.34, 4990.20 and 4999.76, Business and Professions Code. Reference: Sections 4980.54, 4989.34, 4996.22 and 4999.76, Business and Professions Code.
HISTORY

1. New section filed 5-19-97; operative 5-19-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 21).
2. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1887.6. Continuing Education Providers.
Note     •     History

A continuing education course shall be taken from:
(a) an accredited or approved postsecondary institution that meets the requirements set forth in Sections 4980.54(f)(1), 4989.34, 4996.22(d)(1), or 4999.76(d) of the Code; or
(b) a board-approved provider with a valid, current approval as provided in Section 1887.7.
NOTE

Authority cited: Sections 4980.60, 4989.34, 4990.20 and 4999.76, Business and Professions Code. Reference: Sections 4980.54, 4989.34, 4996.22 and 4999.76, Business and Professions Code.
HISTORY

1. New section filed 5-19-97; operative 5-19-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 21).
2. Amendment of section and Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1887.7. Board-Approved Providers.
Note     •     History

(a) A continuing education provider must meet the board's course content and instructor qualifications criteria, as provided under this article, to qualify to become a board-approved provider.
(b) A continuing education provider shall submit a completed Continuing Education Provider Application (Form no. 1800 37A-633, Rev. 3/10), hereby incorporated by reference, remit the appropriate fees, and obtain a continuing education provider number from the board to become a board-approved provider.
(c) A provider may not apply for a new provider approval number within one year of an existing approval's expiration unless the provider has undergone a change of ownership.
(d) A provider approval issued under this section shall expire on the last day of the twenty-fourth month after the approval issue date. To renew an unexpired provider approval, the provider shall, on or before the expiration date of the approval, pay the two-year renewal fee set forth in Section 1816 of these regulations.
(e) When a provider's approval is expired, the provider may not present a course for continuing education credits for licensees of the Board of Behavioral Sciences.
(f) Board-approved provider numbers are non-transferable.
(g) The Board shall send a renewal notice, at least thirty (30) days prior to the expiration, to any continuing education provider approved by the Board, to the address of record for such provider.
NOTE

Authority cited: Sections 4980.60, 4989.34, 4990.20 and 4999.76, Business and Professions Code. Reference: Sections 4980.54, 4989.34, 4996.22 and 4999.76, Business and Professions Code.
HISTORY

1. New section filed 5-19-97; operative 5-19-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 21).
2. Change without regulatory effect amending subsection (b) filed 4-19-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
3. New subsections (c), (e) and (g), subsection relettering, amendment of newly designated subsections (d) and (f) and amendment of Note filed 12-27-2007; operative 1-26-2008 (Register 2007, No. 52).
4. Amendment of subsection (b) and Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1887.8. Revocation and Denial of Board-Approved Provider Status.
Note     •     History

(a) The board may revoke its approval of a provider or deny a provider application for good cause. Good cause includes, but is not limited to, the following:
(1) a provider is convicted of a felony or misdemeanor offense substantially related to the activities of a board-approved provider;
(2) a provider, who is a licensee of the board, fails to comply with any provisions of Chapters 13, 13.5, 14 and 16 of the Business and Professions Code or Title 16, Division 18 of the California Code of Regulations; or
(3) a provider makes a material misrepresentation of fact in information submitted to the board.
(b) After a thorough case review, should the board decide to revoke or deny its approval of a provider, it shall give the provider written notice setting forth its reasons for revocation or denial. The provider may appeal the revocation or denial in writing, within fifteen (15) days after receipt of the revocation or denial notice, and request a hearing with the board's designee. The revocation is stayed at this point.
Should the board's designee decide to uphold the revocation or denial, the provider may appeal the decision of the board's designee in writing, within seven (7) days after receipt of the decision of the board's designee, and request a hearing with a continuing education appeals committee appointed by the board chairperson. The hearing will take place at the next regularly scheduled board meeting, provided the appeal is received before the meeting is noticed to the public. It is at the discretion of the board's designee whether to stay the revocation further.
The continuing education appeals committee shall contain three board members, one public board member and two members representing two of the three license types regulated by the board. The decision of the continuing education appeals committee is final.
NOTE

Authority cited: Sections 4980.60, 4989.34, 4990.20 and 4999.76, Business and Professions Code. Reference: Sections 4980.54, 4989.34, 4996.22 and 4999.76, Business and Professions Code.
HISTORY

1. New section filed 5-19-97; operative 5-19-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 21).
2. Amendment of subsection (a)(2) and Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1887.9. Course Advertisements.
Note     •     History

A provider shall ensure that information publicizing a continuing education course is accurate and includes the following:
(a) the provider's name;
(b) the provider number, if a board-approved provider;
(c) the statement “Course meets the qualifications for            hours of continuing education credit for MFTs, LPCCs, LEPs and/or LCSWs as required by the California Board of Behavioral Sciences”;
(d) the provider's policy on refunds in cases of non-attendance by the registrant; and
(e) a clear, concise description of the course content and objectives.
NOTE

Authority cited: Sections 4980.60, 4989.34, 4990.20 and 4999.76, Business and Professions Code. Reference: Sections 4980.54, 4989.34, 4996.22 and 4999.76, Business and Professions Code.
HISTORY

1. New section filed 5-19-97; operative 5-19-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 21).
2. Change without regulatory effect amending subsection (c) filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
3. Amendment of subsection (c) and Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1887.10. Course Instructor Qualifications.
Note     •     History

(a) A provider shall ensure that an instructor teaching a course has at least two of the following minimum qualifications:
(1) a license, registration, or certificate in an area related to the subject matter of the course. The license, registration, or certificate shall be current, valid, and free from restrictions due to disciplinary action by this board or any other health care regulatory agency;
(2) a master's or higher degree from an educational institution in an area related to the subject matter of the course;
(3) training, certification, or experience in teaching subject matter related to the subject matter of the course; or
(4) at least two years' experience in an area related to the subject matter of the course.
(b) During the period of time that any instructor has a healing arts license that is restricted pursuant to a disciplinary action in California or in any other state or territory, that instructor shall notify all approved continuing education providers for whom he or she provides instruction of such discipline before instruction begins or immediately upon notice of the decision, whichever occurs first.
NOTE

Authority cited: Sections 4980.60, 4989.34, 4990.20 and 4999.76 , Business and Professions Code. Reference: Sections 4980.54, 4982.15, 4989.34, 4996.22 and 4999.76, Business and Professions Code.
HISTORY

1. New section filed 5-19-97; operative 5-19-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 21).
2. Amendment redesignating first paragraph as subsection (a) and former subsections (a)-(d) as new subsections (a)(1)-(4), adding new subsection (b) and amending Note filed 8-17-99; operative 9-16-99 (Register 99, No. 34).
3. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1887.11. Records of Course Completion.
Note     •     History

Upon completion of a course, a provider shall issue a record of course completion to a licensee (e.g., letters of verification of attendance, certificates, gradeslips, transcripts) containing the following information:
(a) name of license and license number or other identification number;
(b) course title;
(c) provider name and address;
(d) provider number, if a board-approved provider;
(e) date of course;
(f) number of hours of continuing education credit; and
(g) signature of course instructor, provider, or provider designee.
NOTE

Authority cited: Sections 4980.60, 4989.34, 4990.20 and 4999.76, Business and Professions Code. Reference: Sections 4980.54, 4989.34, 4996.22 and 4999.76, Business and Professions Code.
HISTORY

1. New section filed 5-19-97; operative 5-19-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 21).
2. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1887.12. Licensee and Provider Course Records.
Note     •     History

(a) A licensee shall maintain records of course completion for a period of at least two (2) years from the date of license renewal for which the course was completed.
(b) A provider shall maintain records related to continuing education courses for a period of at least four (4) years. Records shall include:
(1) syllabi for all courses;
(2) the time and location of all courses;
(3) course advertisements;
(4) course instructors' vitaes or resumes;
(5) attendance rosters with the names and license numbers of licensees who attended the courses;
(6) sign-in sheets; and
(7) records of course completion issued to licensees who attended the courses.
(c) The board may audit the course records of a provider to ensure compliance with the board's continuing education requirements.
NOTE

Authority cited: Sections 4980.60, 4989.34, 4990.20 and 4999.76, Business and Professions Code. Reference: Sections 4980.54, 4989.34, 4996.22 and 4999.76, Business and Professions Code.
HISTORY

1. New section filed 5-19-97; operative 5-19-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 21).
2. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1887.13. Renewal of Expired Approval.
Note     •     History

A provider approval that has expired may be renewed at any time within one (1) year after its expiration upon all of the following:
(a) Filing an application for renewal on a form prescribed by the board.
(b) Payment of the renewal fee in effect on the last regular renewal date.
(c) Payment of the delinquency fee in effect on the last regular renewal date.
(d) Submission of a letter stating that no courses were presented while the provider's approval status was expired. If a course was presented during that time, the letter shall state that all participants have been notified that the provider's approval status at the time of completion of the continuing education was expired and that continuing education hours will not be disallowed by the Board if the provider renews within one (1) year after its expiration.
NOTE

Authority cited: Sections 4980.60, 4989.34, 4990.20 and 4999.76, Business and Professions Code. Reference: Sections 4980.54, 4989.34, 4996.22 and 4999.76, Business and Professions Code.
HISTORY

1. New section filed 12-27-2007; operative 1-26-2008 (Register 2007, No. 52).
2. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
§1887.14. Time Limit for Renewal of Approval After Expiration; New Approval.
Note     •     History

A provider approval that is not renewed within one year of its expiration date may not be renewed, reinstated, or reissued thereafter, but the provider may apply for and obtain a new approval if:
(a) No fact, circumstance, or condition exists that, if the approval were issued, would justify its revocation; and
(b) The applicant pays the fees that would be required if applying for approval for the first time.
NOTE

Authority cited: Sections 4980.60, 4989.34, 4990.20 and 4999.76, Business and Professions Code. Reference: Sections 4980.54, 4989.34, 4996.22 and 4999.76, Business and Professions Code.
HISTORY

1. New section filed 12-27-2007; operative 1-26-2008 (Register 2007, No. 52).
2. Amendment of Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
Article 9. Disciplinary Guidelines
§1888. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), the Board of Behavioral Sciences shall consider the disciplinary guidelines entitled “Board of Behavioral Sciences Disciplinary Guidelines” [Rev. March 2010] which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the Board in its discretion determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Sections 4980.60, 4987 and 4990.20, Business and Professions Code; and Section 11400.20, Government Code. Reference: Sections 4982, 4986.70, 4992.3 and 4999.90, Business and Professions Code; and Sections 11400.20 and 11425.50(e), Government Code.
HISTORY

1. New article 9 (section 1888) and section filed 7-1-97; operative 7-1-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 27).
2. Amendment of the document, “Board of Behavioral Sciences Disciplinary Guidelines” (incorporated by reference) and amendment of section and Note filed 3-25-2002; operative 4-24-2002 (Register 2002, No. 13).
3. Amendment of the document “Board of Behavioral Sciences Disciplinary Guidelines” and amendment of section and Note filed 7-22-2005; operative 8-21-2005 (Register 2005, No. 29).
4. Amendment of the document, “Board of Behavioral Sciences Disciplinary Guidelines” (incorporated by reference) and amendment of section filed 6-3-2009; operative 7-3-2009 (Register 2009, No. 23).
5. Submission restoring text that was inadvertently omitted from the 6-3-2009 amendment of the document, “Board of Behavioral Sciences Disciplinary Guidelines” (incorporated by reference) filed 10-8-2009; operative 10-8-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 41).
6. Amendment of document, “Board of Behavioral Sciences Disciplinary Guidelines” (incorporated by reference) and amendment of section and Note filed 5-24-2011; operative 5-24-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 21). 
Article 10. Group Advertising and Referral Services for Marriage and Family Therapist
§1889. Definitions.
Note     •     History

An “MFT referral service” means a group advertising and referral service for marriage and family therapists as provided for in Section 650.4 of the Code.
NOTE

Authority cited: Sections 650.4 and 4980.60, Business and Professions Code. Reference: Section 650.4, Business and Professions Code.
HISTORY

1. New article 10 (sections 1889-1889.3) and section filed 11-5-97; operative 12-5-97 (Register 97, No. 45).
2. Change without regulatory effect amending article heading and section filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
3. Change without regulatory effect amending section filed 10-18-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 42).
§1889.1. Registration.
Note     •     History

(a) The board shall issue a registration for an MFT referral service to an applicant who submits:
(1) a completed MFT Referral Service Registration Application (form no. 37A-309, new 8/97), hereby incorporated by reference;
(2) a copy of the service's standard form contract regulating its relationship with member marriage and family therapists, demonstrating compliance with Section 650.4 of the Code and this article; and
(3) a copy of the service's advertising, demonstrating compliance with Section 650.4 of the Code and this article.
(b) An MFT referral service registration issued under this section shall remain valid until suspended or revoked, or until the MFT referral service notifies the board in writing that the service has discontinued referrals to any marriage and family therapists and no longer desires registration, provided there are no pending disciplinary actions on the MFT referral service's registration.
(c) It is unlawful for any MFT referral service to make referrals to participating or member marriage and family therapists unless at the time of so doing such service holds a registration that is valid and in good standing.
(d) An MFT referral service registration is non-transferrable.
(e) An MFT referral service shall notify the board within thirty (30) days concerning any changes or modifications to the service's standard form contract regulating its relationship with member marriage and family therapists, providing a copy of the new contract to the board.
NOTE

Authority cited: Sections 650.4 and 4980.60, Business and Professions Code. Reference: Section 650.4, Business and Professions Code.
HISTORY

1. New section filed 11-5-97; operative 12-5-97 (Register 97, No. 45).
2. Change without regulatory effect amending section filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
3. Change without regulatory effect amending subsections (a)(2), (b), (c) and (e) filed 10-18-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 42).
§1889.2. Revocation or Denial of Registration.
Note     •     History

(a) The board may revoke its registration of an MFT referral service or deny an MFT referral service application for good cause. For the purposes of this subsection, “responsible party” includes any owner, co-owner, or member on the board of directors of an MFT referral service. Good cause includes, but is not limited to, the following:
(1) The responsible party of an MFT referral service is convicted of a felony or misdemeanor offense substantially related to the activities of an MFT referral service;
(2) the responsible party of an MFT referral service, who is a licensee of the board, fails to comply with any provisions of Chapters 13 and 14 of the Business and Professions Code or Title 16, Division 18 of the California Code of Regulations;
(3) an MFT referral service fails comply with any provisions of Sections 650, 650.4, or 651 of the Code or these regulations; or
(4) an MFT referral service makes a material misrepresentation of fact in information submitted to the board.
(b) After a thorough case review, should the board decide to revoke or deny its registration of an MFT referral service, it shall give the MFT referral service written notice setting forth its reasons for revocation or denial. The MFT referral service may appeal the revocation or denial in writing, within fifteen (15) days after service of the revocation or denial notice, and request a hearing with the board's designee. The revocation is stayed at this point.
Should the board's designee decide to uphold the revocation or denial, the MFT referral service may appeal the decision of the board's designee in writing, within fifteen (15) days after service of the decision of the board's designee, and request a hearing with a referral services appeals committee appointed by the board chairperson. The hearing will take place at the next regularly scheduled board meeting, provided the appeal is received before the meeting is noticed to the public. It is at the discretion of the board's designee whether to stay the revocation further.
The referral services appeals committee shall contain three board members, one of whom shall be a public member, and two whom shall be members representing two of the three license types regulated by the board. The decision of the referral services appeals committee is final.
NOTE

Authority cited: Sections 650.4 and 4980.60, Business and Professions Code. Reference: Section 650.4, Business and Professions Code.
HISTORY

1. New section filed 11-5-97; operative 12-5-97 (Register 97, No. 45).
2. Change without regulatory effect amending section filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
§1889.3. Advertising and Referral Guidelines.
Note     •     History

(a) An MFT referral service shall advertise and make referrals in accordance with Sections 650.4 and 651 of the Code and Section 1811 of these regulations.
(b) An MFT referral service shall only make referrals to marriage and family therapists with current, valid licenses. Referrals made to marriage and family therapists on probation shall be made in accordance with the terms of probation set by the board.
NOTE

Authority cited: Sections 650.4 and 4980.60, Business and Professions Code. Reference: Section 650.4, Business and Professions Code.
HISTORY

1. New section filed 11-5-97; operative 12-5-97 (Register 97, No. 45).
2. Change without regulatory effect amending section filed 4-25-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 17).
3. Change without regulatory effect amending subsection (b) filed 10-18-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 42).
Division 19. Structural Pest Control Board

(Originally Printed 12-5-46)
Article 1. General Provisions
§1900. Location of Offices
Note     •     History

NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8530, Business and Professions Code.
HISTORY

1. Amendment filed 3-15-79; effective thirtieth day thereafter (Register 79, No. 11).
2. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§1901. Tenses, Gender, and Numbers.
History

HISTORY

1. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§1902. Definitions.
Note     •     History

For the purpose of these rules and regulations, “board” means the State Structural Pest Control Board, and “code” means the Business and Professions Code.
NOTE

Authority cited: Sections 8520 and 8525, Business and Professions Code. Reference: Section 8525, Business and Professions Code.
HISTORY

1. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§1903. Delegation of Certain Functions.
Note     •     History

The board delegates to the registrar and executive secretary or in his or her absence from the office of the board, the acting registrar and executive secretary the power and discretion conferred by law upon the board to determine compliance by a licensee or registered company with the provisions of Chapter 14 of Division 3 of the code and rules and regulations adopted thereunder as follows: 
(a) to send notices of non-compliance pursuant to Section 8622 of the code;
(b) to receive and file accusations;
(c) to issue notices of hearings, statement to respondent, and statements of issues;
(d) to receive and file notices of defense;
(e) to determine the time and place of hearing under Section 11508 of the Government Code;
(f) to issue subpoenas and subpoenas duces tecum;
(g) to set and calendar cases for hearings and perform other functions necessary to the efficient dispatch of the business of the board in connection with proceedings under the provisions of Sections 11510 through 11528 of the Government Code, prior to the hearing of such proceedings; and
(h) to certify and deliver or mail copies of decisions under Section 11518 of the Government Code.
NOTE

Authority cited: Sections 8520 and 8525, Business and Professions Code. Reference: Sections 8525 and 8622, Business and Professions Code; and Sections 11508 and 11510-11528, Government Code.
HISTORY

1. Amendment filed 5-8-80; effective thirtieth day thereafter (Register 80, No. 19).
2. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
3. Amendment of first paragraph only filed 3-23-87; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 87, No. 3).
Article 2. Administration
§1910. Robert's Rules of Order.
History

HISTORY

1. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§1910.1. Emergency Conditions for Meetings and Additions to Meeting Agendas.
Note     •     History

NOTE

Authority cited: Section 8525, Business and Professions Code. Reference cited: Section 11125(a), Government Code.
HISTORY

1. New section filed 11-19-79; effective thirtieth day thereafter (Register 79, No. 47).
2. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§1911. Addresses; Change of Address/Employment.
Note     •     History

Each operator, field representative and applicator shall file his or her address of record with the board and shall notify the board of any change in address within ten (10) days of such change. The address of record of a field representative, an operator or an applicator shall be the address of the registered company by which he or she is employed or with which he or she is associated or his or her residence address if he or she is not employed and associated.
Each licensee shall also file his or her address for mailing purposes with the board and shall notify the board of any change in address within ten (10) days of such change.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 136, 8567, 8613 and 8650, Business and Professions Code.
HISTORY

1. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Amendment filed 3-23-87; effective upon filing pursuant to Government Code section 11346.2 (d) (Register 87, No. 13).
3. Amendment filed 5-19-92; operative 6-18-92 (Register 92, No. 21).
4. Amendment of section and Note filed 3-13-96; operative 4-12-96 (Register 96, No. 11).
5. Amendment of section and Note filed 8-12-96; operative 9-11-96 (Register 96, No. 33).
§1912. Branch Offices Registration.
Note     •     History

A registered company that opens a branch office shall notify the board of that fact within 30 days on a written form provided by the board (see form No. 43L-15 at the end of this section) accompanied by the required registration fee.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8509 and 8612, Business and Professions Code.
HISTORY

1. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Repealer of subsection (b) filed 1-30-85; effective thirtieth day thereafter (Register 85, No. 5).
3. Amendment filed 3-23-87; effective upon filing pursuant to Government Code Section 11346.2 (d) (Register 87, No. 13). 
4. Change without regulatory effect amending section filed 5-17-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 21).

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§1913. Different Name Style--Same Entity.
Note     •     History

A branch office may not be registered in a name style different from that shown on the certificate of the registered company. A registered company which wishes to conduct an additional business in a name style different from that which is shown on its company registration certificate shall obtain a separate company registration certificate for each such business.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8612, Business and Professions Code.
HISTORY

1. New NOTE filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Amendment filed 3-23-87; effective upon filing pursuant to Government Code section 11346.2 (d) (Register 87, No. 13).
3. Amendment filed 5-13-92; operative 6-12-92 (Register 92, No. 20).
§1914. Name Style--Company Registration.
Note     •     History

No company registration certificate shall be issued in a fictitious name which the board determines is likely to be confused with that of a governmental agency or trade association. No company registration shall be issued in the same name of a firm whose company registration has been suspended or revoked unless a period of at least one year has elapsed from the effective date of the suspension or revocation.
It shall be grounds for disciplinary action for a registered company to use the telephone number and/or name style of a firm whose company registration has been suspended or revoked, without the prior written approval of the board. 
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8525 and 8650, Business and Professions Code.
HISTORY

1. Amendment filed 5-19-78; effective thirtieth day thereafter (Register 78, No. 20).
2. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
3. Amendment filed 3-23-87; effective upon filing pursuant to Government Code Section 11346.2 (d) (Register 87, No. 13).
4. Amendment of first paragraph filed 3-21-2006; operative 4-20-2006 (Register 2006, No. 12).
§1914.1. Limitation Regarding Name Style.
History

HISTORY

1. New section filed 10-29-70; designated effective 11-30-70 (Register 70, No. 44).
2. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§1915. Change of Employment--Operator--Field Representative.
History

HISTORY

1. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§1916. Time Allowed--Replacing Qualifying Manager.
Note     •     History

A registered company which notifies the board of the disassociation of its qualifying manager or branch supervisor within the ten day period prescribed by Section 8571 of the code, shall be granted a period of thirty (30) days in which to replace such person with another qualifying manager or branch supervisor. An additional thirty (30) day extension can be granted by the registrar for good cause.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8571, Business and Professions Code.
HISTORY

1. Amendment filed 1-2-68; effective thirtieth day thereafter (Register 68, No. 1).
2. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
3. Amendment filed 3-23-87; effective upon filing pursuant to Government Code Section 11346.2 (d) (Register 87, No. 13).
§1917. Change of Name.
Note     •     History

When a structural pest control licensee or registered company changes his or her or its name, he or she or it shall file with the registrar an application for change of name on a form prescribed by the board (See form No. 43L-8 at the end of this section) accompanied by the required fee and by a declaration certified under penalty of perjury, stating:
(a) The former name,
(b) The type and number of the pest control license or company registration, and
(c) That the change of name was not for the purpose of defrauding creditors or any other person or persons or for circumventing the provisions of the Business and Professions Code of California or any other law of the United States, State of California or any political subdivision thereof.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8674 and 8650, Business and Professions Code.
HISTORY

1. New section filed 5-19-64; designated effective 9-1-64 (Register 64, No. 11).
2. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
3. Amendment filed 3-23-87; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 87, No. 13). 

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§1918. Supervision of Registered Companies and Branch Offices.
Note     •     History

“Supervise” as used in Business and Professions Code Sections 8506.2, 8610 and 8611 means the oversight, direction, control, and inspection of the daily business of the company and its employees, and the availability to observe, assist, and instruct company employees, as needed to secure full compliance with all laws and regulations governing structural pest control.
In cases of ownership of more than one registered company by the same sole owner, corporation or partnership where the qualifying manager or managers cannot supervise each registered company because of the location of the companies, the qualifying manager or managers may designate an individual or individuals licensed as an operator or as a field representative in the branch or branches of business being conducted to supervise the company. This designated supervisor or supervisors must be under the direct supervision of the qualifying manager or managers. Any such designation of supervisors does not relieve the qualifying manager or managers of responsibility to supervise as required in sections 8506.2 and 8610.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8506.2, 8610 and 8611, Business and Professions Code.
HISTORY

1. New section filed 6-15-89; operative 7-15-89 (Register 89, No. 25).
2. Amendment of section filed 8-12-96; operative 9-11-96 (Register 96, No. 33).
3. Amendment filed 3-21-2006; operative 4-20-2006 (Register 2006, No. 12).
§1919. Research Advisory Panel.
Note     •     History

The research advisory panel shall consist of one member from the Structural Pest Control Board, two representatives from the structural pest control industry, one representative from the Department of Pesticide Regulation and one representative from the University of California.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8674, Business and Professions Code.
HISTORY

1. New section filed 12-26-90; operative 1-25-91 (Register 91, No. 6).
2. Amendment filed 3-13-96; operative 4-12-96 (Register 96, No. 11).
§1920. Citations and Fines
Note     •     History

(a) Authority to Issue Citations and Fines:
(1) The Registrar or Deputy Registrar of the Board is authorized to issue citations which may contain an order of abatement or an administrative fine (“fine”) for violations of the statutes contained in the Structural Pest Control Act (commencing with Business and Professions Code Section 8500) or the regulations adopted by the Board.
(2) Each citation shall be in writing and shall describe with particularity the nature and facts of the violation, including a reference to the statutes(s) or regulation(s) alleged to have been violated. The citation shall be served upon the individual personally or by certified mail.
(b) Citation; Assessment of Fine:
(1) Citations may be issued without the assessment of a fine. The amount of any fine to be levied by the Registrar or Deputy Registrar shall be no more than $5,000. For the issuance of a citation that includes an administrative fine in excess of $2,500, the Registrar or Deputy Registrar shall determine that at least one of the following circumstances apply:
(A) the citation involves a violation that has an immediate relationship to the health and safety of another person;
(B) the cited person has a history of two or more prior citations of the same or similar violations;
(C) the citation involves multiple violations of the Act or these regulations that demonstrate a willful disregard of the law; or,
(D) the citation involves a violation or violations perpetrated against a senior citizen or person with disability.
(2) In determining whether a citation shall contain an order of abatement or a fine and if a fine is to be imposed, the Registrar or Deputy Registrar shall consider the following factors:
(A) Gravity of the violation.
(B) History of previous violations of the same or similar nature.
(C) The good or bad faith exhibited by the cited person.
(D) Evidence that the violation was willful.
(E) The extent to which the cited person cooperated with the Board's investigation.
(F) The extent to which the cited person has mitigated or attempted to mitigate any damage caused by his or her violation.
(G) Such other factors as the Registrar or Deputy Registrar considers relevant.
(c) Citations for Unlicensed Practice:
The Registrar or Deputy Registrar of the Board is authorized to issue citations which may contain order of abatement or a fine against persons who are performing or who have performed services for which a structural pest control license is required under the Structural Pest Control Act. The citation issued under this section shall be separate from and in addition to any other civil or criminal remedies.
(d) Compliance with Orders of Abatement:
When a citation is not contested or if the citation  is appealed and the person cited does not prevail, failure to comply with the order of abatement or to pay the fine in the citation within the time allowed by a licensee may result in disciplinary action being taken by the Board against the person cited, or where the cited person is unlicensed in appropriate judicial relief being taken against the person cited.
(e) Contest of Citations:
(1) In addition to requesting a hearing provided for in subdivision (b)(4) of section 125.9 of the code (hereinafter “administrative hearing”), the person cited may, within ten (10) days after service or receipt of the citation, notify the Registrar or Deputy Registrar, as designated, in writing of his or her request for an informal conference with the designated Registrar or Deputy Registrar. The informal conference shall include at least one, but no more than two, industry members of the Board, as designated by the Registrar.
(2) The informal conference shall be held within 60 days from the receipt of the request of the person cited. At the conclusion of the informal conference, the Registrar or Deputy Registrar may affirm, modify or dismiss the citation, including any fine levied or order of abatement issued. The decision shall state in writing the reasons for the action and shall be served or mailed to the person within ten (10) days from the date of the informal conference.
(3) The person cited does not waive his or her request for an administrative hearing to contest a citation by requesting an informal conference after which the citation is affirmed by the Registrar or Deputy Registrar. If the citation is dismissed after the informal conference, the request for an administrative hearing on the matter of the citation shall be deemed to be withdrawn. If the informal conference results in the modification of the findings of violation(s), the amount of the fine or the order of abatement, the citation shall be considered modified, but not withdrawn. The cited person shall be entitled to an administrative hearing to contest the modified citation if he or she made a request in accordance with subdivision (b)(4) of section 125.9 of the code for an administrative hearing, within thirty (30) days after service of the original citation. The cited person shall not be entitled to an informal conference to contest a modified citation. If the cited person did not make a request for an administrative hearing after service of the original citation, the decision in the modified citation shall be considered a final order.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 8-13-98; operative 9-12-98 (Register 98, No. 33).
2. New section heading filed 7-17-2003; operative 8-16-2003. Submitted to OAL for printing only (Register 2003, No. 29).
3. Change without regulatory effect amending subsections (b)(5) and (e)(3) filed 9-4-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 36).
4. Change without regulatory effect amending subsection (b) filed 12-18-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 51).
5. Redesignation and amendment of portions of subsection (b) as new subsections (b)(1) and (b)(2), new subsections (b)(1)(A)-(D) and redesignation of former subsections (b)(1)-(7) as new subsections (b)(2)(A)-(G) filed 12-30-2005; operative 1-29-2006 (Register 2005, No. 52).
6. Amendment of subsections (e)(1)-(3) filed 3-21-2006; operative 4-20-2006 (Register 2006, No. 12).
§1922. Civil Penalty Actions by Commissioners.
Note     •     History

(a) When taking civil penalty action pursuant to section 8617 of the Business and Professions Code, county agricultural commissioners shall use the provisions of this section to determine the violation class and the fine amount.
(1) For purposes of this section, violation classes shall be designated as “serious,” “moderate,” and “minor.”
(A) “Serious”: Violations that are repeat violations of those in subparagraph (B) or violations which created an actual health or environmental hazard. The fine range for serious violations is $700-$5,000.
(B) “Moderate”: Violations that are repeat violations of those in subparagraph (C) or violations which pose a reasonable possibility of creating a health or environmental effect. The fine range for moderate violations is $250-$1,000.
(C) “Minor”: Violations that did not create an actual health or environmental effect or did not pose a reasonable possibility of creating a health or environmental effect. The fine range for minor violations is $50-$400.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8617, Business and Professions Code.
HISTORY

1. New section filed 5-14-98; operative 6-13-98 (Register 98, No. 20).
2. Amendment of subsections (a)(1)(A)-(C) filed 8-25-2006; operative 9-24-2006 (Register 2006, No. 34).
§1922.3. Course Requirement by County Agricultural Commissioners.
Note     •     History

(a) When, pursuant to Business and Professions Code section 8617, a lawful order is made by a county agricultural commissioner to direct a licensee to take and pass a board approved course of instruction, the licensee prior to taking the course shall submit the name of the course and documentation regarding its content to the same agricultural commissioner for review and approval.
(b) The submittal for approval shall be made within twenty (20) days of the order. The county agricultural commissioner shall make a decision and respond to the licensee within twenty (20) days.
(c) The course of instruction shall have content that directly addresses applicable pesticide use laws, regulations and the practice of structural pest control relating to the violations committed. After completion of the approved course, the licensee shall take and pass an examination provided by the course provider that directly relates to the course content. A passing score for the examination shall reflect that the licensee correctly answered at least seventy percent (70%) of the examination questions.
(d) After passing the examination, the licensee shall obtain a certificate of course completion from the course provider. As proof of compliance, the licensee shall submit the certificate to the county agricultural commissioner who issued the Notice of Proposed Action within twenty (20) days of course completion.
(e) The licensee must comply with the order within ninety (90) days. The commissioner shall have the discretion to extend this date up to one hundred eighty (180) days after issuance of the Notice of Proposed Action.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8616.4 and 8617, Business and Professions Code.
HISTORY

1. New section filed 7-6-2005; operative 8-5-2005 (Register 2005, No. 27).
2. Change without regulatory effect amending subsection (d) filed 10-20-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 42).
Article 3. Licensing
§1934. Board-Approved Operator's License Course.
Note     •     History

Board-approved or Board-developed courses required by section 8565.5 of the Business and Professions Code must have been successfully completed within three years prior to the applicant taking the operator's licensing examination.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8565.5, Business and Professions Code.
HISTORY

1. New section filed 8-13-98; operative 9-12-98 (Register 98, No. 33).
§1935. Examination Procedure.
History

HISTORY

1. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§1936. Form and Date for Filing Application for License.
Note     •     History

(a) An application for an initial operator's or field representative's license shall be:
(1) Filed at the principal office of the board on a form provided by the board (See Form 43L-1 (Rev. 8/06) or Form 43L-14(Rev. 8/90)) which is printed at the end of this section and shall comply with every requirement shown thereon.
(2) Accompanied by the required examination fee. Applications not filed with the board at least 15 days prior to the next scheduled examination will not be considered for that examination.
(b) All documents filed in support of any application will be retained by the board; provided, however, that the board may at its discretion permit such documents to be withdrawn upon substitution of a true copy.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8560-8566 and 8674, Business and Professions Code.
HISTORY

1. Amendment of subsection (b) filed 1-2-68; effective thirtieth day thereafter (Register 68, No. 1).
2. Amendment of subsections (c) and (d) filed 3-15-79; effective thirtieth day thereafter (Register 79, No. 11).
3. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
4. Amendment of subsection (a)(1) and new form 43L-14 filed 6-22-92; operative 7-22-92 (Register 92, No. 26).
5. Amendment of subsection (a)(1) and relocation and amendment of Form 43L-1 from section 1936.1 filed 8-25-2006; operative 9-24-2006 (Register 2006, No. 34).

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Application for

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43L-1 (Rev. 8/06)
§1936.1. Form and Date for Filing Application for Company Registration Certificate.
Note     •     History

(a) An application for a company registration certificate shall be:
(1) Filed at the principal office of the board on a form provided by the board (See Form No. 43L-26 Rev. (3/90) at the end of this section) and shall comply with every requirement shown thereon.
(2) Accompanied by the required company registration fee.
(b) All documents filed in support of any application will be retained by the board; provided, however, that the board may at its discretion permit such documents to be withdrawn upon substitution of a true copy.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8610 and 8674, Business and Professions Code.
HISTORY

1. New section filed 3-23-87; effective upon filing pursuant to Government Code section 11346.2(d) (Register 87, No. 13). 
2. Change without regulatory effect amending subsection (a)(1) filed pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 30).
3. Relocation and amendment of Form 43L-1 to section 1936 and editorial correction of page order of Form 43L-14 filed 8-25-2006; operative 9-24-2006 (Register 2006, No. 34).

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§1936.2 Form for Filing Application for Applicator's License.
Note     •     History

(a) An application for an initial applicator's license shall be:
(1) Filed at the principal office of the board or at the office of one of the board's designated examination administrators, including, but not limited to, county agricultural commissioners, on a form provided by the board (See Form 43E-21 (New 5/95) which is printed at the end of this section) and shall comply with every requirement shown thereon.
(2) Accompanied by the required examination fee.
(b) All documents filed in support of any application will be retained by the board.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8564.5 and 8564.6, Business and Professions Code.
HISTORY

1. New section filed 8-12-96; operative 9-11-96 (Register 96, No. 33).
§1937. Qualification of Applicant.
Note     •     History

(a) “Experience” and “in the employ of,” as used in section 8562(b) of the code and “training and experience” as used in section 8564 of the code means actual field work.
(b) A qualifying manager of a registered company or licensed operator designated by a company shall provide written certification of an employee's or former employee's experience and time accurately and promptly upon written request by the employee. The qualifying manager or designated licensed operator must be licensed in the branch or branches for which he/she is certifying experience and time.
(c) Specific minimum requirements of training and experience are accorded to the branch or branches for which the applicant is applying, as follows:

Branch 1	A minimum of one hundred hours of training and experience in preparation, fumigation, ventilation, and certification required.

Branch 2	A minimum of forty hours of training and experience, twenty hours of which are actual field work, required. The minimum hour requirement must include training and experience in Integrated Pest Management as defined in section 1984, and the impact of structural pest control services on water quality.

Branch 3	A minimum of one hundred hours of training and experience, eighty hours of which are actual field work, required. The minimum hour requirement must include training and experience in Integrated Pest Management, and the impact of structural pest control services on water quality.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8560, 8562 and 8564, Business and Professions Code.
HISTORY

1. New subsection (d) filed 3-15-79; effective thirtieth day thereafter (Register 79, No. 11).
2. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
3. Amendment of subsection (b) filed 3-23-87; effective upon filing pursuant to Government Code section 11346.2(d) (Register 87, No. 13).
4. Amendment filed 6-21-89; operative 7-21-89 (Register 89, No. 25).
5. Editorial correction restoring HISTORY 4. and correct text (Register 91, No. 45).
6. Amendment of subsection (a) and new subsection (c) filed 8-13-98; operative 9-12-98 (Register 98, No. 33).
7. Amendment of subsection (c) filed 3-20-2009; operative 4-19-2009 (Register 2009, No. 12).
§1937.1. Substantial Relation Criteria.
Note     •     History

For the purposes of denial, suspension or revocation of a license or company registration pursuant to Division 1.5 (commencing with Section 475) of the code, a crime or act shall be considered to be substantially related to the qualifications, functions or duties of a licensee or registered company under Chapter 14 of Division 3 of the code if to a substantial degree it evidences present or potential unfitness of such licensee or registered company to perform the functions authorized by the license or company registration in a manner consistent with the public health, safety, or welfare. Such crimes or acts shall include, but not be limited to, the following:
(a) Any violation of the provisions of Chapter 14 of Division 3 of the code.
(b) Commission of any of the following in connection with the practice of structural pest control:
(1) Fiscal dishonesty
(2) Fraud
(3) Theft
(4) Violations relating to the misuse of pesticides.
NOTE

Authority cited: Sections 481 and 8525, Business and Professions Code. Reference: Sections 8525, 8568, 8620 and 8646, Business and Professions Code.
HISTORY

1. Repealer and new section filed 3-14-75; effective thirtieth day thereafter (Register 75, No. 11). For history of former section, see Register 73, No. 14.
2. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
3. Amendment of first paragraph only filed 3-23-87; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 87, No. 13).
§1937.2. Criteria for Rehabilitation.
Note     •     History

(a) When considering the denial of a structural pest control license or company registration under Section 480 of the Business and Professions Code, the board, in evaluating the rehabilitation of the applicant and his or her or its present eligibility for a license or company registration will consider the following criteria:
(1) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the Business and Professions Code.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(5) Evidence, if any, of rehabilitation submitted by the applicant.
(b) When considering the suspension or revocation of a structural pest control license or company registration on the grounds that the licensee or registered company has been convicted of a crime, the board, in evaluating the rehabilitation of such person or company and his or her or its present eligibility for a license or company registration will consider the following:
(1) Nature and severity of the act(s) or offense(s).
(2) Total criminal record.
(3) The time that has elapsed since commission of the act(s) or offense(s).
(4) Whether the licensee or registered company has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against the licensee or registered company.
(5) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(6) Evidence, if any of rehabilitation submitted by the licensee or registered company.
(c) When considering a petition for reinstatement of a structural pest control license or company registration, the board shall evaluate evidence of rehabilitation submitted by the petitioner, considering those criteria specified in subsection (b).
NOTE

Authority cited: Sections 475, 476, 480-482, 484-487 and 8525, Business and Professions Code. Reference: Sections 475,476, 480-482, 484-487 and 8525, Business and Professions Code.
HISTORY

1. Repealer and new section filed 3-14-75; effective thirtieth day thereafter (Register 75, No. 11). For history of former section, see Register 73, No. 14.
2. Amendment filed 3-23-87; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 87, No. 13).
§1937.11 Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), the board shall consider the disciplinary guidelines entitled “A Manual of Disciplinary Guidelines and Model Disciplinary Orders” [1991] which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the board and/or administrative law judges in its/his or her discretion determines that the facts of the particular case warrant such a deviation -- for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Section 8525, Business and Professions Code, Section 11425.50(e), Government Code. Reference: Section 11425.50(e), Government Code, and Sections 8620, 8635, 8636, 8637, 8638, 8639, 8640, 8641, 8642, 8643, 8644, 8645, 8646, 8646.5, 8647, 8648, 8649, 8650, 8651, 8652, 8653, 8654, 8655 and 8657, Business and Professions Code.
HISTORY

1. New section filed 4-14-97; operative 5-14-97 (Register 97, No. 16).
§1937.12. Conditions of Probation.
Note     •     History

(a) Whenever a proposed decision places a licensee or registered company. on probation as a condition of staying a revocation or staying all or any portion of a suspension, the order granting such probation shall include at least the following conditions:
(1) That the licensee or registered company. shall file quarterly reports with the board during the period of probation;
(2) Such other terms and conditions as may be appropriate in light of the number and nature of the violations proven.
(b) Nothing in this regulation shall deprive the board of its authority to modify or delete any term or condition of probation contained in a proposed decision submitted by an administrative law judge.
NOTE

Authority cited: Sections 8525 and 8620, Business and Professions Code. Reference: Section 8620, Business and Professions Code.
HISTORY

1. New section filed 7-3-80; effective thirtieth day thereafter (Register 80, No. 27).
2. Amendment of subsection (a) filed 3-23-87; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 87, No. 13).
§1937.13. Posting Notice of Suspended Company Registration.
Note     •     History

A registered company whose registration is suspended shall post in a place conspicuous to the public a notice provided by the Board that its registration is under suspension. The notice shall be posted at each and every office that is under the suspension order.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8525, 8620 and 8624, Business and Professions Code.
HISTORY

1. New section filed 5-19-78; effective thirtieth day thereafter (Register 78, No. 20).
2. Amendment filed 3-23-87; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 87, No. 13).
§1937.14. Quality of Work Completed.
Note     •     History

All work completed by licensees or registered companies shall be done within the specific requirements of any plans or specifications and shall meet accepted trade standards for good and workmanlike construction in any material respect, and shall comply with provisions of Section 2516(c)(1), (2), (4) and (6) of Title 24, California Code of Regulations.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8525, 8635 and 8636, Business and Professions Code.
HISTORY

1. New section filed 5-19-78; effective thirtieth day thereafter (Register 78, No. 20).
2. Amendment of NOTE filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
3. Amendment filed 3-23-87; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 87, No. 13).
4. Amendment filed 3-6-95; operative 4-5-95 (Register 95, No. 10).
§1937.16. Notice to Owner.
Note     •     History

The “Notice to Owner” form to be used by branch 1 and branch 3 registered companies in accordance with Section 8513 of the code shall be that set forth below. 

NOTICE TO OWNER
Under the California Mechanics Lien Law any structural pest control company which contracts to do work for you, any contractor, subcontractor, laborer, supplier or other person who helps to improve your property, but is not paid for his or her work or supplies, has a right to enforce a claim against your property. This means that after a court hearing, your property could be sold by a court officer and the proceeds of the sale used to satisfy the indebtedness. This can happen even if you have paid your structural pest control company in full if the subcontractor, laborers or suppliers remain unpaid.
To preserve their right to file a claim or lien against your property, certain claimants such as subcontractors or material suppliers are required to provide you with a document entitled “Preliminary Notice.” Prime contractors and laborers for wages do not have to provide this notice. A Preliminary Notice is not a lien against your property. Its purpose is to notify you of persons who may have a right to file a lien against your property if they are not paid.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8513, Business and Professions Code.
HISTORY

1. New section filed 9-21-84; effective thirtieth day thereafter (Register 84, No. 38). For prior history, see Register 83, No. 20.
2. Amendment filed 3-23-87; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 87, No. 13).
§1937.17. Customer Notification.
Note     •     History

Every licensee shall provide notice to the licensee's clients or customers of the fact that he/she is licensed by the Structural Pest Control Board. Notice shall be provided by, but not limited to, any of the following methods:
(1) Verbally at the time that services are requested.
(2) Company business card identifying person as a licensee of the Structural Pest Control Board.
(3) Structural Pest Control Board license number printed on Wood Destroying Pest and Organisms Inspection Report form.
NOTE

Authority cited: Section 8525, Business and Professions Code.  Reference: Section 138, Business and Professions Code.
HISTORY

1. New section filed 12-16-2002; operative 1-15-2003 (Register 2002, No. 51).
§1938. Group Qualification for Operator's License. [Repealed]
History

HISTORY

1. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§1939. Fees. [Repealed]
History

HISTORY

1. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§1940. Notice of Operator's and Field Representative's Examinations.
Note     •     History

Operator's and Field Representative's examination notices shall be mailed to all persons eligible for examination. Such notice shall be sent by United States mail, the postage fully prepaid, addressed to the applicant's address as shown on the notice of examination.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8560, Business and Professions Code.
HISTORY

1. Amendments filed 3-15-79; effective thirtieth day thereafter (Register 79, No. 11).
2. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
3. Amendment of section heading and section filed 8-12-96; operative 9-11-96 (Register 96, No. 33).
§1941. Failure to Appear for Operator's or Field Representative's Examinations.
Note     •     History

Failure of an applicant to appear for an operator's or field representative's examination after proper notification thereof shall be grounds for forfeiture of the examination fee, unless the applicant requests and is granted a postponement not less than five days prior to such examination or is excused by the board, for good cause, from complying with this requirement. An applicant who receives a postponement of not more than six (6) months will not be required to file a new application. 
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8560, Business and Professions Code.
HISTORY

1. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Amendment of section heading, section and Note filed 8-12-96; operative 9-11-96 (Register 96, No. 33).
§1942. Applicant Failing Operator's or Field Representative's Examination.
Note     •     History

An applicant who fails the operator's or field representative's examination may take another examination within six (6) months thereafter on the same application by paying an additional examination fee.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8560, Business and Professions Code.
HISTORY

1. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Amendment of section heading, section and Note filed 8-12-96; operative 9-11-96 (Register 96, No. 33).
§1943. Unauthorized Assistance During Examination. [Repealed]
History

HISTORY

1. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§1944. Grades. [Repealed]
Note     •     History

NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8520 and 8560, Business and Professions Code.
HISTORY

1. Amendment filed 9-18-75; effective thirtieth day thereafter (Register 75, No. 38).
2. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
3. Repealer filed 3-23-87; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 87, No. 13).
§1945. Posting Names of Successful Applicants. [Repealed]
History

HISTORY

1. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§1946. Notice of Renewals. [Repealed]
History

HISTORY

1. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§1947. Time of Filing Application for Renewal--Paying Fee. [Repealed]
History

HISTORY

1. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§1948. Fees.
Note     •     History

(a) Pursuant to the provisions of section 8674 of the code, the following fees are established:

(1) Duplicate license	$  2

(2) Change of licensee name		$ 2
 (3) Operator's examination		$ 25

(4) Operator's license.	$120

(5) Renewal operator's license	$120

(6) Company office registration.	$120

(7) Branch office registration	$ 60

(8) Field representative's examination.	$ 10

(9) Field representative's license	$ 30

(10) Renewal field representative's license	$ 30

(11) Change of registered company's name	$ 25

(12) Change of principal office address	$ 25

(13) Change of branch office address	$ 25

(14) Change of qualifying manager	$ 25

(15) Change of registered company's officers.	$ 25

(16) Change of bond or insurance	$ 25

(17) Continuing education provider	$ 50

(18) Continuing education course approval	$ 25

(19) Pesticides use report filing	$  6

(20) Applicator's License	$ 10

(21) Renewal applicator's license	$ 10
(b) Pursuant to section 8564.5 of the code, the fee for examination for licensure as an applicator is $15.00 for each branch in which an examination is taken.
(c) Pursuant to section 8593 of the code, the fee for the continuing education examination for operators is $25.00, for each branch in which an examination is taken.
(d) Pursuant to section 8593 of the code, the fee for the continuing education examination for field representatives is $10.00, for each branch in which an examination is taken.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8564.5, 8593 and 8674, Business and Professions Code.
HISTORY

1. New section filed 6-28-60; effective thirtieth day thereafter (Register 60, No. 15).
2. Amendment of subsection (b) filed 7-3-80; effective thirtieth day thereafter (Register 80, No. 27).
3. Amendment filed 5-2-83; effective thirtieth day thereafter (Register 83, No. 19).
4. Amendment of NOTE filed 9-29-83; effective thirtieth day thereafter (Register 83, No. 39).
5. New subsections (c) and (d) filed 4-12-84; effective thirtieth day thereafter (Register 84, No. 15).
6. Amendment of subsection (a) filed 11-10-86; effective thirtieth day thereafter (Register 86, No. 46).
7. Amendment filed 3-24-87; effective thirtieth day thereafter (Register 87, No. 13).
8. Amendment filed 9-19-88; operative 10-19-88 (Register 88, No. 39).
9. Amendment filed 9-19-90; operative 10-19-90 (Register 90, No. 44).
10. Amendment of subsections (a)(5), (a)(10) and (b) filed 5-18-92; operative 6-17-92 (Register 92, No. 21).
11. Editorial correction of printing error in subsections (a)(14) and (a)(19) (Register 92, No. 21).
12. Amendment of subsection (b) filed 5-17-95; operative 6-16-95 (Register 95, No. 20).
13. Amendment of subsection (b) filed 8-12-96; operative 9-11-96 (Register 96, No. 33).
14. Amendment of subsections (a)(4)-(5) and new subsections (a)(20)-(21) filed 8-25-2006; operative 9-24-2006 (Register 2006, No. 34).
Article 3.5.  Continuing Education
§1950. Continuing Education Requirements.
Note     •     History

(a) Except as provided in section 1951, every licensee is required, as a condition to renewal of a license, to certify that he or she has completed the continuing education requirements set forth in this article. A licensee who cannot verify completion of continuing education by producing certificates of activity completion, whenever requested to do so by the Board, may be subject to disciplinary action under section 8641 of the code.
(b) Each licensee is required to complete a certain number of continuing education hours during the three year renewal period. The number of hours required depends on the number of branches of pest control in which licenses are held. The subject matter covered by each activity shall be designated as “technical” or “general” by the Board when the activity is approved. Hour values shall be assigned by the Board to each approved educational activity, in accordance with the provisions of section 1950.5.
(c) Operators licensed in one branch of pest control shall complete 16 continuing education hours during each three year renewal period. Operators licensed in two branches of pest control shall complete 20 continuing education hours during each three year renewal period. Operators licensed in three branches of pest control shall complete 24 continuing education hours during each three year renewal period. In each case, a minimum of four continuing education hours in a technical subject directly related to each branch of pest control held by the licensee must be completed for each branch license, a minimum of two hours in Integrated Pest Management as defined in section 1984 must be completed by Branch 2 and/or 3 licensees renewing on or after June 30, 2010, and a minimum of eight hours must be completed from Board approved courses on the Structural Pest Control Act, the Rules and Regulations, or structural pest control related agencies' rules and regulations.
(d) Field representatives licensed in one branch of pest control shall have completed 16 continuing education hours, field representatives licensed in two branches of pest control shall have completed 20 continuing education hours, field representatives licensed in three branches of pest control shall have completed 24 continuing education hours during each three year renewal period. In each case, a minimum of four continuing education hours in a technical subject directly related to each branch of pest control held by the licensee must be completed for each branch of pest control licensed, a minimum of two hours in Integrated Pest Management must be completed by Branch 2 and/or 3 licensees renewing on or after June 30, 2010, and a minimum of eight hours must be completed from Board approved courses on the Structural Pest Control Act, the Rules and Regulations, or structural pest control related agencies' rules and regulations.
(e) For the renewal period ending December 31, 2008, and each subsequent renewal period up to the renewal period ending June 29, 2010, a licensed applicator shall have completed 12 hours of Board approved continuing education. Such continuing education shall consist of eight hours of continuing education covering pesticide application and use, and four hours covering the Structural Pest Control Act and its rules and regulations or structural pest related agencies' rules and regulations.
(f) For the renewal period ending June 30, 2010 and each subsequent renewal period, a licensed applicator shall have completed 12 hours of Board approved continuing education. Such continuing education shall consist of six hours of continuing education covering pesticide application and use, two hours covering Integrated Pest Management, and four hours covering the Structural Pest Control Act and its rules and regulations or structural pest related agencies' rules and regulations.
(g) Operators who hold a field representative's license in a branch of pest control in which they do not hold an operator's license must complete four of the continuing education hours required by section 1950(c) in a technical subject directly related to the branch or branches of pest control in which the field representative's license is held, in order to keep the field representative's license active.
(h) No course, including complete operator's courses developed pursuant to section 8565.5, may be taken more than once during a renewal period for continuing education hours.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8560 and 8593, Business and Professions Code.
HISTORY

1. Amendment filed 6-13-91; operative 7-13-91 (Register 91, No. 41).
2. Amendment filed 5-12-94; operative 6-13-94 (Register 94, No. 19).
3. Amendment of subsections (c) and (d) filed 8-12-96; operative 9-11-96 (Register 96, No. 33).
4. Change without regulatory effect amending subsections (c) and (d) filed 4-6-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 14).
5. Change without regulatory effect amending subsections (c)-(e) filed 3-26-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 13).
6. New subsection (e) and subsection relettering filed 3-21-2006; operative 4-20-2006 (Register 2006, No. 12).
7. Amendment of subsections (b)-(e), new subsection (f), subsection relettering and amendment of newly designated subsection (g) filed 3-20-2009; operative 4-19-2009 (Register 2009, No. 12).
§1950.1. Armed Services Exemption.
Note     •     History

Any licensee who permitted his or her license to expire while serving in any branch of the armed services of the United States during any call for action, shall have one year from the date of discharge from the armed services or return to inactive status to earn the required continuing education hours necessary to reinstate his or her license; provided the license was valid at the time the licensee was called to action, and the application for reinstatement is accompanied by an affidavit showing the date of discharge from the armed services or return to inactive status.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 114, 8590, 8590.1, 8593 and 8593.1, Business and Professions Code.
HISTORY

1. New section filed 9-16-2009; operative 10-16-2009 (Register 2009, No. 38).
§1950.5. Hour Value System.
Note     •     History

The following hour values shall be assigned to the educational activities approved by the Board. All educational activities must be submitted to the Board for approval before presentation for continuing education credit, in accordance with section 1953. Each activity approved for technical or rules and regulations continuing education hours must include a written examination to be administered at the end of the course. Examinations administered at the end of the course must consist of ten questions per one hour of instruction, with 40 questions minimum for any activity of instruction of four hours or more. Licensees must obtain a passing score of 70% or better in order to obtain a certificate of course completion. If the examination is failed, the licensee shall be allowed to be reexamined by taking a different examination within sixty days.
(a) Accredited college courses - 10 hours for each 2 semester-unit course; 16 hours for each 3 semester-unit course.
(b) Adult education courses - 6 hours
(c) Professional seminars or meetings - up to a maximum of 6 hours per seminar or meeting. Additional hours may be approved depending on the complexity of the activity and its relevance to new developments in the field of pest control.
(d) Technical seminars or meetings - up to a maximum of 6 hours per seminar or meeting. Additional hours may be approved depending on the complexity of the activity and its relevance to new developments in the field of pest control. 
(e) Operators' courses approved by the Board pursuant to section 8565.5 of the code - 1 hour per hour of instruction.
(f) Correspondence courses developed by the Board pursuant to section 8565.5 of the code - full credit per branch.
(g) Correspondence courses approved by the Board - hours will be assigned depending on the complexity of the course and its relevance to new developments in the field of pest control.
(h) Association meetings - 1 hour for every hour of instruction up to a maximum of 4 hours per meeting.
(i) Structural Pest Control Board meetings - 1 general hour and 1 rule and regulation hour per meeting, up to a maximum of 4 hours per renewal period (excluding Board Members.) This activity is exempt from examination requirements pursuant to this section.
(j) Structural Pest Control Board Committee meetings - 1 hour per meeting, up to a maximum of 2 hours per renewal period (excluding Board Members).
(k) In-house training in technical subjects - 1 hour per hour of instruction.
(l) Board approved Rules and Regulations courses - 1 hour for every hour of instruction. 
(m) Integrated Pest Management courses - 1 hour for every hour of instruction.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8593, Business and Professions Code.
HISTORY

1. Amendment filed 6-13-91; operative 7-13-91 (Register 91, No. 41). 
2. Amendment of subsections (c), (d), (g), (h) and (l) and new subsection (m) filed 5-12-94; operative 6-13-94 (Register 94, No. 19).
3. Amendment of subsections (d) and (h) filed 3-6-95; operative 4-5-95 (Register 95, No. 10).
4. Amendment of subsections (d) and (m) filed 3-13-96; operative 4-12-96 (Register 96, No. 11).
5. Change without regulatory effect amending subsections (c), (d), (g) and (h) filed 3-26-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 13).
6. Amendment filed 7-6-2005; operative 8-5-2005 (Register 2005, No. 27).
7. New subsection (m) filed 3-20-2009; operative 4-19-2009 (Register 2009, No. 12).
§1951. Examination in Lieu of Continuing Education.
Note     •     History

In lieu of continuing education, a licensee may qualify for renewal by taking and passing an examination designed by the Board to cover developments in the field of pest control. Licensees who choose this method of qualifying for renewal may take this examination only once, and must take the examination no earlier than one year prior to their license expiration date. A score of 70% or higher shall be considered a passing grade on this examination.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8560(c) and 8593, Business and Professions Code.
HISTORY

1. Amendment of section filed 8-12-96; operative 9-11-96 (Register 96, No. 33).
2. Amendment filed 7-6-2005; operative 8-5-2005 (Register 2005, No. 27).
§1952. Inactive Licenses. [Repealed]
Note     •     History

NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8690.5, Business and Professions Code.
HISTORY

1. Repealer filed 5-21-85; designated effective 7-1-86 (Register 85, No. 21).
2. Editorial correction removing repealed text (Register 86, No. 46).
§1953. Approval of Activities.
Note     •     History

(a) Providers of activities of continuing education in pest control shall request approval as a provider and of activities on forms provided by the Board (See Form 43M-18 (Rev. 6/02) at the end of this section) accompanied by the required fees. Requests for approval of activities must be submitted to the Board no later than 60 days prior to presentation of the activity unless exception is granted by the Registrar.
(b) All providers must notify the Board 30 days prior to the presentation of any board approved activity, unless exception is granted by the Registrar.
(c) All providers must submit a course attendance roster (See Form No. 43M-46(New 3/93) at the end of this section) to the Structural Pest Control Board within five working days after every course instructed.
(d) After giving the provider a written notice and an opportunity to respond, the Board may withdraw approval of any activity, when good cause exists. Good cause shall include, but not be limited to, failure actually to meet the standards for approval of activities which are outlined in subsection (f) of this section.
(e) Unless otherwise indicated on the written notification of approval, or unless an approval is withdrawn by the Board at an earlier date, approval of each activity shall remain in effect for 3 years.
(f) In order to be approved, activities must be:
(1) Directly related to the field of structural pest control;
(2) Provided by an institution, association, university, or other entity assuming full responsibility over the course program;
(3) Composed of a formal program of learning which requires: 
(A) attendance and participation, 
(B) at least one hour of instruction, 
(C) a syllabus (detailed outline of the main points of the curriculum),
(D) a certificate of completion on Form No. 43M-38 (NEW 5/87) (which is printed at the end of this section); and,
(4) Conducted by an instructor who has qualified by meeting two of the following experience requirements:
(A) Completion of training in the subject of the activity,
(B) Six months' experience working in the area covered by the activity within the preceding three years,
(C) Experience teaching an activity of similar content within the preceding five years,
(D) Completion of any post-secondary studies related to the subject matter of the activity,
(E) Author of the activity being reviewed, or a credentialed instructor.
(g) No activity which focuses on the policies or procedures of a single firm shall be approved.

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NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8593, Business and Professions Code.
HISTORY

1. Amendment of subsection (d)(4)(D) filed 11-10-86; effective thirtieth day thereafter (Register 86, No. 46).
2. Amendment of subsection (a) filed 3-24-87; effective upon filing pursuant to Government Code section 11346.2(d) (Register 87, No. 13).
3. Amendment filed 6-13-91; operative 7-13-91 (Register 91, No. 41). 
4. New subsection (c), subsection redesignation and amendment of subsections (d) and (f)(3) filed 5-12-94; operative 6-13-94 (Register 94, No. 19).
5. Change without regulatory effect amending subsection (f)(3) filed 5-2-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 18).
6. Editorial correction adding form 43M-46, inadvertently omitted from Register 94, No. 19 (Register 2004, No. 29).
7. Amendment of subsection (a) and form 43M-18 filed 7-13-2004; operative 8-12-2004 (Register 2004, No. 29).
8. Amendment of subsection (f)(3), new subsections (f)(3)(A)-(E), amendment of subsections (f)(4)(C) and (g) and repealer and new Form 43M-39 filed 7-6-2005; operative 8-5-2005 (Register 2005, No. 27).
9. Repealer of subsection (f)(3)(D), subsection relettering and repealer of student questionnaire form filed 3-20-2009; operative 4-19-2009 (Register 2009, No. 12).
Article 4. Fumigation and Pesticide Use
§1970. Standards and Record Requirements.
Note     •     History

For the purpose of maintaining proper standards of safety and the establishment of responsibility in handling the dangerous gases used in fumigation and the pesticides used in other pest control operations, a registered company shall compile and retain for a period of at least three years, a log for each fumigation job and for each pesticide control operation in which a pesticide is used by the registered company or the registered company's employee. If the fumigation is to be performed by a fumigation subcontractor, the subcontractor shall complete the fumigation log and forward a copy of the log to the primary contractor within ten business days.
(a) The log (See Form 43M-47 (Rev. 5/07) at the end of this section) for each fumigation job shall contain the following information:
Name, address and company registration certificate number of prime contractor.
Name, address and company registration certificate number of subcontractor, if any.
Address of property.
Date of fumigation.
Name and address of owner or his or her agent.
Date and hour fire department was notified pursuant to Business and Professions Code section 8505.5.
Date and hour county agricultural commissioner was notified and method of notification, where required.
Property description including type of structure as to details of roofing, walls, and the presence of construction elements, conduits, drains, air ducts, or vacuum systems that could allow the passage of fumigant from the structure to be fumigated to any adjacent or adjoining structure(s), thereby connecting them, and method(s) used to prevent passage of the fumigant.
Cubic feet fumigated.
Target pest(s).
Kind of fumigant(s) used.
United States Environmental Protection Agency registration number(s) of fumigant(s).
Name of warning agent and amount used. 
Type of sealing method used.
Weather conditions as to temperature and wind.
Date and hour fumigant introduced.
Cylinder number of each fumigant used.
Weight of each fumigant cylinder before introduction of gas.
Pounds of fumigant used from each cylinder.
Total pounds of fumigant used.
List of any extraordinary safety precautions taken.
Name, signature and license number of operator or field representative releasing fumigant.
First name and surname of crew when fumigant was released, when aeration commenced and when the property was released for occupancy.
Indication of whether or not safety equipment was available at the fumigation site at the time the fumigant was introduced, when ventilation commenced and when the property was released for occupancy.
Date and hour aeration commenced.
Conditions of tarp and seal.
Name, signature and license number of operator or field representative commencing ventilation.
Type of device(s) used to test for re-entry.
Date and hour ready for occupancy.
Name, signature and license number of operator or field representative releasing property for occupancy.
Method used to calculate amount of fumigant used.
Factors used in calculation of fumigant.
Special notes or comments pertinent to fumigation.
(b) The report for each pest control operation, other than fumigation, in which a pesticide is used shall contain the following information:
Date of treatment.
Name of owner or his or her agent.
Address of property.
Description of area treated.
Target pest(s).
Pesticide and amount used.
Identity of person or persons who applied the pesticide.
(c) The term “fraudulent act” as used in Section 8642 includes but is not limited to the falsification of any records pertaining to fumigation jobs or other pest control operations in which a pesticide other than a fumigant is used.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8505.5, 8505.7, 8505.13, 8505.15, 8505.16, 8516, 8642, 8646 and 8652, Business and Professions Code.
HISTORY

1. Amendment filed 9-29-78 as an emergency; effective upon filing (Register 78, No. 39). For prior history, see Register 68, No. 1.
2. Amendment filed 9-29-78; effective thirtieth day thereafter (Register 78, No. 52).
3. Certificate of Compliance filed 1-23-79 (Register 79, No. 4).
4. Editorial correction (Register 79, No. 43).
5. Amendment of NOTE filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
6. Amendment filed 3-23-87; effective upon filing pursuant to Government Code section 11346.2(d) (Register 87, No. 13).
7. Amendment of first paragraph and subsections (a) and (b), amendment of Note, and new form 43M-47 filed 4-28-98; operative 5-28-98 (Register 98, No. 18).
8. Amendment of subsection (a) filed 10-23-2001; operative 11-22-2001 (Register 2001, No. 43).
9. Amendment of subsection (a) and form 43M-47 filed 7-13-2004; operative 8-12-2004 (Register 2004, No. 29).
10. Amendment of first paragraph and subsection (a) and repealer and new Form 43M-47 filed 4-29-2008; operative 5-29-2008 (Register 2008, No. 18).

STANDARD STRUCTURAL FUMIGATION LOG

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43M-47 (Rev. 5/07)
§1970.1. Enclosed Spaces.
Note     •     History

(a) As used in Section 8505.1 of the code, the term “enclosed space” shall include but shall not be limited to any of the following:
(1) Vault or chamber
(2) Tarpaulin covering
(3) Paper and tape seal
(4) Combination paper and tape and tarpaulin
(5) Van, boxcar, ship, plane or other vehicle
(b) For purposes of subsection (a), “tarpaulin” means a protective covering which is capable of retaining a fumigant for the period of time required by the label for such fumigant.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8505.1 and 8505.7, Business and Professions Code.
HISTORY

1. New Sections 1970.1, 1970.2, and 1970.3 filed 9-18-75; effective thirtieth day thereafter (Register 75, No. 38).
2. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§1970.2. Fumigation Effectiveness. [Repealed]
History

HISTORY

1. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§1970.3. Securing Against Entry.
Note     •     History

As used in Section 8505.7 of the code, the phrase “locked, barricaded, or otherwise secured against entry” shall mean that all structures, prior to fumigation, shall have a secondary lock on all outside doors. A secondary lock means a device or barricade that will secure and prevent a door from being opened  by anyone other than the licensee in charge of the fumigation. Examples of approved devices are clamshell locks, padlocks, keyway locks, pins or any other device, including inside deadbolts.
(a) Pins shall be of a thickness to prevent the insertion of the door key.
(b) Staples cannot be used in keyways as a secondary lock under any circumstances.
(c) An exterior doorway on a garage or an uninhabited structure which does not have a door shall have impassable barricades erected thereon prior to fumigation if it provides a path of access for persons to enter into a building which is inhabited by human beings or shows evidence of human habitation. This provision shall apply to side doorways on otherwise enclosed garages if the garage is being used for storage of personal property, or is part of inhabited property.
A garage without a car door or where the car door is missing shall be considered a carport and need not be barricaded unless there is evidence that the garage area is  being used for habitation.
A barricade is considered to be plywood with a thickness of one-fourth inch or a material of equal or greater strength.
NOTE

Authority cited: Sections 8520 and 8525, Business and Professions Code. Reference: Sections 8505.4 and 8505.7, Business and Professions Code.
HISTORY

1. Repealer and new section filed 5-19-78; effective thirtieth day thereafter (Register 78, No. 20).
2. Amendment filed 1-26-82; effective thirtieth day thereafter (Register 82, No. 5).
3. Editorial correction (Register 82, No. 16).
4. Amendment of NOTE filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
5. Amendment and new subsections (a)-(d) filed 1-13-93; operative 2-12-93 (Register 93, No. 3).
6. Amendment of first paragraph, repealer of subsection (a) and subsection relettering, and amendment of newly designated subsection (a) and last paragraph filed 3-13-96; operative 4-12-96 (Register 96, No. 11).
§1970.4. Pesticide Disclosure Requirement.
Note     •     History

(a) The primary contractor for fumigation shall have in his or her possession and shall provide to any subcontractor for fumigation a form (See Form 43M-48 (Rev. 5/07) at the end of this section) signed by the occupants or designated agent of a structure. The primary contractor for fumigation and the subcontractor for fumigation shall retain a copy of the occupants fumigation notice for a period of at least three years. In case of multiple-family dwellings, the owner, manager or designated agent of the building may obtain signatures and/or verify the notification of the occupants.
The form shall state the name of the pest to be controlled, the pesticide(s)/fumigant(s) proposed to be used, the active ingredient(s) and the health cautionary statement as required under section 8538 of the code. The form shall also state that a lethal gas (poison) will be used in the building on indicated dates and that it is unsafe to return to the building until a certification notice for reentry is posted by the licensed fumigator. The form shall also indicate that the occupant has received the prime contractor's information regarding the procedures for leaving the structure.
The properly signed form or a copy thereof shall be in the possession of the licensed fumigator when the fumigant is released. Such form shall be attached to and become a permanent part of the fumigation log upon completion of the fumigation.
(b) Any death or serious injury relating to pesticide application or use, whether to a worker or member of the public, shall be reported to the nearest Structural Pest Control Board office immediately.
(c) Whenever a licensee employed by a branch 2 or branch 3 registered company applies a pesticide within, around or to any structure such person shall leave in a conspicuous location a written notice identifying the common, generic or chemical name of each pesticide applied. In case of a multiple family structure, such notice may be given to the designated agent or the owner. Such pesticide identification notice may be a door hanger, invoice, billing statement or other similar written document which contains the registered company's name, address, and telephone number.
(d) All pest control operators, field representatives, applicators and employees in all branches shall comply in every respect with the requirements of section 8538 of the code. Failure to comply with section 8538 of the code is a misdemeanor and shall constitute grounds for discipline.
(e) Where notification is required under section 8538 of the code, and the premises on which the work is to be performed is a multiple family dwelling consisting of more than 4 units, the owner/owner's agent shall receive notification and other notices shall be posted in heavily frequented, highly visible areas including, but not limited to, all mailboxes, manager's apartment, in all laundry rooms, and community rooms on all external pest control servicing. Complexes with fewer than 5 units will have each affected unit notified. Any pest control servicing done within a tenant's apartment requires that the tenant be notified according to section 8538 of the code.
(f) A registered company which applies any pesticide within, around or to any structure shall provide to any person, within 24 hours after request therefore, the common, generic or chemical name of each pesticide applied.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8505.7, 8505.13 and 8538, Business and Professions Code.
HISTORY

1. New section filed 5-19-78; effective thirtieth day thereafter (Register 78, No. 20).
2. Amendment filed 5-8-80; effective thirtieth day thereafter (Register 80, No. 19).
3. Amendment of subsection (a) filed 6-3-81; effective thirtieth day thereafter (Register 81, No. 23).
4. Relettering of former subsection (d) to (e) and new subsection (d) filed 6-17-85; effective thirtieth day thereafter (Register 85, No. 25).
5. Relettering of former subsection (e) to (f) and new subsection (e) filed 11-10-86; effective thirtieth day thereafter (Register 86, No. 46).
6. Amendment filed 3-23-87; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 87, No. 13).
7. Amendment of subsections (a), (d) and (e) filed 4-12-90; operative 5-12-90 (Register 90, No. 17). 
8. Amendment of subsections (a), (c) and Note filed 3-6-95; operative 4-5-95 (Register 95, No. 10).
9. Amendment of subsections (a), (c) and (d), amendment of Note, and new form 43M-48 filed 4-28-98; operative 5-28-98 (Register 98, No. 18).
10. Change without regulatory effect amending subsections (c) and (f) filed 3-26-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 13).
11. Amendment of subsection (a) and repealer and new form 43M-48 filed 12-30-2005; operative 1-29-2006 (Register 2005, No. 52).
12. Amendment of subsection (a) and repealer and new Form 43M-48 filed 4-29-2008; operative 5-29-2008 (Register 2008, No. 18).

OCCUPANTS FUMIGATION NOTICE AND PESTICIDE DISCLOSURE

View Graphic
43M-48 (Rev. 5/07)
§1970.5. Commencing Aeration.
Note     •     History

“The time ventilation is commenced” as used in section 8505.3 of the Code means the period of time beginning when the seal is broken and ending when all seals/tarps are removed. A licensed Branch 1 operator or field representative is required to be present during this entire period of time.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8505.3, Business and Professions Code.
HISTORY

1. New section filed 4-12-90; operative 5-12-90 (Register 90, No. 17).
2. Amendment of section filed 8-12-96; operative 9-11-96 (Register 96, No. 33).
§1970.6. Fumigation of Connecting Structures.
Note     •     History

(a) Prior to the process of fumigation, all single units and rooms within the entire structure shall be vacated.
(b) When recommending a fumigation, the prime contractor for fumigation shall:
(1) inquire of the owner or designated agent about the presence of any construction elements, conduits, drains, or vacuum systems that could allow passage of the fumigant from the structure to be fumigated to any adjacent or adjoining structure(s), thereby connecting them;
(2) inspect the structure to be fumigated and all other adjacent or adjoining structures on the property to determine if there are construction elements, conduits, drains, or vacuum systems present that could allow passage of the fumigant from the structure to be fumigated to any adjacent or adjoining structure(s). When such conditions exist the prime contractor for fumigation shall notify in writing the licensee in charge of the fumigation of the conditions which could allow passage of the fumigant to adjacent or adjoining structures.
(c) Prior to introduction of the fumigant, the licensee in charge of the fumigation shall:
(1) conduct a thorough search for construction elements, conduits, drains, or vacuum systems that could allow passage of the fumigant from the structure to be fumigated to any adjacent or adjoining structure on the property;
(2) document his or her inspection findings on the fumigation log, identifying the type and location of the construction element(s), conduit(s), drain(s), or vacuum system(s) between connected structures and the methods used to prevent passage of the fumigant.
(d) Any adjacent or adjoining structure which is deemed connected to the structure to be fumigated must be vacated during the process of fumigation, unless it is separated from the structure to be fumigated by methods which prevent passage of the fumigant from entering the connected structure(s). When it is necessary to vacate any connected, adjacent or adjoining structure, that structure shall be considered as a fumigated structure, and all applicable rules, regulations and label instructions apply.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8505.7, Business and Professions Code.
HISTORY

1. New section filed 8-12-96; operative 9-11-96 (Register 96, No. 33).
2. Amendment filed 10-23-2001; operative 11-22-2001 (Register 2001, No. 43).
§1971. Fumigation Safety Kit and Other Equipment.
Note     •     History

(a) All fumigation crews shall be provided with and shall have in their possession on the job:
(1) A fumigation safety kit, in proper condition for use, containing at least the following:
(A) Statements of instructions published by the manufacturer of the fumigants being used.
(B) Two or more effective gas masks or other safety equipment approved by the National Institute of Occupational Safety and Health, for protection against the type of fumigant being used.
(C) A chart of instructions for artificial resuscitation.
(2) Proper testing equipment as required by the manufacturer's label instructions and all applicable laws and regulations.
(b) The crew shall be instructed in the use and care of kit and safety equipment and in first aid methods.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8505.4, 8505.8, 8505.15 and 8505.16, Business and Professions Code.
HISTORY

1. Amendment filed 11-18-57; effective thirtieth day thereafter (Register 57, No. 20).
2. Amendment of subsection (a) filed 9-18-75; effective thirtieth day thereafter (Register 75, No. 38).
3. Amendment filed 5-19-78; effective thirtieth day thereafter (Register 78, No. 20).
4. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
5. Repealer of subsection (a)(1)(A), subsection relettering, and amendment of newly designated subsection (a)(C)(2) filed 3-6-95; operative 4-5-95 (Register 95, No. 10).
§1972. Warning Gases and Extraordinary Precautions. [Repealed]
History

HISTORY

1. New section filed 11-18-57; effective thirtieth day thereafter (Register 57, No. 20).
2. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§1973. Re-Entry Requirements
Note     •     History

Following a fumigation, the licensee must personally: 
(a) Perform proper testing after aeration using testing equipment for clearing the structure as required by the manufacturer's label instructions and all applicable laws and regulations. 
(b) Release the property for occupancy by posting a Notice of Re-Entry (See Form 43M-42 (Rev. 5/07) at the end of this section). The form must be no smaller than 8 1/2” x 11” and be printed in black lettering on a white background.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8505.3 and 8505.7, Business and Professions Code.
HISTORY

1. New section filed 12-18-92; operative 1-19-93 (Register 92, No. 51).
2. Amendment of section heading and section filed 3-13-96; operative 4-12-96 (Register 96, No. 11).
3. Amendment of subsection (b) and repealer and new Form 43M-42 filed 4-29-2008; operative 5-29-2008 (Register 2008, No. 18).

View Graphic
§1974. Fumigation Warning Signs.
Note     •     History

Prior to commencement of fumigation, warning signs which comply with the provisions of sections 8505.9 and 8505.10 (see Form 43M-15 (New 8/93)) shall be posted. Such warning signs shall be at least 11” x 15”.
(a) Prior to sealing a structure which is to be fumigated, fumigation warning signs shall be posted on the structure at or near all entrances and on each side of the structure and kept at those locations until the structure is declared to be safe for re-occupancy by the licensee exercising direct and personal supervision over the fumigation.
(b) Fumigation warning signs shall also be placed on the outside surface of the tarps used to seal the structure and shall be clearly visible on all accessible sides of the space under fumigation and from any direction from which the site may be approached.
(c) All warning signs must contain the trade name of the fumigant used and its active ingredient.
Additional fumigation warnings signs shall be posted at all joint seams of the tarp at the first floor level.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8505.4, 8505.6, 8505.9 and 8505.10, Business and Professions Code.
HISTORY

1. New section filed 3-13-96; operative 4-12-96 (Register 96, No. 11).
2. New subsection (c) filed 11-8-2010; operative 12-8-2010 (Register 2010, No. 46).

View Graphic
§1980. Sodium Fluoracetate--Compound 1080. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 8525 and 8643, Business and Professions Code. Reference: Sections 8643 and 8647, Business and Professions Code.
HISTORY

1. Amendment filed 7-3-80; effective thirtieth day thereafter (Register 80, No. 27).
2. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§1981. Rodenticides and Avicides. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 8520, 8525 and 8643, Business and Professions Code. Reference: Sections 8643 and 8647, Business and Professions Code.
HISTORY

1. Amendment filed 7-5-80; effective thirtieth day thereafter (Register 80, No. 27).
2. Amendment of subsection (e) filed 6-3-81; effective thirtieth day thereafter (Register 81, No. 23).
3. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§1982. Insecticides. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 8525 and 8643, Business and Professions Code. Reference: Sections 8643 and 8647, Business and Professions Code.
HISTORY

1. Amendment filed 7-5-80; effective thirtieth day thereafter (Register 80, No. 27).
2. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§1983. Handling, Use, and Storage of Pesticides.
Note     •     History

(a) Each container in which any pesticide is stored, carried or transported shall be adequately labeled in accordance with the provisions of Articles 1 and 5, Chapter 2, Division 7 of the Food and Agriculture Code (relating to economic poisons) and regulations adopted by the Department of Pesticide Regulation thereunder.
(b) Service kits which contain any pesticide or preparation thereof shall be handled with extreme caution and in no case shall such a kit be left where children or other unauthorized persons might remove the contents.
(c) When any pesticide or preparation thereof is carried on a truck or other vehicle, a suitable storage space shall be provided thereon. Under no circumstances shall such storage be left either unlocked or unattended when containing any pesticide or preparation thereof.
(d) Where there is danger of food or drug contamination, all food or drug commodities and all utensils or equipment used in the preparation of food or drugs shall be adequately covered to insure against contamination by pesticidal materials, unless the contamination will be dissipated or otherwise removed prior to the time the food or drugs are consumed or the utensils or equipment used.
(e) No rodenticide or avicide shall be used in such manner as to be readily accessible to children or pets.
(f) All rodenticides and avicides shall be removed from readily accessible places upon termination of the particular service.
(g) Under no circumstances shall oil base insecticidal materials be used in or near open flames or active heaters.
(h) Tracking powders shall be used only at floor level or in such places as warrant their safe use.
(i) When a covered or uncovered bait station is used for any rodenticide or avicide the bait station shall be adequately marked with the signal word or symbols required on the original rodenticide or avicide label, the generic name of the pesticide, and the name, address and telephone number of the structural pest control company.
(j) When a termite baiting system contract is terminated, any toxicant used to modify, control, change or eliminate the behavior and existence of termites, excluding liquid termiticides, shall be removed from the property.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8643 and 8647, Business and Professions Code.
HISTORY

1. Amendment filed 7-5-80; effective thirtieth day thereafter (Register 80, No. 27).
2. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
3. Amendment of subsections (h) and (i) and repealer of subsection (j) filed 3-23-87; effective upon filing pursuant to Government Code section 11346.2(d) (Register 87, No. 13).
4. Amendment of subsections (a) and (b) filed 3-6-95; operative 4-5-95 (Register 95, No. 10).
5. New subsection (j) filed 7-13-2004; operative 8-12-2004 (Register 2004, No. 29).
6. Amendment of subsection (i) filed 3-21-2006; operative 4-20-2006 (Register 2006, No. 12).
§1984. Structural Integrated Pest Management.
Note     •     History

(a) Structural integrated pest management (IPM) means a systematic decision making approach to managing pests, which focuses on long-term prevention or suppression with minimal impact on human health, property, the environment, and non-target organisms. Structural IPM incorporates all reasonable measures to prevent pest problems by properly identifying pests, monitoring population dynamics, and using behavioral, physical, biological or chemical pest population control measures to reduce pests to acceptable levels. If a pesticide application or other intervention is determined to be necessary, the selection and application of the intervention shall be performed in a manner that minimizes risk to people, property, the environment, and non-target organisms, while providing effective pest management.
(b) For the purpose of this section, intervention means an action, device, product or practice that is intended for the prevention, control, management, elimination or abatement of a pest.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8505, Business and Professions Code.
HISTORY

1. New section filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
2. Amendment of subsection (a) filed 9-16-2009; operative 10-16-2009 (Register 2009, No. 38).
Article 5. Wood Destroying Organisms
§1990. Report Requirements Under Section 8516(b) 1-9, Inclusive.
Note     •     History

(a) All reports shall be completed as prescribed by the board. Copies filed with the board shall be clear and legible. All reports must supply the information required by Section 8516 of the Code and the information regarding the pesticide or pesticides used as set forth in Section 8538 of the Code, and shall contain or describe the following:
(1) Structural pest control license number of the person making the inspection.
(2) Signature of the Branch 3 licensee who made the inspection.
(3) Infestations, infections or evidence thereof.
(4) Wood members found to be damaged by wood destroying pests or organisms.
(b) Conditions usually deemed likely to lead to infestation or infection include, but are not limited to:
(1) Faulty Grade Level. A faulty grade level exists when the top of any foundation is even with or below the adjacent earth. The existing earth level shall be considered grade.
(2) Inaccessible subareas or portions thereof and areas where there is less than 12 inches clear space between the bottom of the floor joists and the unimproved ground area.
(3) Excessive Cellulose Debris. This is defined as any cellulose debris of a size that can be raked or larger. Stumps and wood imbedded in footings in earth contact shall be reported.
(4) Earth-wood contacts.
(5) Commonly controllable moisture conditions which would foster the growth of a fungus infection materially damaging to woodwork.
(c) When an infestation of carpenter ants or carpenter bees is found in a structure, control measures may be applied by companies holding a Branch 2 or Branch 3 registration certificate. If a Branch 3 licensee discovers an infestation or evidence of carpenter ant or carpenter bee infestation while performing an inspection pursuant to section 8516 of the code, he or she shall report his or her findings and make recommendations for controlling the infestation.
(d) Even though the licensee may consider the following areas inaccessible for purposes of inspection, the licensee must state specifically which of these areas or any other areas were not inspected and why the inspection of these areas is not practical: furnished interiors; inaccessible attics or portions thereof; the interior of hollow walls; spaces between a floor or porch deck and the ceiling or soffit below; stall showers over finished ceilings; such structural segments as porte cocheres, enclosed bay windows, buttresses, and similar areas to which there is no access without defacing or tearing out lumber, masonry or finished work; built-in cabinet work; floors beneath coverings, areas where storage conditions or locks make inspection impracticable.
(e) Information regarding all accessible areas of the structure including but not limited to the substructure, foundation walls and footings, porches, patios and steps, stairways, air vents, abutments, stucco walls, columns, attached structures or other parts of a structure normally subject to attack by wood-destroying pests or organisms.
(f) The following language shall appear just prior to the first finding/recommendation on each separated report:

“This is a separated report which is defined as
Section I/Section II conditions evident on the date of the inspection. Section I contains items where there is visible evidence of active infestation, infection or conditions that have resulted in or from infestation of infection. Section II items are conditions deemed likely to lead to infestation or infection but where no visible evidence of such was found. Further inspection items are defined as recommendations to inspect area(s) which during the original inspection did not allow the inspector access to complete the inspection and cannot be defined as Section I or Section II.”
(g) Information must be reported regarding any wooden deck, wooden stairs or wooden landing in exterior exposure attached to or touching the structure being inspected. Portions of such structure that are not available for visual inspection must be designated as inaccessible.
NOTE

Authority cited: Sections 8525 and 8538(c), Business and Professions Code. Reference: Sections 8516 and 8538, Business and Professions Code.
HISTORY

1. Amendment of subsections (h), (i), (j) and new subsection (k) filed 12-27-73; designated effective 3-1-74 (Register 73, No. 52). For prior history, see Register 64, No. 11.
2. Amendment filed 5-22-75; effective thirtieth day thereafter (Register 75, No. 21).
3. Amendment filed 5-19-78; effective thirtieth day thereafter (Register 78, No. 20).
4. Amendment of subsection (k) filed 5-8-80; effective thirtieth day thereafter (Register 80, No. 19).
5. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
6. Amendment of subsection (a) filed 6-17-85; effective thirtieth day thereafter (Register 85, No. 25).
7. Amendment of subsections (a) and (a)(4), new subsection (c) and subsection relettering, and new subsection (f) filed 3-13-96; operative 4-12-96 (Register 96, No. 11).
8. Change without regulatory effect amending subsection (c) filed 5-20-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 21).
9. New subsection (g) filed 4-28-98; operative 5-28-98 (Register 98, No. 18).
§1990.1. Report Requirements Under Section 8516.1(b) and (c) (1)-(8) inclusive. [Repealed]
Note     •     History

NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8510, 8516.1, 8538 and 8560, Business and Professions Code.
HISTORY

1. New section filed 3-6-95; operative 4-5-95 (Register 95, No. 10).
2. Change without regulatory effect repealing section filed 3-26-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 13).
§1991. Report Requirements Under Section 8516(b)10.
Note     •     History

(a) Recommendations for corrective measures for the conditions found shall be made as required by paragraph 10 of subdivision (b) of Section 8516 of the code and shall also conform with the provisions of Title 24 of the California Code of Regulations and any other applicable local building code, and shall accomplish the following:
(1) Comply with the provisions of section 2516(c)(1) of Title 24 of the California Code of Regulations.
(2) Remove from the subarea all excessive cellulose debris in earth contact. This excludes shavings or other cellulose too small to be raked or stored goods not in earth contact. Stumps and wood imbedded in footings in earth contact shall be treated if removal is impractical.
(3) When evidence of moisture, infestations or infections exists as a result of faulty grade levels, earth fill planters or loose stucco, a recommendation shall be made to correct the condition. Any method of controlling infestations arising from these conditions is considered adequate if the infestation is controlled.
(4) Comply with the provisions of section 2516(c)(6.1) of Title 24 of the California Code of Regulations (Effective July 1992).
(5) Structural members which appear to be structurally weakened by wood-destroying pests to the point where they no longer serve their intended purpose shall be replaced or reinforced. Structural members which are structurally weakened by fungus to the point where they no longer serve their intended purpose shall be removed or, if feasible, may remain in place if another structural member is installed adjacent to it to perform the same function, if both members are dry (below 20% moisture content), and if the excessive moisture condition responsible for the fungus damage is corrected. Structural members which appear to have only surface fungus damage may be chemically treated and/or left as is if, in the opinion of the inspector, the structural member will continue to perform its originally intended function and if correcting the excessive moisture condition will stop the further expansion of the fungus.
(6) Comply with the provisions of section 2516(c)(6) of Title 24 of the California Code of Regulations.
(7) Comply with the provisions of section 2516(c)(4) of Title 24 of the California Code of Regulations.
(8) Exterminate all reported wood-destroying pests. Such extermination shall not be considered repair under section 8516(b)(12) of the code. If evidence indicates that wood-destroying pests extend into an inaccessible area(s), recommendation shall be made to either:
(A) enclose the structure for an all encompassing treatment utilizing materials listed in Section 8505.1 of the code, or
(B) use another all encompassing method of treatment which exterminates the infestation of the structure, or
(C) locally treat by any or all of the following:
1. exposing the infested area(s) for local treatment,
2. removing the infested wood,
3. using another method of treatment which exterminates the infestation. (If any recommendation is made for local treatment, the report must contain the following statement: “Local treatment is not intended to be an entire structure treatment method. If infestations of wood-destroying pests extend or exist beyond the area(s) of local treatment, they may not be exterminated.”)
When a complete inspection is performed, a recommendation shall be made to remove or cover all accessible pellets and frass of wood-destroying pests.
When a limited inspection is performed, the inspection report shall state that the inspection is limited to the area(s) described and diagrammed. A recommendation shall be made to remove or cover all accessible pellets and frass of wood-destroying pests in the limited areas. The limited inspection report shall include a recommendation for further inspection of the entire structure and that all accessible evidence of wood-destroying pests be removed or covered.
(9) For the extermination of subterranean termite infestations, treat an infested area under the structure when subterranean termite tubes are found connected to the ground or when active infestations are found in the ground. Subterranean termite tubes shall be removed where accessible, except where a licensee is using an above ground termite bait station that requires the use of the termite tubes to be effective. Where a licensee is using an above ground termite bait station that requires the use of termite tubes to be effective, subterranean termite tubes can remain in place for the duration of the licensee's use of the termite bait stations. At the conclusion of the treatment, the subterranean termite tubes shall be removed.
(10) Comply with the provisions of section 2516(c)(2) of Title 24 of the California Code of Regulations. 
(11) Correct any excessive moisture condition that is commonly controllable. When there is reasonable evidence to believe a fungus infection exists in a concealed wall or area, recommendations shall be made to open the wall or area.
(12) Repair a stall shower if it is found to leak when water tested for a minimum of fifteen (15) minutes after the shower drain has been plugged and the base filled to within one (1) inch of the top of the shower dam. Stall showers with no dam or less than two (2) inches to the top of the dam are to be water tested by running water on the unplugged shower base for a minimum of five (5) minutes. Showers over finished ceilings must be inspected but need not be water tested. If water stains are evident on the ceiling, recommendations shall be made for further inspection and testing.
(b) Preconstruction application of termiticide for protection from subterranean termites shall not be made at less than the manufacturer's label specifications.
(c) If in the opinion of the inspector a building permit is required, it must be noted on the wood destroying pests and organisms inspection report (Form No. 43M-41 as specified in section 1996 of the California Code of Regulations).
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8516, Business and Professions Code.
HISTORY

1. Amendment filed 9-16-59; effective thirtieth day thereafter (Register 59, No. 16).
2. Amendment filed 5-19-64; designated effective 9-1-64 (Register 64, No. 11).
3. Amendment of subsections (a)(3), (9) and new (b) filed 1-2-68; effective thirtieth day thereafter (Register 68, No. 1).
4. Amendment filed 12-27-73; designated effective 3-1-74 (Register 73, No. 52).
5. Amendment of subsection (a) filed 5-8-80; effective thirtieth day thereafter (Register 80, No. 19).
6. Amendment filed 7-3-80; effective thirtieth day thereafter (Register 80, No. 27).
7. Editorial correction of subsection (a)(12)(Register 80, No. 36).
8. Amendment of subsection (a)(12) filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
9. Amendment of subsection (a)(8) filed 2-13-87; effective thirtieth day thereafter (Register 87, No. 8).
10. Amendment of subsections (a) and (a)(9) and repealer and adoption of subsections (a)(1), (a)(4), (a)(6), (a)(7), and (a)(10) filed 11-15-91; operative   12-16-91 (Register 92, No. 8).
11. Repealer of subsection (a)(8) and new subsections (a)(8)(A)-(C) filed 3-30-92; operative 4-29-92 (Register 92, No. 15).
12. Amendment of subsections (a)(2) and (a)(8), repealer of subsection (b) and new subsection (b) filed 3-13-96; operative 4-12-96 (Register 96, No. 11).
13. Amendment of subsection (a)(5) filed 4-3-96; operative 5-3-96 (Register 96, No. 14).
14. New subsections (a)(13)-(a)(13)(C) and (c) filed 4-28-98; operative 5-28-98 (Register 98, No. 18).
15. Change without regulatory effect amending section heading and subsection (a) filed 5-15-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 20).
16. Amendment of subsection (a)(8)(C)3. filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
17. Amendment of subsection (a)(9) filed 12-30-2005; operative 1-29-2006 (Register 2005, No. 52).
18. Repealer of subsections (a)(13)-(a)(13)(C) filed 3-21-2006; operative 4-20-2006 (Register 2006, No. 12).
§1991.1. Report Requirements Under Section 8516.1(c)(8). [Repealed]
Note     •     History

NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8510 and 8516.1, Business and Professions Code.
HISTORY

1. New section filed 3-6-95; operative 4-5-95 (Register 95, No. 10).
2. Change without regulatory effect repealing section filed 3-26-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 13).
§1992. Secondary Recommendations.
Note     •     History

In addition to the recommendations required in section 1991, the report may suggest secondary recommendations. When secondary recommendations are made, they shall be labeled as secondary recommendations and included as part of the inspection report with a full explanation of why they are made, with the notation that they are below standard measures. If secondary recommendations are performed, any letter of completion, billing or other document referring to the work completed, must state specifically which recommendations were secondary and below standard and specify the name of the person or agency requesting completion of the secondary recommendations.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8516, Business and Professions Code.
HISTORY

1. New sections filed 9-16-59; effective thirtieth day thereafter (Register 59, No. 16).
2. Amendment filed 5-19-64; designated effective 9-1-64 (Register 64, No. 11).
3. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
4. Amendment filed 9-20-90; operative 10-20-90 (Register 90, No. 44).
5. Amendment filed 12-7-92; operative 1-19-93 (Register 92, No. 51).
§1993. Inspection Reports.
Note     •     History

All of the following reports must be in compliance with the requirements of Section 8516 of the code. All reports must be on the form prescribed by the board.
(a) An original inspection report is the report of the first inspection conducted on a structure at the request of a specified party or for a specified purpose. Subsequent inspections conducted on a structure at the request of a different party, for a different purpose than a previous inspection, or a different transaction relating to the same structure shall be deemed to be new inspections for which an original inspection report shall be required. An original inspection report may be either a complete or limited inspection.
(b) A complete report is the report of an inspection of all visible and accessible portions of a structure.
(c) A limited report is the report on only part of a structure. Such a report shall have a diagram of the area inspected and shall specifically indicate which portions of the structure were inspected with recommendation for further inspection of the entire structure and the name of the person or agency requesting a limited report.
(d) A supplemental report is the report on the inspection performed on inaccessible areas that have been made accessible as recommended on a previous report. Such report shall indicate the absence or presence of wood-destroying pests or organisms or conditions conducive thereto. This report can also be used to correct, add, or modify information in a previous report. A licensed operator or field representative shall refer to the original report in such a manner to identify it clearly.
(e) A reinspection report is the report on the inspections of item(s) completed as recommended on an original report or subsequent report(s). The areas reinspected can be limited to the items requested by the person ordering the original inspection report. A licensed operator or field representative shall refer to the original report in such a manner to identify it clearly.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8516, Business and Professions Code.
HISTORY

1. New section filed 9-16-59; effective thirtieth day thereafter (Register 59, No. 16).
2. Amendment filed 5-19-64; designated effective 9-1-64 (Register 64, No. 11).
3. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
4. Amendment of section heading and section filed 3-13-96; operative 4-12-96 (Register 96, No. 11).
5. Amendment of subsections (d) and (e) and new form filed 8-12-96; operative 9-11-96 (Register 96, No. 33).
6. Amendment of first paragraph filed 3-21-2006; operative 4-20-2006 (Register 2006, No. 12).

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§1993.1. Reinspection Language.
Note     •     History

The following statement must appear on any wood destroying pests and organisms inspection report when an estimate or bid for making repairs is given with the original inspection report, or thereafter:
“This company will reinspect repairs done by others within four months of the original inspection. A charge, if any, can be no greater than the original inspection fee for each reinspection. The reinspection must be done within ten (10) working days of request. The reinspection is a visual inspection and if inspection of concealed areas is desired, inspection of work in progress will be necessary. Any guarantees must be received from parties performing repairs.”
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8516, Business and Professions Code.
HISTORY

1. New section filed 7-6-2005; operative 8-5-2005 (Register 2005, No. 27).
§1993.2. Termite Bait Station.
Note     •     History

(a) For the purposes of this section and section 1993.3, “termite bait station” shall include:
(1) an “above-ground bait station,” which shall mean any device containing pesticide bait used for the eradication of wood destroying pests that is attached to the structure, or
(2) an “in-ground bait station,” which shall mean any device containing a material to attract and or monitor wood destroying pests, or containing a pesticide bait to eradicate wood destroying pests, that is placed in the ground.
(3) an “in-ground termite monitoring system” is a device placed in the ground to determine the presence or absence of subterranean termites through scheduled periodic inspections.
(b) Prior to installation of any termite system, a full or limited inspection of the structure shall be made.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8514, Business and Professions Code.
HISTORY

1. New section filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
§1993.3. In-Ground Termite Bait Stations.
Note     •     History

Use of in-ground termite monitoring and/or baiting systems shall be considered a control service agreement as defined by section 8516 of the code.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8516, Business and Professions Code.
HISTORY

1. New section filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
§1994. Limited Inspection Reports. [Repealed]
Note     •     History

NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8516, 8516.1, Business and Professions Code.
HISTORY

1. New section filed 9-16-59; effective thirtieth day thereafter (Register 59, No. 16).
2. Amendment filed 5-19-64; designated effective 9-1-64 (Register 64, No. 11).
3. Repealer filed 3-13-96; operative 4-12-96 (Register 96, No. 11).
§1995. Limitation of Report. [Repealed]
History

HISTORY

1. New section filed 5-19-64; designated effective 9-1-64 (Register 64, No. 11).
2. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§1996. Requirements for Reporting All Inspections Under Section 8516(b).
Note     •     History

(a) A written inspection report conforming to section 8516(b) of the code (See Form No. 43M-41 (Rev. 10/01, required use effective July 1, 2003) at the end of this section) shall be prepared and delivered to the person requesting the inspection, or to the person's designated agent regardless of whether the registered company has offered to perform the inspection without charge. The granting of permission to make an inspection shall be deemed a request to make an inspection.
(b) The failure or refusal of the person ordering the inspection or of his or her designated agent to pay for such inspection or report shall not excuse a registered company which has commenced an inspection from preparing and delivering a report to the person requesting the inspection or the person's designated agent.

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NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8516, Business and Professions Code.
HISTORY

1. New section filed 5-19-64; designated effective 9-1-64 (Register 64, No. 11).
2. Amendment of subsection (b) filed 12-27-73; designated effective 3-1-74 (Register 73, No. 52).
3. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
4. Amendment filed 3-23-87; effective upon filing pursuant to Government Code section 11346.2(d) (Register 87, No. 13).
5. Amendment of subsection (a) filed 7-13-90; operative 8-12-90 (Register 90, No. 34).
6. Amendment of subsection (a) filed 12-28-90; operative 1-27-91 (Register 91, No. 6).
7. Change without regulatory effect amending subsection (a) and form filed 9-16-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 38).
8. Change without regulatory effect amending section and Form 43M-41 filed 3-2-93 pursuant to section 100, title 1, California Code of Regulations (Register 93, No. 10).
9. Editorial correction of Form 43M-41 and History 8 (Register 95, No. 16).
10. Amendment of subsection (a) and Form 43M-41 filed 8-13-98; operative 9-12-98 (Register 98, No. 33).
11. Amendment of subsection (a) and repealer and new form 43M-41 filed 12-16-2002; operative 1-15-2003 (Register 2002, No. 51).
12. Amendment filed 12-30-2005; operative 1-29-2006 (Register 2005, No. 52).
§1996.1. Inspection and Completion Tags.
Note     •     History

(a) An inspection tag shall be posted in the attic or sub-area, or in the garage whenever an inspection for wood-destroying pests or organisms is made. The inspection tag shall be not less than 3” by 5” and shall contain the firm's name, date of inspection and the following statement: “Do not remove--Structural Pest Control Board Regulation 1996.1.”
(b) If the registered company completes any work with respect to wood-destroying pests or organisms, it shall post a completion tag next to the inspection tag. The completion tag shall be not less than 3” by 5” and shall contain the firm's name, date of completion, trade name of any pesticide used, active ingredient or method(s) of treatment.
(c) The inspection report shall indicate the location of the inspection tag. The inspection report must also indicate the presence of any other inspection or fumigation tag that is less than two years old and any similar completion tag. A registered company shall not remove any tag.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8516-8519 and 8644, Business and Professions Code.
HISTORY

1. New section filed 7-17-79; designated effective 10-1-79 (Register 79, No. 29).
2. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
3. Amendment of subsections (b) and (c) filed 3-23-87; effective upon filing pursuant to Government Code section 11346.2(d) (Register 87, No. 13).
4. Amendment of subsection (b) and amendment of Note filed 7-13-2004; operative 8-12-2004 (Register 2004, No. 29).
5. Amendment of subsection (b) filed 11-8-2010; operative 12-8-2010 (Register 2010, No. 46).
§1996.2. Standard Notice of Work Completed and Not Completed.
Note     •     History

A written standard notice of work completed and not completed form conforming to section 8518 of the code and Form No. 43M-44 (Rev. 10/01, required use effective July 1, 2003) found at the end of this section shall be prepared and filed with the board.

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NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Section 8518, Business and Professions Code.
HISTORY

1. New section and form filed 11-19-92; operative 12-21-92 (Register 92, No. 47).
2. Change without regulatory effect amending section and Form 43M-44 filed 3-2-93 pursuant to section 100, title 1, California Code of Regulations (Register 93, No. 10).
3. Editorial correction moving Note and History to follow Form 43M-44 (Register 95, No. 16).
4. Amendment of subsection (a) and Form 43M-44 filed 8-13-98; operative 9-12-98 (Register 98, No. 33).
5. Amendment of section and repealer and new form 43M-44 filed 12-16-2002; operative 1-15-2003 (Register 2002, No. 51).
§1996.3. Requirements for Reporting Property Addresses.
Note     •     History

(a) The address of each property inspected and/or upon which work was completed shall be reported on a form prescribed by the Board and designated as the WDO Inspection and Completion Activity Report Form (see Form No. 43M-52 Rev. 5/09) at the end of this section. This form shall be prepared by each registered company and shall comply with all of the requirements pursuant to Section 8516(b), and 8518.
(b) The form shall contain the following information for each property inspected and/or upon which work was completed.
(1) Company Name
(2) Company registration number
(3) Branch office registration number (when a branch office issues an inspection report or notice of work completed
(4) Date of Activity
(5) Address of property inspected or upon which work was completed, including zip code
(6) Activity Code
(7) License number of licensee performing the inspection
(c) Failure of a registered company to report and file with the Board the address of any property inspected or upon which work was completed pursuant to Section 8516(b) or 8518 are grounds for disciplinary action and subject to a fine of not more then two thousand five hundred dollars ($2,500).

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NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8516 and 8518, Business and Professions Code.
HISTORY

1. New section and new form 43M-52 filed 7-13-2004; operative 8-12-2004 (Register 2004, No. 29).
2. Amendment of section and form 43M-52 filed 5-20-2010; operative 7-1-2010 (Register 2010, No. 21).
§1997. WDO Inspection and Completion Activity Fee.
Note     •     History

Pursuant to the provisions of section 8674 of the Business and Professions Code, the following fee is determined, set and established: 
(1) Activity Reporting fee per Property Address $1.50. Effective July 1, 2010, the Activity Reporting fee per Property Address is $2.50.
NOTE

Authority cited: Sections 8525 and 8674, Business and Professions Code. Reference: Sections 8518 and 8674, Business and Professions Code.
HISTORY

1. Amendment filed 3-15-77; effective thirtieth day thereafter (Register 77, No. 12). For prior history, see Register 68, No. 6. 
2. Amendment filed 2-22-80; effective thirtieth day thereafter (Register 80, No. 8). 
3. Amendment filed 6-9-82; effective thirtieth day thereafter (Register 82, No. 24). 
4. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39). 
5. Amendment filed 9-7-84; effective thirtieth day thereafter (Register 84, No. 36). 
6. Amendment filed 2-13-87; effective thirtieth day thereafter (Register 87, No. 8). 
7. Amendment filed 9-19-88; operative 10-19-88 (Register 88, No. 39). 
8. Amendment filed 9-19-90; operative 10-19-90 (Register 90, No. 44).
9. Amendment filed 7-21-92; operative 8-20-92 (Register 92, No. 30).
10. Amendment filed 10-15-96; operative 11-14-96 (Register 96, No. 42).
11. Change without regulatory effect amending section heading, section and Note filed 1-28-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 4).
12. Amendment filed 5-20-2010; operative 7-1-2010 (Register 2010, No. 21).
§1998. Reporting Requirements Under Section 8516(h)(4).
Note     •     History

If an inspection report is required pursuant to code section 8516(h)(4), a notice of work completed and not completed shall also be prepared and provided to the homeowner or his/her designated agent for any work recommended and performed pursuant to such report.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8516 and 8518, Business and Professions Code.
HISTORY

1. New section filed 10-29-70; designated effective 11-30-70 (Register 70, No. 44).
2. New NOTE filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
3. Amendment filed 3-23-87; effective upon filing pursuant to Government Code section 11346.2(d) (Register 87, No. 13).
4. Amendment of section heading, repealer of first paragraph and subsections (a)-(e), and amendment of subsection (f), including repealer of subsection (f) designator, filed 3-6-95; operative 4-5-95 (Register 95, No. 10).
5. Amendment filed 3-21-2006; operative 4-20-2006 (Register 2006, No. 12).
§1999.1. Suspension Period for Branch 3 Licenses. [Repealed]
Note     •     History

NOTE

Authority cited:  Sections 8525 and 8620, Business and Professions Code. Reference: Sections 8632 and 8652, Business and Professions Code .
HISTORY

1. New section filed 8-1-79; effective thirtieth day thereafter (Register 79, No. 31). 
2. Repealer filed 3-6-95; operative 4-5-95 (Register 95, No. 10).
Article 6. Enforcement
§1999.5. False and Misleading Advertising.
Note     •     History

It is the purpose of this regulation to protect the public from false, misleading, deceptive, or unfair representations or claims concerning structural pest control while enabling the public to receive truthful and legitimate information about those structural pest control products and services and the potential of these products and services to reduce impact to health or the environment.
(a) It is unlawful for any licensee, or any employee thereof, directly or indirectly to make, disseminate, represent, claim, state, or advertise, or cause to be made, disseminated, represented, claimed, stated or advertised by any manner or means whatever, any statement or representation concerning structural pest control, as defined in Business and Professions Code section 8505, which is unfair, deceptive, untrue or misleading, and which is known, or which by the exercise of reasonable care should be known, to be unfair, deceptive, untrue or misleading.
(b) As used in this section, the terms “make,” “disseminate,” “represent,” “claim,” “state,” or “advertise” and any of their variants include, but are not limited to any print communications (for example, telephone directories, newspapers, magazines or other publications or books, notices, circulars, pamphlets, letters, handbills, posters, bills, signs, placards, cards, labels, tags, vehicle or equipment signage, window displays, or store signs), electronic communication (for example, radio, television, audio or video tape, telephone, or the Internet), demonstration, direct person-to-person contact, or other means or methods now or hereafter employed to bring structural pest control services, methods, products, pesticides, or devices to the attention of the public for the direct or indirect purpose of performing or offering to perform services for which a license is required by section 8500 and following of the Code.
(c) As used in this section “the exercise of reasonable care” includes a duty to investigate the basis of any statement or representation to assure that the statement or representation is not unfair, deceptive, untrue or misleading. The making of a statement or representation without knowledge of its truthfulness breaches the duty to investigate.
(d) Violation of this section occurs at the time an unfair, deceptive, untrue or misleading statement or representation is made. Once a violation occurs, subsequent disclosures, caveats, disclaimers, or waivers cannot eliminate it.
(e) The remedies or penalties provided by this section are cumulative to each other and to the remedies or penalties available under all other laws and regulations of this State.
(f) Examples of direct or indirect statements or representations which are unfair, deceptive, untrue or misleading include, but are not limited to, the following:
(1) any advertising in violation of Business and Professions Code sections 17200, and 17500;
(2) any statement or representation that misrepresents or fails to disclose an important or necessary fact about a pest control service, method, product, pesticide or device;
(3) any unfair, deceptive, untrue or misleading statement or representation about the effects of a pest control service, method, product or device;
(4) any expressed or implied statement or representation that one or a combination of pest control services, methods, products, pesticides, or devices is an alternative or substitute for, is comparable to, or is better than any other pest control service, method, product, pesticide, device, or combination thereof, if what is being compared provides different treatment coverage of a structure, including but not limited to differences in the extent that accessible and inaccessible areas can reasonably be treated, unless said differences in treatment coverage are clearly and conspicuously stated. This subsection (f)(4) shall only apply to Branch 3 activities;
(5) any representation that a service, method, product, pesticide, or device, or combination thereof, intended to treat infested wood in a structure, will be used to treat an entire structure for target pests if the service, method, product, pesticide, or device or combination thereof is not capable of treating all potentially infested wood in a structure including inaccessible areas. This subsection (f)(5) shall only apply to Branch 3 activities;
(6) any statement or representation that a pest control service, product, pesticide, or device or combination thereof offers a general environmental protection or benefit unless the statement or representation can be substantiated within the meaning of section 260.5 of title 16 of the Code of Federal Regulations (2008), hereby incorporated by reference, and is limited to the specific nature of the environmental or health benefit being asserted;
(7) any unfair, deceptive, untrue or misleading statement concerning the composition of a pest control service, method, product, pesticide or device;
(8) any unfair, deceptive, untrue or misleading statement concerning the effectiveness of a pest control service, method, product, pesticide or device;
(9) any unfair, deceptive, untrue or misleading statement about the value of a pest control product for purposes other than as a pesticide or pest control device;
(10) any unfair, deceptive, untrue or misleading comparison of pest control services, methods, products, pesticides or devices;
(11) any statement or representation that a pesticide or device is certified, sponsored, recommended, endorsed, or approved by any agency of the Federal Government or the State of California, including but not limited to, “tested by the Department of the Interior,” “EPA approved,” “EPA registered,” “approved by the Structural Pest Control Board,” or “recommended by the Structural Pest Control Board,” except that a statement or representation of this type is permissible if specifically authorized by the Federal or State agency to which it refers;
(12) a statement which is literally true but is used in such a way as to give an unfair, deceptive, untrue or misleading impression to the consumer;
(13) claims that a pesticide application, a pesticide or pesticide ingredients are safe, including statements such as “safe,” “nonpoisonous,” “non-injurious,” “harmless” or “nontoxic to humans and pets” with or without such a qualifying phrase as “when used as directed”;
(14) claims regarding services and products for which the licensee does not have substantiation in the form of tests, analysis, research, studies, or other evidence that was conducted and evaluated in an objective manner by persons qualified to do so, using procedures generally accepted by others in the profession or science to yield accurate and reliable results; and
(15) any statement or representation concerning structural pest control that is conditioned or subject to any requirement, condition, limitation, disclaimer or waiver, that is not immediately followed by a clear and conspicuous statement of said requirement, condition, limitation, disclaimer or waiver.
NOTE

Authority cited: Section 8525, Business and Professions Code. Reference: Sections 8648, 17200 and 17500, Business and Professions Code; and Section 260.5, title 16, Code of Federal Regulations (2008).
HISTORY

1. New article 6 (section 1999.5) and section filed 10-23-2001; operative 11-22-2001 (Register 2001, No. 43).
2. Change without regulatory effect amending subsection (f)(1) filed 9-24-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 39).
3. New introductory paragraph, amendment of subsections (b), (f)(4)-(6), (f)(11) and (f)(13), repealer of subsection (f)(14), subsection renumbering and amendment of Note filed 7-17-2009; operative 8-16-2009 (Register 2009, No. 29).
Division 20. Veterinary Medical Board

(Originally Printed 12-5-46)
Article 1. General Provisions
§2000. Location of Offices.
Note     •     History

The principal office of the Veterinary Medical Board is located at 2005 Evergreen Avenue, Suite 2250, Sacramento, California 95815.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4800, Business and Professions Code.
HISTORY

1. Amendment filed 11-7-57 as organizational; effective upon filing (Register 57, No. 19).
2. Amendment filed 10-30-63 as procedural and organizational; effective upon filing (Register 63, No. 20).
3. Amendment filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8).
4. Amendment filed 10-12-83; effective thirtieth day thereafter (Register 83, No. 42).
5. Change without regulatory effect amending Division 20 heading and section filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
6. Amendment filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
§2001. Tenses, Gender, and Number. [Repealed]
History

HISTORY

1. Repealer filed 10-12-83; effective thirtieth day thereafter (Register 83, No. 42).
§2002. Definitions.
Note     •     History

For the purposes of the rules and regulations contained in this chapter, the term ``board” means the Veterinary Medical Board; the term “committee” means the Registered Veterinary Technician Committee; the term “code” means the Business and Professions Code, and the term “client” means any person for whom veterinary medical services are performed or to whom veterinary medical products or services are sold or provided.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4800 and 4832, Business and Professions Code.
HISTORY

1. Amendment filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8).
2. Change without regulatory effect amending section filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
3. Amendment of section and Note filed 5-25-2000; operative 6-24-2000 (Register 2000, No. 21).
§2003. Delegation of Certain Functions.
Note     •     History

The power and discretion conferred by law upon the board to receive and file accusations; issue notices of hearing, statements to respondent and statements of issues; receive and file notices of defense; determine the time and place of hearings under Section 11508 of the Government Code; issue subpoenas and subpoenas duces tecum; set and calendar cases for hearing and perform other functions necessary to the business-like dispatch of the business of the board in connection with proceedings under the provisions of Sections 11500 through 11528 of the Government Code, prior to the hearing of such proceedings; and the certification and delivery or mailing of copies of decisions under Section 11518 of said code are hereby delegated and conferred upon the executive officer, or, in his or her absence from the office of the board, the acting executive officer.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 107, Business and Professions Code.
HISTORY

1. Amendment filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8).
2. Change without regulatory effect amending section filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
§2004. Filing of Addresses.
Note     •     History

Each person holding a certificate of registration, license, permit or other authority issued by the board shall notify the board at its principal office of any changes of mailing address within thirty (30) days after any such change.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 124, 4852 and 4875, Business and Professions Code.
HISTORY

1. Amendment filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8).
2. Amendment filed 10-12-83; effective thirtieth day thereafter (Register 83, No. 42).
§2005. Posting of Notice of Revocation or Suspension.
Note     •     History

In the event a license is revoked or suspended by the board pursuant to code, the board may post a notice of its order of revocation or suspension in a conspicuous place at the place or places of business of the licensee.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4833, 4846 and 4847.5, Business and Professions Code.
HISTORY

1. New section filed 10-21-53; effective thirtieth day thereafter (Register 53, No. 19).
2. Amendment filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8).
§2006. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), the Board shall consider the disciplinary guidelines entitled: “Veterinary Medical Board Disciplinary Guidelines, May 2002 Edition” which are hereby incorporated by reference. Deviation from these guidelines, including the standard terms of probation, is appropriate where the Board in its sole discretion determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4875, 4876 and 4883, Business and Professions Code; and Section 11425.50(e), Government Code.
HISTORY

1. New section filed 4-18-97; operative 5-18-97 (Register 97, No. 16).
2. Amendment of Veterinary Medical Board Disciplinary Guidelines (incorporated by reference) and amendment of section and Note filed 5-21-2002; operative 6-20-2002 (Register 2002, No. 21).
§2007. Response to Board Inquiry.
Note     •     History

If the board or its designee asks an applicant or licensee to provide criminal history information, a licensee shall respond to that request within 30 days. The applicant or licensee shall make available all documents and other records requested and shall respond with accurate information.
NOTE

Authority cited: Sections 4800.1 and 4808, Business and Professions Code. Reference: Sections 144, 4804.5, 4808, 4837, 4875, 4883 and 4885, Business and Professions Code; and Section 11105, Penal Code. 
HISTORY

1. New section filed 4-15-2011; operative 4-1-2012 (Register 2011, No. 15).
Article 2. Examination and Licensing
§2009. Registered Veterinary Technicians.
Note     •     History

Sections 2013, 2014, and 2015 of this article shall not apply to applicants for registration as a registered veterinary technician.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4839, Business and Professions Code.
HISTORY

1. New section filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8).
2. Amendment filed 10-12-83; effective thirtieth day thereafter (Register 83, No. 42).
3. Change without regulatory effect amending section heading filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
§2010. Application.
Note     •     History

(a) An application for eligibility evaluation for the California State Board examination shall be submitted to the board at its principal place of business on an application form and pursuant to instructions prescribed and provided by the board, (Veterinary Application, Form No. 25A-1, Rev. 9/2010; Veterinary Application Instructions, Rev. 9/2010), accompanied by such evidence, statements, or documents as therein required. The Board shall complete the eligibility evaluation and notify the candidate of eligibility and/or status.
Once eligibility is established, the candidate will be authorized to take the computer based examination. If an applicant fails their first scheduled examination, the applicant must reapply by submitting to the board required application forms and fees.
(b) An application for the registered veterinary technician examination shall be submitted on an application form and pursuant to instructions prescribed and provided by the board, (Registered Veterinary Technician Application, Form No. 26A-1, Rev. 9/2010; Registered Veterinary Technician Application Instructions, Rev. 9/2010), accompanied by such evidence, statements, or documents as therein required. The Board shall complete the eligibility evaluation and notify the candidate of eligibility and/or status.
Once eligibility is established, the candidate will be authorized to take the computer based registered veterinary technician examination. If an applicant fails their first scheduled examination, the applicant must reapply by submitting to the board required application forms and fees.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4841.5 and 4848, Business and Professions Code.
HISTORY

1. Amendment filed 12-15-53; effective thirtieth day thereafter (Register 53, No. 23).
2. Amendment filed 5-2-78 as an emergency; effective upon filing (Register 78, No. 18).
3. Certificate of Compliance filed 7-7-78 (Register 78, No. 27).
4. Amendment filed 10-12-83; effective thirtieth day thereafter (Register 83, No. 42).
5. Amendment filed 5-20-85; effective thirtieth day thereafter (Register 85, No. 21).
6. Change without regulatory effect amending section filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
7. Amendment filed 7-18-2000; operative 7-18-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 29).
8. Amendment filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
§2010.05. Fingerprint and Disclosure Requirements for Renewal of License.
Note     •     History

(a) As a condition of renewal of a license, a veterinarian who was initially licensed prior to January 1, 1960, a registered veterinary technician who was initially licensed prior to January 1, 2004, or any licensee for whom an electronic record of the submission of fingerprints no longer exists or was never created, shall furnish to the Department of Justice a full set of fingerprints for the purpose of conducting a criminal history record check and to undergo a state and federal level criminal offender record information search conducted through the Department of Justice. 
(1) The licensee shall pay any costs for furnishing the fingerprints and conducting the searches. 
(2) A licensee shall certify on the renewal form whether his or her fingerprints have been furnished to the Department of Justice in compliance with this section. 
(3) This requirement is waived if the licensee is renewed in an inactive status, or is actively serving in the military outside the country. 
(4) A licensee shall retain, for at least three years from the renewal date, either a receipt showing the electronic transmission of his or her fingerprints to the Department of Justice or a receipt evidencing that the licensee's fingerprints were taken.
(b) As a condition of renewal, a licensee shall disclose to the Board whether, in the prior renewal cycle, he or she has been convicted of any violation of the law in this or any other state, the United States, or other country, omitting traffic infractions not involving alcohol, dangerous drugs, controlled substances or animals. In addition, a licensee shall disclose any disciplinary actions against any of his or her licenses in this or any other state. 
(c) Failure to comply with the requirements of this section renders any application for renewal incomplete and the license will not be renewed until the licensee demonstrates compliance with all requirements.
(d) Failure to furnish a full set of fingerprints to the Department of Justice as required by this section on or before the date required for renewal of a license is grounds for discipline by the Board. 
NOTE

Authority cited: Sections 144, 4800.1 and 4808, Business and Professions Code. Reference: Sections 144, 4800.1, 4808, 4837, 4875, 4883, 4885, 4901, 4901.1, 4901.2 and 4902, Business and Professions Code; and Section 11105, Penal Code. 
HISTORY

1. New section filed 4-15-2011; operative 4-1-2012 (Register 2011, No. 15).
§2010.1. Eligibility Evaluation -- National Examination.
Note     •     History

All applicants applying for eligibility evaluation for the national examination shall submit an application and required supporting documents to the American Association of Veterinary State Boards (AAVSB).
(a) Applicants from an AVMA accredited college of veterinary medicine must submit proof of senior status and of being within eight months of graduation.
(b) Applicants from a veterinary college not recognized by the Board shall submit supporting documents to substantiate either:
1. certificate of completion of the Educational Commission for Foreign Veterinary Graduates program (ECFVG) or
2. certificate of completion of the Program for Assessment of Veterinary Education Equivalence (PAVE).
(c) Upon the determination of an applicant's eligibility for the national examination, the AAVSB shall notify the applicant of his or her eligibility to take the national examination and transmit the applicant's eligibility information to the National Board Examination Committee or its authorized representative.
(d) All applicants with current and valid eligibility on file with the AAVSB may make proper application to the National Board of Veterinary Medical Examiners or its authorized representative for the national examination.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4846.1 and 4848, Business and Professions Code.
HISTORY

1. New section filed 7-18-2000; operative 7-18-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 29).
2. Amendment of section and Note filed 4-9-2002; operative 5-9-2002 (Register 2002, No. 15).
3. Amendment filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
§2010.5. Receipt of Fees.
Note     •     History

No applications shall be acted upon by the board unless all the appropriate fees have been received from the applicant.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4842.5 and 4905, Business and Professions Code.
HISTORY

1. New section filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8).
§2011. Refund of Fees.
Note     •     History

(a) An applicant shall not be refunded any fee for failure to appear for an examination at its designated time and place.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 158, Business and Professions Code.
HISTORY

1. New section filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8). For history of former section, see Register 72, No. 18.
2. Amendment filed 7-18-2000; operative 7-18-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 29).
§2011.5. Waiver or Refund of License Fees.
Note     •     History

Initial license fees shall be waived or refunded when licenses are issued less than 45 days before the dates on which such licenses will expire unless the board finds that the issuance within said 45 days is due to the neglect, fault or omission of particular applicants otherwise entitled to such waiver or refund. The executive officer of the board is authorized and directed to execute written evidence of the waivers and to make the refunds provided for in this section. Waivers shall not be effective in the absence of such written evidence thereof.
NOTE

Authority cited: Sections 4808 and 4905(b)(2), Business and Professions Code. Reference: Section 4905(b), Business and Professions Code.
HISTORY

1. New section filed 8-11-65 as an emergency; effective upon filing (Register 65, No. 14).
2. New section filed 8-14-67 as an emergency; effective upon filing (Register 67, No. 33).
3. Certificate of Compliance--Sec. 11422.1, Gov. Code, filed 12-11-67 (Register 67, No. 50).
4. Amendment filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8).
5. Amendment filed 12-23-94; operative 1-1-95 pursuant to Government Code Section 11346.2(d) (Register 94, No. 51).
6. Change without regulatory effect amending section filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
§2012. Time and Place of Holding Examinations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4848, Business and Professions Code.
HISTORY

1. Repealer filed 10-12-83; effective thirtieth day thereafter (Register 83, No. 42).
§2013. Subject of Examination. [Repealed]
History

HISTORY

1. Amendment filed 12-15-53; effective thirtieth day thereafter (Register 53, No. 23).
2. Repealer filed 10-12-83; effective thirtieth day thereafter (Register 83, No. 42).
§2014. Veterinary Licensing Examination.
Note     •     History

(a) The veterinary licensing examination shall consist of a  national examination, a California state board examination, and the veterinary medicine practice act examination which shall be referred to as the veterinary law examination.
(b) Subject to the provisions of section 2015, every applicant who obtains a passing score determined by the Angoff criterion-referenced method of establishing the pass point in the national examination shall be deemed to have passed the national examination. Such a passing score may vary moderately with changes in test composition.
(c) Every applicant who obtains a passing  score determined by the Angoff criterion-referenced method of establishing the pass point in the California state board examination shall be deemed to have passed the California state board examination. Such a passing score may vary moderately with changes in test composition.
(d) Every applicant who obtains a score of at least 80% on the veterinary law examination shall be deemed to have passed that examination.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4848, Business and Professions Code.
HISTORY

1. Amendment filed 4-20-90; operative 5-20-90 (Register 90, No. 20).
2. Amendment filed 9-3-92; operative 10-5-92 (Register 92, No. 36).
3. Amendment of subsection (a) and new subsection (d) filed 3-29-99 as an emergency; operative 3-29-99 (Register 99, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-27-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-29-99 order transmitted to OAL 7-15-99 and filed 7-30-99 (Register 99, No. 31). 
5. Amendment of subsections (a)-(b) filed 7-18-2000; operative 7-18-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 29).
§2014.5. National Examination -- Transition Plan. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4848, Business and Professions Code.
HISTORY

1. New section filed 7-18-2000; operative 7-18-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 29).
2. Repealer filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
§2015. Examinations Credit.
Note     •     History

(a) An applicant who passes the national examination, the California state board examination and the veterinary law examination within the sixty month period immediately following the date of the administration of the initial examination receiving a passing score shall be deemed to have met the examination requirements for licensure.
(b) Where an applicant fails to pass the national examination, the California state board examination, and the veterinary law examination within the specified sixty month period, the applicant shall be required to retake and pass all those examinations.
(c) An applicant who has failed an examination or who has failed to pass all required examinations within the specified 60 month period may apply to be re-examined at a subsequent examination.
NOTE

Authority cited: Sections 4808, Business and Professions Code. Reference: Sections 135 and 4848, Business and Professions Code.
HISTORY

1. Amendment filed 12-28-62; effective thirtieth day thereafter (Register 62, No. 26).
2. Amendment of subsection (c) filed 4-28-72; effective thirtieth day thereafter (Register 72, No. 18).
3. Amendment filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8).
4. Amendment filed 10-12-83; effective thirtieth day thereafter (Register 83, No. 42).
5. Amendment of subsections (a) and (c), renumbering and amendment of former subsections (c)(2) and (c)(3) to section 2015.1, and new subsections (d) and (e) filed 9-18-89; operative 10-18-89 (Register 89, No. 38).
6. Repealer of subsection (c) and relettering and amendment of following subsections filed 9-3-92; operative 10-5-92 (Register 92, No. 36).
7. Amendment of subsections (c) and (d) filed 5-10-2000; operative 6-9-2000 (Register 2000, No. 19).
8. Amendment filed 7-18-2000; operative 7-18-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 29).
9. Amendment of section heading and section filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
§2015.1. Substantially Similar Examinations; Conditional Credit.
Note     •     History

(a) An applicant who has taken the national examination out of state and has achieved a score on such examination at least equal to the score required to pass the national examination under Section 2014, shall receive conditional credit for that examination.
(b) Applicants receiving conditional examination credit in accordance with this section shall complete the national  examination, the California state board examination, and the veterinary law examination within the sixty month period immediately following the date of the examination for which conditional credit has been granted. Where the remaining examinations are passed within the specified time, the applicant shall be deemed to have met the examination requirements for licensure.
(c) Where an applicant, specified in this section, fails to pass the national examination, the California state board examination, and the veterinary law examination within the specified time, the board shall withdraw all conditional examination credit granted during this period and the applicant shall be required to retake and pass all those examinations.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 135 and 4848, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 2015(c)(2) and (c)(3) to section 2015.1 filed 9-18-89; operative 10-18-89 (Register 89, No. 38).
2. Amendment filed 9-3-92; operative 10-5-92 (Register 92, No. 36).
3. Amendment of subsections (b) and (c) filed 5-10-2000; operative 6-9-2000 (Register 2000, No. 19).
4. Amendment filed 7-18-2000; operative 7-18-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 29).
§2015.2. Veterinary Law Examination.
Note     •     History

(a) The veterinary law examination shall be administered by mail. Applicants taking the veterinary law examination shall return the completed examination to the board within 40 days of its date of mailing by the board. Failure to return a completed veterinary law examination to the board within the prescribed time shall cause the applicant to be deemed to have failed the examination and the applicant shall be required to re-apply and re-take the examination.
(b) An applicant who is a University of California or Western University of Health Sciences veterinary medical student who has successfully completed a course on veterinary law and ethics covering the California Veterinary Medicine Practice Act shall be exempt from having to take the veterinary law examination upon providing documentation from the course provider that the applicant has successfully completed such a course.
(c) Notwithstanding section 2010, an application to take the veterinary law examination may be submitted at any time the applicant has met the requirements, in accordance with these regulations, to take such examination.
(d) An applicant applying for a temporary license pursuant to section 4848(b) shall be eligible to take the veterinary law examination upon meeting the requirements of section 4848(b)(1)-(3).
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4848, Business and Professions Code.
HISTORY

1. New section filed 3-29-99 as an emergency; operative 3-29-99 (Register 99, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-27-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-29-99 order transmitted to OAL 7-15-99 and filed 7-30-99 (Register 99, No. 31). 
3. Amendment of subsection (b) filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
§2015.5. Abandonment of Application.
Note     •     History

(a) An application shall be deemed to have been abandoned and the application fee forfeited when the applicant:
(1) Fails, without good cause, to appear for examination within one year or two subsequent examinations, whichever first occurs, after notification by the board; or
(2) Fails to submit the initial license fee within two years after notification by the board.
(b) An applicant whose application has been deemed abandoned may again become eligible for examination or re-examination upon filing a new application and paying the application fee.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4846, Business and Professions Code.
HISTORY

1. New section filed 11-19-54; effective thirtieth day thereafter (Register 54, No. 25).
2. Amendment filed 4-28-72; effective thirtieth day thereafter (Register 72, No. 18).
3. Amendment filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8).
§2016. Temporary Licensee; Application for a Regular Renewable License.
Note     •     History

When applying for a regular renewable license, pursuant to section 4848(c), a temporary licensee shall certify in writing and provide a certificate of completion from a provider of an approved California curriculum that the applicant has completed successfully the California curriculum as set forth in this article. 
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4848, Business and Professions Code. 
HISTORY

1. New section filed 5-10-2000; operative 6-9-2000 (Register 2000, No. 19). For prior history, see Register 99, No. 31.
§2017. Review of Applications. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4808, Business and Professions Code; and Section 15376, Government Code. Reference: Section 15376, Government Code.
HISTORY

1. New section filed 7-14-89; operative 8-13-89 (Register 89, No. 29). For history of former Section 2017, see Register 62, No. 26.
2. Amendment of section heading and subsections (b)(1)-(2), and new subsections (c) and (d) filed 7-31-95; operative 8-30-95 (Register 95, No. 31).
3. Change without regulatory effect amending subsections (c) and (d) filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
4. Amendment filed 7-18-2000; operative 7-18-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 29).
5. Repealer filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
§2018. Processing Time. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4808, Business and Professions Code; and Section 15376, Government Code. Reference: Section 15376, Government Code.
HISTORY

1. New section filed 7-14-89; operative 8-13-89 (Register 89, No. 29). For history of former Section 2018, see Register 83, No. 42.
2. Amendment of subsections (a)-(c) and new subsection (d) filed 7-31-95; operative 8-30-95 (Register 95, No. 31).
3. Change without regulatory effect amending subsection (d) filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
4. Amendment filed 7-18-2000; operative 7-18-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 29).
5. Repealer filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
§2019. Inspection of Examinations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4808, Business and Professions Code. Reference cited: Section 4848, Business and Professions Code.
HISTORY

1. New section filed 12-7-79; effective thirtieth day thereafter (Register 79, No. 49).
2. Amendment filed 10-12-83; effective thirtieth day thereafter (Register 83, No. 42).
3. Amendment filed 9-25-87; operative 10-25-87 (Register 87, No. 40).
4. Amendment of subsection (a) filed 12-23-94; operative 1-1-95 pursuant to Government Code Section 11346.2(d) (Register 94, No. 51).
5. Change without regulatory effect amending subsection (a) filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
6. Repealer filed 7-18-2000; operative 7-18-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 29).
§2020. Examination Appeal.
Note     •     History

(a) Within forty-five (45) days after the date notice of the results of the examination has been given to the applicant, an applicant who was unsuccessful in the California state board examination or the registered veterinary technician examination may appeal to the Board.
(b) The appeal shall be submitted in writing to the Board's principal office; and it shall state the specific reasons for such appeal.
(c) The executive officer to the Board may deny an appeal requesting a review of an examination that is not accompanied by information supporting the reasons for such request or is not filed within the appeal period stated in subsection (a).
(d) Only appeals concerning the format of the examination, computer grading errors or conditions at the examination site will be considered by the Board.
NOTE

Authority cited: Sections 4808 and 4849, Business and Professions Code. Reference cited: Section 4849, Business and Professions Code.
HISTORY

1. New section filed 12-7-79; effective thirtieth day thereafter (Register 79, No. 49).
2. Amendment of subsections (b) and (c) filed 12-23-94; operative 1-1-95 pursuant to Government Code Section 11346.2(d) (Register 94, No. 51).
3. Change without regulatory effect amending subsections (b) and (c) filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
4. Amendment of subsection (a) filed 7-18-2000; operative 7-18-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 29).
5. Amendment of subsections (a)-(c) filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
Article 2.5. Temporary Licenses
§2021. Temporary License -- Definitions.
Note     •     History

For purposes of this article and the provisions of sections 4848 and 4848.3 of the code relating to temporary licenses:
(a) “Year of full time clinical veterinary medical practice” shall mean that the applicant for a temporary license has performed clinical veterinary medicine at least 46 weeks in a calendar year and averaged 32 hours per week.
(b) “Temporary licensee” shall mean a holder of a temporary license issued pursuant to section 4848(b) of the code.
(c) “Temporary licensee intern” or “intern” shall mean a holder of a temporary license issued pursuant to section 4848.3 of the code.
(d) “Good standing” as used in reference to a California licensed veterinarian shall mean that the veterinarian:
(1) Is not currently under investigation or has not been charged with an offense for any act substantially related to the practice of veterinary medicine by any public agency, nor entered into any consent agreement or subject to an administrative decision that contains conditions placed by an agency upon the veterinarian's professional conduct or practice, including any voluntary surrender of license, nor been the subject of an adverse judgment resulting from the practice of veterinary medicine that the board determines constitutes evidence of a pattern of incompetence or negligence.
(2) Has no physical or mental impairment related to drugs, alcohol, or has not been found mentally incompetent by a physician so that the veterinarian is unable to undertake the practice of veterinary medicine in a manner consistent with the safety of a patient or the public.
(e)(1) “Supervision”, shall mean that the supervisor of a temporary licensee or temporary licensee intern is ensuring that the extent, kind, and quality of veterinary services performed by the temporary licensee is consistent with that which is ordinarily provided by veterinarians in good standing, practicing in this state, under similar circumstances and conditions; reviewing client/patient records, monitoring and evaluating diagnosis, and treatment decisions of the temporary licensee; monitoring and evaluating the ability of the temporary licensee to provide the services where he or she will be practicing and to the particular clientele being served; and ensuring compliance with the laws and regulations governing the practice of veterinary medicine.
(2) Supervision shall include at least one face-to-face observation and review by the supervisor of the temporary licensee's veterinary services per week which shall be documented and maintained by the supervisor.
(3) Supervision shall include the establishment of a protocol where the supervisor or another designated California licensed veterinarian in good standing are available to the temporary licensee in the event of an emergency or a need arises for a consultation.
(f) “Direct supervision” shall mean that the supervisor of a temporary licensee intern has complied with the provisions of subdivision (e)(1) of this section, and all of the following:
(1) When the supervising board-certified specialist is not physically on site where the intern is performing veterinary medical services, the supervisor shall be available by telephone for consultation with the intern or has designated another board-certified specialist to be available at the site or by telephone for consultation with the intern, and
(2) The supervisor or another board-certified specialist conducts daily face-to-face observation and review of the intern's veterinary medical services.
If a board-certified specialist is unavailable to conduct the daily face-to-face review of the intern's veterinary medical services, the supervisor may order that such a review be performed by a California licensed veterinarian in good standing who is not a board-certified specialist for a period not to exceed fourteen consecutive days.
(g) A “qualifying internship or residency program,” within the meaning of section 4848.3 shall mean that the program undergoes annual evaluation and has been approved by the California Veterinary Medical Association (“CVMA”) in accordance with its publication entitled “Internship and Residency Approval Program” dated April 10, 2007. If an evaluation results in the withdrawal of approval by the CVMA, the internship or residency program shall no longer be deemed to be a qualifying internship or residency program.
(h) “Board-certified” shall mean a veterinarian who possesses a current and valid regular renewable license to practice veterinary medicine in this state and holds a current and valid certification from the American Veterinary Medical Association in one of the following specialties: anesthesiology, dentistry, dermatology, emergency and critical care, internal medicine (all specialties), ophthalmology, radiology, surgery and theriogenology.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4848 and 4848.3, Business and Professions Code.
HISTORY

1. New article 2.5 (sections 2021-2021.10) and section filed 3-29-99 as an emergency; operative 3-29-99 (Register 99, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-27-99 or emergency language will be repealed by operation of law on the following day. For prior history of section 2021, see Register 92, No. 12.
2. Certificate of Compliance as to 3-29-99 order transmitted to OAL 7-15-99 and filed 7-30-99 (Register 99, No. 31). 
3. Amendment of section and Note filed 8-2-99 as an emergency; operative 8-2-99 (Register 99, No. 32). A Certificate of Compliance must be transmitted to OAL by 11-30-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-2-99 order, including further amendment of subsections (f)(2)-(h), transmitted to OAL 11-30-99 and filed 1-11-2000 (Register 2000, No. 2).
5. Amendment of subsection (g) filed 6-12-2009; operative 7-12-2009 (Register 2009, No. 24).
§2021.1. Temporary Licenses; Notification of Supervisor.
Note     •     History

(a) A temporary license shall expire at 12 midnight on the last day of the twelfth month following its issuance.
(b) A temporary license issued pursuant to sections 4848 or 4848.3 shall not be renewable and shall be in effect until its expiration date or a regular renewable license to practice veterinary medicine is issued by the board, whichever first occurs.
(c) A person applying for a temporary license pursuant to subdivision (b) of section 4848 of the code shall include with the application, on forms VMB-1 (7-30-99) and VMB-1A (7-30-99) provided by the board, the name and license number of the veterinarian who is to be temporary licensee's supervisor which is accompanied by a signed acknowledgment from the supervisor that he or she read and agrees to comply with the provisions of the board's laws relating to the supervision of a temporary licensee.
(d) A person applying for a temporary license pursuant to section 4848.3 of the code shall include with the application for a temporary license a certification from the California Veterinary Medical Association that the internship or residency program in which the applicant is enrolled has been approved as a qualifying internship or residency program. The application shall also include a signed statement from the manager of the internship or residency program which identifies the program, acknowledges that the applicant has been accepted into the program and that the program complies with the provisions of the board's laws relating to qualifying internships or residency programs.
(e) A temporary licensee or temporary licensee intern who fails to comply with the laws and regulations relating to temporary licenses shall be subject to disciplinary action by the board.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4848, 4848.3 and 4883, Business and Professions Code.
HISTORY

1. New section filed 3-29-99 as an emergency; operative 3-29-99 (Register 99, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-27-99 or emergency language will be repealed by operation of law on the following day. For prior history of section 2021.1, see Register 96, No. 9.
2. Certificate of Compliance as to 3-29-99 order, including amendment of subsection (c), transmitted to OAL 7-15-99 and filed 7-30-99 (Register 99, No. 31). 
3. Amendment of section and Note filed 8-2-99 as an emergency; operative 8-2-99 (Register 99, No. 32). A Certificate of Compliance must be transmitted to OAL by 11-30-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-2-99 order transmitted to OAL 11-30-99 and filed 1-11-2000 (Register 2000, No. 2).
§2021.3. California Curriculum -- Content.
Note     •     History

(a) The California curriculum shall be presented face-to-face in the state. 
(b) The California curriculum shall be at least 26 hours in length and its content shall include the following subjects: 
(1) Practicing Veterinary Medicine in California -- 4 hours 
(A) The Animal Industry in California
1. Size & Economic Importance 
(a) Food Animals 
(b) Pets 
2. Popular Species 
3. Common Wildlife 
(a) Special Treatment & Safety Concerns 
(B) Standards of Practice in California 
1. Ethical Considerations 
2. Medical Quality 
3. Premises 
(C) Large Scale Disasters -- Role of the Veterinarian 
1. Earthquakes 
2. Floods 
3. Fires 
(D) Common Vaccination Protocols 
1. Pets 
2. Horses 
3. Food Animal 
(2) Regulatory Agencies -- 5 hours 
(A) Veterinary Medical Board 
(B) California Occupational Safety & Health Administration (Cal/OSHA) 
(C) Department of Health Services 
1. Rabies Control Regulations 
2. Radiation Safety 
3. Medical Waste Management 
(D) United States Department of Agriculture (USDA) -- Health Certificate Requirements 
1. Accreditation Process/Requirements 
2. Health Certificate Requirements (Returned if incomplete) 
(E) Board of Pharmacy 
1. Food-Animal Drug Retailers (Business & Professions Code Article 15) 
2. Dangerous Drugs (Business & Professions Code §4022) 
(F) Department of Fish & Game 
1. Prohibited Species 
2. Exotic, Threatened & Endangered Species 
3. Requirements to Treat 
4. Rehabilitation Facilities 
(G) Environmental Protection Agency (EPA) -- Department of Toxic Substances Control (DTSC) 
1. Hazardous Waste Disposal 
(H) Drug Enforcement Agency (DEA)/California Department of Justice, Narcotics Enforcement 
1. State Scheduled Drugs 
(I) California Department of Food & Agriculture 
1. Regulatory Activities 
2. Disaster Preparedness & Response 
(3) Zoonotic Diseases/Cross Species Diseases (obtaining diagnostic samples, making a diagnosis, treatment protocols and prevention) -- 3 hours 
(A) Viral: Rabies, Hantavirus 
(B) Bacterial: feline leprosy (Mycobacterium lepraemurium), Bubonic plague (Yersinia pestis) 
(C) Parasitic: Ascariasis (Toxocara canis, cati, leonina), cerebrospinal nematodiasis or meningoencephalitis, (Baylisascaris procyonis) visceral larva migrans (Toxocara canis) 
(D) Fungal: Cryptococcosis (Cryptococcus neoformans), Coccidioidomycosis (Coccidioides immitis) 
(E) Rickettsial: Ehrlichiosis (ehrlichia canis), Q-fever (coxiella burnetti), Rocky Mountain Spotted Fever (rickettsia rickettsii) 
(4) Diseases Associated with the California Environment (obtaining diagnostic samples, making a diagnosis, treatment protocols and prevention) -- 4 hours 
(A) Dangerous Plants: Foxtails 
(B) Poisonous Plants: Black Walnut, Bracken Fern, Fiddleneck, Mushrooms, Oak Bud, Oleander, Senecia, Yellow Star Thistle, Other Poisonous Plants 
(C) Poisonous Snakes, Insects, Chemicals 
1. Rattlesnake 
2. Africanized Bee 
3. Snail Bait 
4. Strychnine Poisoning 
(D) Sand Colic in Horses 
(E) Sun Stroke, Hyperthermia, Nasal Solar Dematitis/Squamous Cell Carcinoma 
(5) Regionally Important Diseases of Pets in California (obtaining diagnostic samples, making a diagnosis, treatment protocols and prevention) -- 3 hours 
(A) Dermatitis (flea allergy, atopy, pyoderma, demodicosis, sarcoptic mange) 
(B) Parvovirus 
(C) Ehrlichiosis 
(D) Protozoan: (Salmon poisoning) 
(E) Thelaziasis 
(F) Intestinal parasites (tapeworm, hookworm, coccidia, giardia, roundworm, whipworm) 
(6) Regionally/Economically Important Diseases of Food Animals (obtaining diagnostic samples, making a diagnosis, treatment protocols and prevention) -- 5 hours 
(A) Anaplasmosis 
(B) Anthrax 
(C) Bluetongue 
(D) Botulism 
(E) Bovine Viral Diarrhea 
(F) Campylobacteriosis 
(G) Corynebacterium abscess 
(H) E coli 0157 
(I) Foothill Abortion 
(J) Johne's disease 
(K) Leptospirosis 
(L) Mastitis 
(M) Neosporosis 
(N) Red Water disease 
(O) Selenium & Copper deficiencies 
(P) Trichinellosis 
(Q) Trichomoniasis 
(7) Regionally/Economically Important Diseases of Horses in California (obtaining diagnostic samples, making a diagnosis, treatment protocols and prevention) -- 2 hours 
(A) Botulism 
(B) Corynebacterium pseudotuberculosis abscess 
(C) Enteroliths 
(D) Ehrlichiosis 
(E) Western Equine Encephalomyelitis 
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4848, Business and Professions Code. 
HISTORY

1. New section filed 5-10-2000; operative 6-9-2000 (Register 2000, No. 19).
§2021.4. Criteria for Provider Approval.
Note     •     History

(a) In order to obtain board approval for the California curriculum, the provider of such a curriculum shall submit to the board an application for course approval, which contains the following information: 
(1) The provider's name, address, telephone number and contact person. 
(2) Course title, dates, and locations. 
(3) A course outline, course description, and instructor information and qualifications. 
(b) If the board approves a provider's California curriculum, the board shall issue an identification number for the provider's California curriculum. 
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4848, Business and Professions Code. 
HISTORY

1. New section filed 5-10-2000; operative 6-9-2000 (Register 2000, No. 19).
§2021.5. Approved Curriculum.
Note     •     History

(a) If there will be no changes to the content or the instructor of a previously approved curriculum, the provider shall not be required to obtain board approval to teach the same curriculum at a subsequent time and place. 
(b) Any changes in the content of or instructor(s) for an approved curriculum shall require prior approval of the board. A request to change the content of or the instructor(s) for an approved curriculum shall be received by the board at least 10 days before the curriculum begins. 
(c) The board may audit, during reasonable business hours, an approved provider's records and courses related to the California curriculum. 
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4848, Business and Professions Code. 
HISTORY

1. New section filed 5-10-2000; operative 6-9-2000 (Register 2000, No. 19).
§2021.6. Approved Providers.
Note     •     History

(a) A provider of an approved California curriculum shall keep the following records for a period of four (4) years from the date that an approved curriculum was completed: 
(1) Course outlines of each approved curriculum given. 
(2) Record of time and place of each approved curriculum given. 
(3) Course instructor curriculum vitaes or resumes. 
(4) The attendance record for each approved curriculum which shows the name, signature and, if applicable, license number of the person taking the course and a record of any certificates issued to them. 
(b) Providers of approved curriculums shall issue, within 10 days of the conclusion of an approved curriculum, to each participant who has completed the course, a certificate of completion, which contains the following information: 
(1) Provider's name and provider identification number. 
(2) Course title. 
(3) Participant's name, and if applicable, his or her temporary license number. 
(4) Date and location of course. 
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4848, Business and Professions Code. 
HISTORY

1. New section filed 5-10-2000; operative 6-9-2000 (Register 2000, No. 19).
§2021.7. Instructors.
Note     •     History

(a) It shall be the responsibility of each provider to use qualified instructors. 
(b) Instructors teaching approved curriculum shall have the following minimum qualifications: 
(1) Hold a current regular renewable license to practice veterinary medicine in this state and is in good standing or is a bona fide instructor at an AVMA approved school in this state, and 
(2) be knowledgeable, current, and skillful in the subject matter of the curriculum. 
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4848, Business and Professions Code. 
HISTORY

1. New section filed 5-10-2000; operative 6-9-2000 (Register 2000, No. 19).
§2021.8. Denial, Withdrawal and Appeal of Approval.
Note     •     History

(a) The board may withdraw its approval of a course or deny an application approval for unprofessional conduct by the provider of the course, which shall include, but are not limited to, the following: 
(1) Conviction of a crime substantially related to the activities of a provider. 
(2) Failure to comply with any provision of Chapter 11 (commencing with section 4800), Division 2 of the Code or Division 20 (commencing with section 2000) of Title 16 of the California Code of Regulations. 
(3) Any material misrepresentation of fact by a provider or applicant in any information required to be submitted to the board shall be grounds for withdrawal or denial of an application. 
(b) The board may withdraw its approval of a provider and its curriculum after giving the provider written notice setting forth its reasons for withdrawal and after giving the provider an opportunity to be heard by the board or its designee. 
(c) Should the board deny approval of a provider or a course request, the applicant may appeal the action by filing a letter stating the reason(s) for appeal with the board. The letter of appeal shall be filed with the board within 10 days of the mailing of the applicant's notification of the board's denial. The appeal shall be considered by the board or its designee. In the event that the board or its designee considers the appeal after the date of the course for which the appeal is being made, a retroactive approval may be granted. 
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4848, Business and Professions Code. 
HISTORY

1. New section filed 5-10-2000; operative 6-9-2000 (Register 2000, No. 19).
§2021.8A. Processing Times for Provider and Course Request Applications.
Note     •     History

(a)(1) The board shall inform a provider seeking approval of its California curriculum within ten (10) days from receipt of an application of its decision whether the application is complete and accepted for filing or is deficient and what specific information is required. 
(2) Once an application is “complete,” the board shall inform a provider seeking approval of its California curriculum within 30 days after completion of the application of its decision whether the curriculum meets the requirements for approval and is approved. “Completion of the application” means that a completed application form together with all required information, and documentation has been received by the board. 
(3) The minimum, median, and maximum processing times for a provider seeking approval of its California curriculum from the time of receipt of a completed application until the board makes a decision is set forth below: 

Minimum	=	One (1) day 

Median	=	Fifteen (15) days 

Maximum	=	Thirty (30) days 
NOTE

Authority cited: Section 4808, Business and Professions Code and Section 15376, Government Code. Reference: Section 15376, Government Code. 
HISTORY

1. New section filed 5-10-2000; operative 6-9-2000 (Register 2000, No. 19).
§2021.9. Requirements for Supervisors.
Note     •     History

(a) The supervisor of a temporary licensee or temporary licensee intern shall comply with the requirements set forth below:
(1) The supervisor shall possess and maintain a current, valid California license as veterinarian.
(2) The supervisor shall keep himself informed of developments in the practice of veterinary medicine and in California law governing the practice of veterinary medicine.
(3) The supervisor shall possess and maintain a current license in good standing and shall notify immediately the temporary licensee or intern of any disciplinary action, including, but not limited to, revocation or suspension, even if stayed, probation terms, inactive license status, or lapse in licensure, that affects the supervisor's ability or right to supervise.
(4) The supervisor shall comply with the laws and regulations governing the supervision of a temporary licensee or intern.
(5) The supervisor of a temporary licensee shall be an owner, principal or employee of the veterinary practice employing the temporary licensee.
(6) The supervisor of a temporary licensee shall notify the board, in writing, within 10 days of the termination of his or her supervisorial relationship with the temporary licensee.
(7) The supervisor of a temporary licensee intern shall notify the board, in writing, within 10 days of the termination of the intern's participation in the internship or residency program.
(b) Upon written request of the board, the supervisor shall provide to the board any documentation which verifies the supervisor's compliance with the requirements set forth in this section.
(c) A supervisor who fails to comply with the laws and regulations relating to the supervision of a temporary licensee shall be subject to disciplinary action by the board.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4848, 4848.3, 4856 and 4883, Business and Professions Code.
HISTORY

1. New section filed 3-29-99 as an emergency; operative 3-29-99 (Register 99, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-27-99 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 3-29-99 order, including disapproval and repeal of subsection (a)(4) and subsection renumbering, transmitted to OAL 7-15-99 and filed 7-30-99 (Register 99, No. 31). 
3. Amendment of section and Note filed 8-2-99 as an emergency; operative 8-2-99 (Register 99, No. 32). A Certificate of Compliance must be transmitted to OAL by 11-30-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-2-99 order transmitted to OAL 11-30-99 and filed 1-11-2000 (Register 2000, No. 2).
§2021.10. Notification of Change of Supervisor.
Note     •     History

(a) If the supervisorial relationship between the supervisor and the temporary licensee has been terminated, the temporary licensee shall not perform any veterinary services for which a license is required until he or she has submitted to the board, in writing, the name and license number of another veterinarian who is to be the temporary licensee's supervisor which is accompanied by a signed acknowledgment from the new supervisor that he or she has read and agrees to comply with the provisions of the board's laws relating to the supervision of temporary licensees.
A supervisor who is unavailable to supervise the temporary licensee for four (4) or more consecutive weeks shall be deemed to have terminated the supervisorial relationship.
The temporary licensee shall notify the board, in writing, within ten (10) days of any termination of the supervisorial relationship.
(b) If a supervisor will be unavailable to supervise the temporary licensee for seven (7) or more consecutive days, the supervisor shall make arrangements for a California licensed veterinarian in good standing to supervise the temporary licensee in the supervisor's absence. The temporary supervisor shall comply with the provisions of section 2021.9.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4848, Business and Professions Code.
HISTORY

1. New section filed 3-29-99 as an emergency; operative 3-29-99 (Register 99, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-27-99 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 3-29-99 order transmitted to OAL 7-15-99 and filed 7-30-99 (Register 99, No. 31). 
Article 3. Veterinary Colleges
§2022. Recognized Veterinary Colleges.
Note     •     History

(a) In accordance with the provisions of Section 4846 of the Business and Professions Code, the Board recognizes veterinary colleges accredited by the American Veterinary Medical Association (“AVMA”).
(b) All other veterinary colleges must have academic standards equivalent to schools accredited by the AVMA in order to be recognized by the Board. Evaluation of the academic standards, veterinary courses and practices of these schools will be made after an application for a license has been received.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4846, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8). For prior history, see Register 72, No. 18.
2. Amendment of subsection (a) filed 3-20-78; effective thirtieth day thereafter (Register 78, No. 12).
3. Amendment of subsection (a) filed 7-16-80; effective thirtieth day thereafter (Register 80, No. 29).
4. Amendment of subsection (a) filed 10-12-83; effective thirtieth day thereafter (Register 83, No. 42).
5. Amendment filed 7-18-2000; operative 7-18-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 29).
§2023. Eligibility for Examinations.
Note     •     History

Persons who meet the following criteria, pursuant to California Code of Regulations, Section 2022, may apply to take the licensing examinations specified in Section 2014:
(a) A graduate of a recognized veterinary college or a person who is within eight (8) months of his or her anticipated graduation from a recognized veterinary college.
(b) A person from a non-recognized veterinary college who is within eight (8) months of graduation and 1) who is enrolled in the ECFVG or PAVE program and 2) has passed the basic sciences examination requirements of the ECFVG or PAVE program.
(c) A graduate of a non-recognized veterinary college who possesses a certificate from either the ECFVG program or the PAVE.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4848, Business and Professions Code.
HISTORY

1. New section filed 3-29-99 as an emergency; operative 3-29-99 (Register 99, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-27-99 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 3-29-99 order transmitted to OAL 7-15-99 and filed 7-30-99 (Register 99, No. 31). 
3. Amendment of section heading and repealer and new section filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
§2024. Education Requirement for Eligibility for Licensure.
Note     •     History

In addition to the application requirements outlined in Section 2010, an applicant applying for licensure in California must submit the appropriate initial licensing application and fee and the following documentation:
(a) Graduates of a recognized veterinary college must submit a diploma as proof of graduation.
(b) Graduates of non-approved veterinary colleges must submit (1) a diploma and (2) a certificate of completion from either ECFVG or PAVE. Diplomas submitted in a language other than English must be accompanied by a certified translation into English.
NOTE

Authority cited: Sections 4808 and 4846.1, Business and Professions Code. Reference: Sections 851, 4846.1, 4846.2 and 4848, Business and Professions Code.
HISTORY

1. New section filed 5-21-76; effective thirtieth day thereafter (Register 76, No. 21).
2. Repealer and new section filed 10-3-84; effective thirtieth day thereafter (Register 84, No. 40).
3. Editorial correction of printing error (Register 85, No. 8).
4. Amendment filed 8-3-89; operative 9-2-89 (Register 89, No. 32).
5. Amendment filed 9-3-92; operative 10-5-92 (Register 92, No. 36).
6. Amendment of section and Note filed 3-29-99 as an emergency; operative 3-29-99 (Register 99, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-27-99 or emergency language will be repealed by operation of law on the following day. 
7. Certificate of Compliance as to 3-29-99 order transmitted to OAL 7-15-99 and filed 7-30-99 (Register 99, No. 31). 
8. Amendment filed 7-18-2000; operative 7-18-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 29).
9. Amendment filed 4-9-2002; operative 5-9-2002 (Register 2002, No. 15).
10. Repealer and new section heading and section filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
§2025. Graduates of Unrecognized Colleges--ECFVG or PAVE Certificate.
Note     •     History

In order to obtain a certificate from either the ECFVG or the PAVE, an applicant should make proper application to the respective organization and successfully complete its program for veterinary educational equivalence. An applicant who successfully completes the following steps, should be awarded a certificate of educational equivalence from either the ECFVG or the PAVE:
(a) Provide photocopies of a veterinary college diploma and transcripts from an AVMA-listed college of veterinary medicine.
(b) Provide written notification from the ECFVG or PAVE program of receipt and acceptability of scores on the Test of English as a Foreign Language (“TOEFL and the Test of Spoken English (“TSE”) as administered by the Educational Testing Service of Princeton, New Jersey. Applicants whose native language is English and who have graduated from a high school where the language of instruction is English should not be required to take the English examinations.
(c)(1) Receive written notification from the ECFVG program of having attained a passing score on the national licensing examination; or
(2) In the case of a participant in the PAVE program, receive written notification from the PAVE of having passed its qualifying examination.
(d)(1) Successfully complete to the satisfaction of the ECFVG or PAVE program a twelve month clinical internship at an AVMA accredited veterinary college recognized by the Board under Section 2022, or 
(2) Attain a passing score on either:
i. the ECFVG's Clinical Proficiency Examination (CPE), or
ii. the PAVE's Clinical Skills Assessment examination (CSA)
NOTE

Authority cited: Sections 4808 and 4846.1, Business and Professions Code. Reference: Sections 851, 4846.1 and 4846.2, Business and Professions Code.
HISTORY

1. New section filed 5-21-76; effective thirtieth day thereafter (Register 76, No. 21).
2. Repealer and new section filed 10-3-84; effective thirtieth day thereafter (Register 84, No. 40).
3. Amendment of subsections (b) and (d) filed 8-3-89; operative 9-2-89 (Register 89, No. 32).
4. Amendment of first paragraph and subsection (c) filed 7-18-2000; operative 7-18-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 29).
5. Amendment filed 4-9-2002; operative 5-9-2002 (Register 2002, No. 15).
§2026. Graduates of Unrecognized Colleges--Waiver of ECFVG Certificate. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4808, 4846.1 and 4846.2, Business and Professions Code. Reference: Section 4846.1, Business and Professions Code.
HISTORY

1. New section filed 5-21-76; effective thirtieth day thereafter (Register 76, No. 21).
2. Repealer filed 5-2-7 as an emergency; effective upon filing (Register 78, No. 18).
3. Certificate of Compliance filed 7-7-78 (Register 78, No. 27).
4. New section filed 10-24-85; effective thirtieth day thereafter (Register 85, No. 43).
5. Repealer filed 7-18-2000; operative 7-18-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 29).
§2027. Graduates and Students of Veterinary Colleges--Job Tasks.
Note     •     History

A junior or senior student or a graduate of a recognized veterinary college listed in Section 2022(a) who is performing any animal health care task in a veterinary premises registered by the Board may perform only the identical job tasks with the identical degree of supervision by the supervisor as specified for a R.V.T. pursuant to Section 2036.
NOTE

Authority cited: Sections 4808 and 4846.2, Business and Professions Code. Reference: Section 4846.2, Business and Professions Code.
HISTORY

1. New section filed 6-17-77; effective thirtieth day thereafter (Register 77, No. 25).
2. Amendment filed 12-7-79; effective thirtieth day thereafter (Register 79, No. 49).
3. Amendment filed 10-12-83; effective thirtieth day thereafter (Register 83, No. 42).
4. Amendment filed 10-3-84; effective thirtieth day thereafter (Register 84, No. 40).
5. Change without regulatory effect amending section filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
Article 4. Practice
§2030. Minimum Standards--Fixed Veterinary Premises.
Note     •     History

All fixed premises where veterinary medicine and its various branches are being practiced, and all instruments, apparatus and apparel used in connection with those practices, shall be kept clean and sanitary at all times and shall conform to or possess the following minimum standards:
(a) Indoor lighting for halls, wards, reception areas, examining and surgical rooms shall be adequate for their intended purpose.
(b) A reception room and office, or a combination of the two.
(c) An examination room separate from other areas of the facility and of sufficient size to accommodate the doctor, assistant, patient and client.
(d) If animals are housed or retained for treatment, the following shall be provided:
(1) Compartments for animals which are maintained in a comfortable and sanitary manner.
(2) Effective separation of known or suspected contagious animals.
(3) If there are to be no personnel on the premises during any time an animal is left at the veterinary facility, prior written notice of this fact shall be given to the client. For purposes of this paragraph, prior written notice may be accompanied by posting a sign in a place and manner conspicuous to the clients of the premises, stating that there may be times when there is no personnel on the premises.
(e) When a veterinary premises is closed, a sign shall be posted at the entrance with a telephone number and location where pre-arranged veterinary care is available. An answering machine or service shall be used to notify the public when the veterinary premises will be re-opened and where pre-arranged veterinary care is available. If no after hours emergency care is available, full disclosure shall be provided to the public prior to rendering services.
(f) The veterinary premises shall meet the following standards:
(1) Fire precautions shall meet the requirements of local and state fire prevention codes.
(2) The facility, its temperature, and ventilation shall be maintained so as to assure the comfort of all patients.
(3) The disposal of waste material shall comply with all applicable state, federal, and local laws and regulations.
(4) The veterinary premises shall have the capacity to render diagnostic radiological services, either on the premises or through other commercial facilities. Radiological procedures shall be conducted in accordance with Health and Safety Code standards.
(5) Clinical pathology and histopathology diagnostic laboratory services shall be available within the veterinary premises or through outside services.
(6) All drugs and biologicals shall be maintained, administered, dispensed and prescribed in compliance with state and federal laws.
(7) Sanitary methods for the disposal of deceased animals shall be provided and maintained.
(8) Veterinary medical equipment used to perform aseptic procedures shall be sterilized and maintained in a sterile condition.
(9) Current veterinary reference materials shall be readily available on the premises.
(10) Anesthetic equipment in accordance with the procedures performed shall be maintained in proper working condition and available at all times.
(11) The veterinary premises shall have equipment to deliver oxygen in emergency situations.
(12) Appropriate drugs and equipment shall be readily available to treat an animal emergency.
(g) A veterinary premises which provides aseptic surgical services shall comply with the following:
(1) A room, separate and distinct from all other rooms shall be reserved for aseptic surgical procedures which require aseptic preparation. Storage in the surgery room shall be limited to items and equipment normally related to surgery and surgical procedures. A veterinarian may perform emergency aseptic surgical procedures in another room when the room designated for aseptic surgery is occupied or temporarily unavailable.
(A) A veterinary premises which is currently registered with the board, but does not have a separate room reserved for aseptic surgical procedures because it was registered with the board prior to January 1, 1981, shall obtain compliance with the subdivision on or before January 1, 2004.
(B) The board may exempt a veterinary premises which is currently registered with the board, but does not have a separate aseptic surgery room, where it determines that it would be a hardship for the veterinary premises to comply with the provisions of subsection (g)(1).
In determining whether a hardship exists, the board shall give due consideration to the following factors:
1. Zoning limitations.
2. Whether the premises constitutes a historical building.
3. Whether compliance with this requirement would compel the veterinary practice to relocate to a new location.
(2) The surgery room shall be well-lighted, shall have an operational viewing box for reviewing radiographs and shall have effective emergency lighting.
(3) The floors, table tops, and counter tops of the surgery room shall be of a material suitable for regular disinfecting, and cleaning, and shall be cleaned and disinfected regularly.
(4) Surgical instruments and equipment shall be:
(A) Adequate for the type of surgical service provided.
(B) Sterilized by a method acceptable for the type of surgery for which they will be used.
(5) In any sterile procedure, a separate sterile pack shall be used for each animal.
(6) All instruments, packs and equipment that have been sterilized shall have an indicator that reacts to and verifies sterilization.
(7) The following attire shall be required for aseptic surgery:
(A) Each member of the surgical team shall put on an appropriate sanitary cap and sanitary mask which covers his or her hair and mouth, nose and any facial hair, except for eyebrows or eyelashes. All members of the surgical team who will be handling the instruments or touching the surgical site shall wear sterilized surgical gowns with long sleeves and sterilized gloves.
(B) Ancillary personnel in the surgery room shall wear clean clothing and footwear. Sanitary cap and mask shall be required of personnel in the immediate proximity of the sterile field.
(h) When performing clean surgery, the instruments used to perform such surgery shall have been sterilized and the surgeon(s) and ancillary personnel shall wear clean clothing and footwear when appropriate.
For purposes of this section, “clean surgery” shall mean the performance of a surgical operation for the treatment of a condition and under circumstances which, consistent with the standards of good veterinary medicine, do not warrant the use of aseptic surgical procedures.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4854 and 4883, Business and Professions Code.
HISTORY

1. New Article 4 (Section 2030) filed 6-29-79, effective thirtieth day thereafter (Register 79, No. 26). For prior history, see Register 77, No. 8.
2. Amendment filed 1-22-80 as an emergency; effective upon filing. Certificate of Compliance included. (Register 80, No. 4).
3. Amendment and renumbering from 2031 to 2030 filed 7-16-80; effective thirtieth day thereafter (Register 80, No. 29).
4. Amendment of subsection (d) filed 12-29-81; effective thirtieth day thereafter (Register 82, No. 11).
5. Amendment filed 10-12-83; effective thirtieth day thereafter (Register 83, No. 42).
6. Amendment of section heading, section and Note filed 5-25-2000; operative 6-24-2000 (Register 2000, No. 21).
§2030.1. Small Animal Fixed Premises Minimum Standards.
Note     •     History

For purposes of these rules and regulations, a “small animal fixed premises” shall mean a fixed veterinary premises which concentrates in providing veterinary services to common domestic household pets.
In addition to the requirements in section 2030, small animal fixed premises shall provide:
(a) Where animals are kept on the veterinary premises for 24 hours or more, the animals shall be provided with an opportunity for proper exercise. Compliance with this section may be achieved by the use of exercise runs or by providing the animal with the opportunity for outdoor walks. Where a premises has exercise runs, they shall be clean and sanitary and provide for effective separation of animals and their waste products.
(b) When the client has not given the veterinarian authorization to dispose of his or her deceased animal, the veterinarian shall be required to retain the carcass in a freezer for at least 14 days prior to disposal.
NOTE

Authority cited: Sections 4808 and 4854, Business and Professions Code. Reference: Sections 4854 and 4883, Business and Professions Code.
HISTORY

1. New section filed 5-25-2000; operative 6-24-2000 (Register 2000, No. 21).
§2030.2. Small Animal Mobile Clinic.
Note     •     History

For purposes of these regulations, a “small animal mobile clinic” shall mean a trailer or mobile facility established to function as a veterinary premises which concentrates in providing veterinary services to common domestic household pets and is required by section 4853 of the code to be registered with the board.
(a) A small animal mobile clinic shall have:
(1) Hot and cold water.
(2) a 110-volt power source for diagnostic equipment.
(3) A collection tank for disposal of waste material.
(4) Lighting adequate for the procedures to be performed in the mobile clinic. 
(5) Table tops and counter tops, such as Formica or stainless steel, which can be cleaned and disinfected.
(6) Floor coverings which can be cleaned and disinfected.
(7) Compartments to transport or hold animals, if applicable.
(b) A small animal mobile clinic shall also have:
(1) indoor lighting for halls, wards, reception areas, examining and surgical rooms, which shall be adequate for its intended purpose.
(2) an examination room, which shall be of sufficient size to accommodate the doctor, assistant, patient and client.
(3) fire precautions that meet the requirements of local and state fire prevention codes,
(4) temperature and ventilation controls adequate to assure the comfort of all patients.
(5) A small animal mobile clinic which provides aseptic surgical services shall also have a room, separate and distinct from other rooms, which shall be reserved for aseptic surgical procedures. Storage in the surgery room shall be limited to items and equipment normally related to surgery and surgical procedures. A veterinarian may perform emergency aseptic surgical procedures in another room when the room designated for aseptic surgery is occupied or temporarily unavailable. A small animal mobile clinic which provides aseptic surgical services and that is currently registered with the board, but does not have a separate room reserved for aseptic surgical procedures, shall provide the board with the vehicle identification number of the mobile clinic and obtain compliance with this subdivision on or before January 1, 2006.
(A) A small animal mobile clinic that provides aseptic surgery shall also have an examination area separate from the surgery room that is large enough to conduct an examination.
(c) A small animal mobile clinic shall have the ability and equipment to provide immediate emergency care at a level commensurate with the specific veterinary medical services it is providing.
(d) A small animal mobile clinic shall provide either after hours emergency services to its patients or, if no after hours emergency care is available, full disclosure to the public prior to rendering services.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4853 and 4854, Business and Professions Code.
HISTORY

1. New section filed 5-25-2000; operative 6-24-2000 (Register 2000, No. 21).
2. Amendment of subsections (b)(2) and (b)(5) and new subsection (b)(5)(A) filed 4-29-2004; operative 5-29-2004 (Register 2004, No. 18).
§2030.5. Emergency Hospital Advertisements. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 4808 and 4854, Business and Professions Code. Reference: Sections 4854 and 4883, Business and Professions Code.
HISTORY

1. New section filed 7-16-80; effective thirtieth day thereafter (Register 80, No. 29).
2. Repealer and new section filed 10-12-83; effective thirtieth day thereafter (Register 83, No. 42).
3. Renumbering of former section 2030.5 to section 2032.5 filed 5-25-2000; operative 6-24-2000 (Register 2000, No. 21).
§2031. Recordkeeping. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4855 and 4856, Business and Professions Code.
HISTORY

1. New section filed 10-18-79; effective thirtieth day thereafter (Register 79, No. 42).
2. Renumbering of section 2033 to 2031 filed 7-16-80; effective thirtieth day thereafter (Register 80, No. 29).
3. Amendment of subsection (b) filed 10-12-83; effective thirtieth day thereafter (Register 83, No. 42).
4. Amendment of subsection (a) and Note filed 9-3-92; operative 10-5-92 (Register 92, No. 36).
5. Renumbering of former section 2031 to section 2032.3 filed 5-25-2000; operative 6-24-2000 (Register 2000, No. 21).
§2032. Minimum Standards of Practice.
Note     •     History

The delivery of veterinary care shall be provided in a competent and humane manner. All aspects of veterinary medicine shall be performed in a manner consistent with current veterinary medical practice in this state.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4883, Business and Professions Code.
HISTORY

1. Repealer and new section filed 7-16-80; effective thirtieth day thereafter (Register 80, No. 29).
2. Renumbering of former section 2032 to section 2032.4 and new section 2032 filed 5-25-2000; operative 6-24-2000 (Register 2000, No. 21).
§2032.1. Veterinary-Client-Patient Relationship.
Note     •     History

(a) Except where the patient is a wild animal or its owner is unknown, it shall constitute unprofessional conduct for a veterinarian to administer or prescribe a drug, medicine, appliance, or application or treatment of whatever nature for the prevention, cure, or relief of a wound, fracture or bodily injury or disease of an animal without having first established a veterinarian-client-patient relationship with the animal patient or patients and the client. It shall also constitute unprofessional conduct for a veterinarian to prescribe, dispense, or furnish either a veterinary drug, as defined by Section 1747.1, Title 16, California Code of Regulations, or a dangerous drug, as defined by Section 4022 of the code, without having first established a veterinarian-client-patient relationship with the animal patient or patients and the client.
(b) A veterinarian-client-patient relationship shall exist when all of the following occur:
(1) The veterinarian has assumed responsibility for making medical judgments regarding the health of the animal(s) and the need for medical treatment, has discussed with the client a course of treatment and if applicable has instructed the client as to the appropriate directions for administering the drugs or treatments.
(2) The veterinarian has sufficient knowledge of the animal(s) to initiate at least a general or preliminary diagnosis of the medical condition of the animal(s). This means that the veterinarian has recently seen and is personally acquainted with the care of the animal(s) by virtue of an examination of the animal or by medically appropriate and timely visits to the premises where the animals are kept, and
(c) A dangerous drug or a veterinary drug shall not be prescribed for a duration which is inconsistent with the animal patient's medical condition or type of drug prescribed which in no event shall exceed more than one year from the date that the veterinarian has examined the animal patient and prescribed such drug, unless the veterinarian has conducted a subsequent examination of the patient to determine the patient's continued need for the prescribed drug.
NOTE

Authority cited: Sections 4808, Business and Professions Code. Reference: Section 4883, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 2033 to section 2032.1 filed 5-25-2000; operative 6-24-2000 (Register 2000, No. 21).
§2032.2. Written Prescriptions.
Note     •     History

(a) A written order, by a veterinarian, for dangerous drugs, as defined by Section 1747.1, Title 16, California Code of Regulations, shall include the following information:
(1) The name, signature, address and telephone number of the prescribing veterinarian.
(2) The veterinarian's license number and his or her federal registry number if a controlled substance is prescribed.
(3) The name and address of the client.
(4) The species and name, number or other identifying information for the animal.
(5) The name, strength, and quantity of the drug(s).
(6) Directions for use, including, if applicable, withdrawal time.
(7) Date of issue.
(8) The number of refills.
(b) All drugs dispensed shall be labeled with the following information:
(1) Name, address and telephone number of the facility.
(2) Client's name.
(3) The species and name, number, or other identifying information for the animal.
(4) Date dispensed.
(5) Directions for use, including, if applicable, withdrawal time.
(6) The manufacturer's trade name of the drug or the generic names, strength (if more than one dosage form exists), and quantity of drug, and the expiration date when established by the manufacturer.
(7) Name of prescribing veterinarian.
NOTE

Authority cited: Sections 4808, Business and Professions Code. Reference: Section 4883, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 2033.1 to section 2032.2 filed 5-25-2000; operative 6-24-2000 (Register 2000, No. 21).
§2032.3. Record Keeping; Records; Contents; Transfer.
Note     •     History

(a) Every veterinarian performing any act requiring a license pursuant to the provisions of Chapter 11, Division 2, of the code, upon any animal or group of animals shall prepare a legible, written or computer generated record concerning the animal or animals which shall contain the following information:
(1) Name or initials of the veterinarian responsible for entries.
(2) Name, address and phone number of the client.
(3) Name or identity of the animal, herd or flock.
(4) Except for herds or flocks, age, sex, breed, species, and color of the animal.
(5) Dates (beginning and ending) of custody of the animal, if applicable.
(6) A history or pertinent information as it pertains to each animal, herd, or flock's medical status.
(7) Data, including that obtained by instrumentation, from the physical examination.
(8) Treatment and intended treatment plan, including medications, dosages and frequency of use.
(9) Records for surgical procedures shall include a description of the procedure, the name of the surgeon, the type of sedative/anesthetic agents used, their route of administration, and their strength if available in more than one strength.
(10) Diagnosis or tentative diagnosis at the beginning of custody of animal. 
(11) If relevant, a prognosis of the animal's condition.
(12) All medications and treatments prescribed and dispensed, including strength, dosage, quantity, and frequency.
(13) Daily progress, if relevant, and disposition of the case.
(b) Records shall be maintained for a minimum of 3 years after the animal's last visit. A summary of an animal's medical records shall be made available to the client upon his or her request. The summary shall include:
(1) Name and address of client and animal.
(2) Age, sex, breed, species, and color of the animal.
(3) A history or pertinent information as it pertains to each animal's medical status.
(4) Data, including that obtained by instrumentation, from the physical examination.
(5) Treatment and intended treatment plan, including medications, their dosage and frequency of use.
(6) All medications and treatments prescribed and dispensed, including strength, dosage, quantity, and frequency.
(7) Daily progress, if relevant, and disposition of the case.
(c)(1) Radiographs are the property of the veterinary facility that originally ordered them to be prepared. Radiographs shall be released to another veterinarian upon the request of another veterinarian who has the authorization of the client. Radiographs shall be returned to the veterinary facility which originally ordered them to be prepared within a reasonable time upon request. Radiographs originating at an emergency hospital shall become the property of the next attending veterinary facility upon receipt of said radiograph(s). Transfer of radiographs shall be documented in the medical record.
(2) All exposed radiographic films, except for intraoral radiographs, shall have a permanent identification legibly exposed in the film emulsion, which shall include the following:
(A) The hospital or clinic name and/or the veterinarian's name,
(B) Client identification,
(C) Patient identification, and
(D) The date the radiograph was taken.
(d) Laboratory data is the property of the veterinary facility which originally ordered it to be prepared, and a copy shall be released upon the request of the client.
(e) The client shall be provided with a legible copy of the medical record when the patient is released following emergency clinic service. The minimum information included in the medical record shall consist of the following:
(1) Physical examination findings
(2) Dosages and time of administration of medications
(3) Copies of diagnostic data or procedures
(4) All radiographs, for which the facility shall obtain a signed release when transferred
(5) Surgical summary
(6) Tentative diagnosis and prognosis, if known
(7) Any follow-up instructions.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4855 and 4856, Business and Professions Code.
HISTORY

1. Renumbering of former section 2031 to section 2032.3, including amendment of section heading and section, filed 5-25-2000; operative 6-24-2000 (Register 2000, No. 21).
§2032.4. Anesthesia.
Note     •     History

(a) General anesthesia is a condition caused by the administration of a drug or combination of drugs sufficient to produce a state of unconsciousness or dissociation and blocked response to a given pain or alarming stimulus.
(b) A veterinarian shall use appropriate and humane methods of anesthesia, analgesia and sedation to minimize pain and distress during any procedures and shall comply with the following standards:
(1) Within twelve (12) hours prior to the administration of a general anesthetic, the animal patient shall be given a physical examination by a licensed veterinarian. The results of the physical examination shall be noted in the animal patient's medical records.
(2) An animal under general anesthesia shall be observed for a length of time appropriate for its safe recovery.
(3) Provide a method of respiratory monitoring that may include observation of the animal's chest movements, observing the rebreathing bag, or respirometer.
(4) A method of cardiac monitoring shall be provided and may include the use of a stethoscope or electrocardiographic monitor.
(5) When administering anesthesia in a hospital setting, a veterinarian shall have resuscitation bags of appropriate volumes for the animal patient and an assortment of endotracheal tubes readily available.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4883, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 2032 to section 2032.4 filed 5-25-2000; operative 6-24-2000 (Register 2000, No. 21).
2. Amendment of subsections (b)(1) and (b)(2) filed 4-20-2007; operative 5-20-2007 (Register 2007, No. 16).
§2032.5. Emergency Hospitals.
Note     •     History

(a) Any veterinary premises that displays any sign, card, or device that indicates to the public that it is an emergency veterinary clinic or hospital shall comply with the following:
(1) Maintain a licensed veterinarian on the premises at all times during the posted hours of operation.
(2) Its advertisements shall clearly state:
(A) A licensed veterinarian is on the premises during the posted emergency hours.
(B) The hours the facility will provide emergency services.
(C) The address and telephone number of the premises.
(b) The phrase “veterinarian on call” shall mean that a veterinarian is not present at the hospital, but is able to respond within a reasonable time to requests for emergency veterinary services and has been designated by a daytime veterinary facility to do so after regular office hours. A veterinary premises which uses a veterinarian on call service shall not be considered to be or advertised as an emergency clinic or hospital.
NOTE

Authority cited: Sections 4808 and 4854, Business and Professions Code. Reference: Sections 4854 and 4883, Business and Professions Code.
HISTORY

1. Renumbering of former section 2030.5 to section 2032.5, including amendment of section heading and section, filed 5-25-2000; operative 6-24-2000 (Register 2000, No. 21).
§2033. Veterinary-Client-Patient Relationship. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 4808, Business and Professions Code. Reference: Section 4883, Business and Professions Code.
HISTORY

1. New section filed 10-18-79; effective thirtieth day thereafter (Register 79, No. 42).
2. Amendment and renumbering from 2034 to 2033 filed 7-16-80; effective thirtieth day thereafter (Register 80, No. 29).
3. Repealer filed 10-12-83; effective thirtieth day thereafter (Register 83, No. 42).
4. New section filed 1-3-96; operative 2-2-96 (Register 96, No. 1).
5. Renumbering of former section 2033 to section 2032.1 filed 5-25-2000; operative 6-24-2000 (Register 2000, No. 21).
§2033.1. Written Prescriptions. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 4808, Business and Professions Code. Reference: Section 4883, Business and Professions Code.
HISTORY

1. New section filed 1-3-96; operative 2-2-96 (Register 96, No. 1).
2. Renumbering of former section 2033.1 to section 2032.2 filed 5-25-2000; operative 6-24-2000 (Register 2000, No. 21).
§2034. Animal Health Care Tasks Definitions.
Note     •     History

For purposes of the rules and regulations applicable to animal health care tasks for registered veterinary technicians and unregistered assistants, contained in the article, the term:
(a) “Veterinarian” means a California licensed veterinarian.
(b) “R.V.T.” means a registered veterinary technician certified by the Board.
(c) “Unregistered assistant” means any individual who is not an R.V.T. or a licensed veterinarian.
(d) “Supervisor” means a California licensed veterinarian or if a job task so provides an R.V.T.
(e) “Direct Supervision” means: (1) the supervisor is physically present at the location where animal health care job tasks are to be performed and is quickly and easily available; and (2) the animal has been examined by a veterinarian at such time as good veterinary medical practice requires consistent with the particular delegated animal health care job task.
(f) “Indirect Supervision” means: (1) that the supervisor is not physically present at the location where animal health care job tasks are to be performed, but has given either written or oral instructions (“direct orders”) for treatment of the animal patient; and (2) the animal has been examined by a veterinarian at such times as good veterinary medical practice requires, consistent with the particular delegated animal health care task and the animal is not anesthetized as defined in Section 2032.4.
(g) “Animal Hospital Setting” means all veterinary premises which are required by Section 4853 of the Code to be registered with the Board.
(h) “Administer” means the direct application of a drug or device to the body of an animal by injection, inhalation, ingestion, or other means.
(i) “Induce” means the initial administration of a drug with the intended purpose of rendering an animal unconscious.
NOTE

Authority cited: Sections 4808, 4826 and 4836, Business and Professions Code. Reference: Sections 4836 and 4853, Business and Professions Code.
HISTORY

1. New section filed 7-16-80; effective thirtieth day thereafter (Register 80, No. 29).
2. Repealer of subsection (e) and relettering of subsections (f)-(i) to subsections (e)-(h) filed 10-21-82; effective thirtieth day thereafter (Register 82, No. 43).
3. Change without regulatory effect amending first paragraph and subsections (b)-(d) filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
4. Amendment of subsections (e) and (f) and repealer of subsection (h) filed 6-3-2002; operative 7-3-2002 (Register 2002, No. 23).
5. Amendment of subsections (b)-(d) and (f), new subsections (h)-(i) and amendment of Note filed 4-20-2007; operative 5-20-2007 (Register 2007, No. 16).
§2035. Duties of Supervising Veterinarian.
Note     •     History

(a) The supervising veterinarian shall be responsible for determining the competency of the R.V.T. or unregistered assistant to perform allowable animal health care tasks.
(b) The supervising veterinarian of a R.V.T. or unregistered assistant shall make all decisions relating to the diagnosis, treatment, management and future disposition of the animal patient.
(c) The supervising veterinarian shall have examined the animal patient prior to the delegation of any animal health care task to either an R.V.T. or unregistered assistant. The examination of the animal patient shall be conducted at such time as good veterinary medical practice requires consistent with the particular delegated animal health care task.
NOTE

Authority cited: Sections 4808 and 4836, Business and Professions Code. Reference: Sections 4836, 4840 and 4840.9, Business and Professions Code.
HISTORY

1. New section filed 10-18-79; effective thirtieth day thereafter (Register 79, No. 42).
2. New section filed 7-16-80; effective thirtieth day thereafter (Register 80, No. 29).
3. Repealer and new section filed 10-21-82; effective thirtieth day thereafter (Register 82, No. 43).
4. Change without regulatory effect amending section filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
§2036. Animal Health Care Tasks for R.V.T.
Note     •     History

(a) Unless specifically so provided by regulation, a R.V.T. shall not perform the following functions or any other activity which represents the practice of veterinary medicine or requires the knowledge, skill and training of a licensed veterinarian:
(1) Surgery;
(2) Diagnosis and prognosis of animal diseases;
(3) Prescription of drugs, medicines or appliances.
(b) An R.V.T. may perform the following procedures only under the direct supervision of a licensed veterinarian:
(1) Induce anesthesia;
(2) Apply casts and splints;
(3) Perform dental extractions;
(4) Suture cutaneous and subcutaneous tissues, gingiva and oral mucous membranes,
(5) Create a relief hole in the skin to facilitate placement of an intravascular catheter
(c) An RVT may perform the following procedures under indirect supervision of a licensed veterinarian:
(1) Administer controlled substances.
(d) Subject to the provisions of subsection(s) (a), (b) and (c) of this section, an R.V.T. may perform animal health care tasks under the direct or indirect supervision of a licensed veterinarian. The degree of supervision by a licensed veterinarian over a R.V.T. shall be consistent with standards of good veterinary medical practices.
NOTE

Authority cited: Sections 4808, 4826 and 4836, Business and Professions Code. Reference: Sections 4836, 4840 and 4840.2, Business and Professions Code.
HISTORY

1. Amendment and renumbering from Sections 2030 to 2036 filed 7-16-80; effective thirtieth day thereafter (Register 80, No. 29).
2. Repealer and new section filed 10-21-82; effective thirtieth day thereafter (Register 82, No. 43).
3. Change without regulatory effect amending section heading and subsections (a), (b) and (c) filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
4. Amendment of section heading and amendment subsections (b) and (c) filed 6-3-2002; operative 7-3-2002 (Register 2002, No. 23).
5. Amendment of subsections (b)-(b)(4), new subsection (b)(5) and amendment of subsection (c) and Note filed 4-20-2007; operative 5-20-2007 (Register 2007, No. 16).
6. New subsections (c)-(c)(1) and subsection relettering filed 8-3-2007; operative 9-2-2007 (Register 2007, No. 31).
§2036.5. Animal Hospital Health Care Tasks for Unregistered Assistants.
Note     •     History

(a) Unregistered assistants shall be prohibited from performing any of the functions or activities specified in subsections (a) (b) and (c) of Section 2036 of these regulations, except that an unregistered assistant under the direct supervision of a licensed veterinarian or registered technician may administer a controlled substance.
(b) Subject to the provisions of subsection (a) of this section, unregistered assistants in an animal hospital setting may perform auxiliary animal health care tasks under the direct or indirect supervision of a licensed veterinarian or the direct supervision of an R.V.T. The degree of supervision by a licensed veterinarian over an unregistered assistant shall be higher than or equal to the degree of supervision required when an R.V.T. performs the same task and shall be consistent with standards of good veterinary medical practices.
NOTE

Authority cited: Sections 4808 and 4836, Business and Professions Code. Reference: Sections 4836 and 4840, Business and Professions Code.
HISTORY

1. Amendment and renumbering from Section 2035 to 2036.5 filed 7-16-80; effective thirtieth day thereafter (Register 80, No. 29).
2. Repealer and new section filed 10-21-82; effective thirtieth day thereafter (Register 82, No. 43).
3. Change without regulatory effect amending subsection (b) filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
4. Amendment of subsection (b) filed 4-20-2007; operative 5-20-2007 (Register 2007, No. 16).
5. Amendment of subsection (a) filed 8-3-2007; operative 9-2-2007 (Register 2007, No. 31).
§2037. Dental Operation, Defined.
Note     •     History

The term “dental operation” as used in Business and Professions Code section 4826 means:
(1) The application or use of any instrument or device to any portion of an animal's tooth, gum or any related tissue for the prevention, cure or relief of any wound, fracture, injury or disease of an animal's tooth, gum or related tissue; and
(2) Preventive dental procedures including, but not limited to, the removal of calculus, soft deposits, plaque, stains or the smoothing, filing or polishing of tooth surfaces.
(3) Nothing in this regulation shall prohibit, however, any person from utilizing cotton swabs, gauze, dental floss, dentifrice, toothbrushes or similar items to clean an animal's teeth.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4826, Business and Professions Code.
HISTORY

1. New section filed 4-2-90; operative 5-2-90 (Register 90, No. 14).
§2038. Musculoskeletal Manipulation.
Note     •     History

(a) The term musculoskeletal manipulation (MSM) is the system of application of mechanical forces applied manually through the hands or through any mechanical device to enhance physical performance, prevent, cure, or relieve impaired or altered function of related components of the musculoskeletal system of animals. MSM when performed upon animals constitutes the practice of veterinary medicine.
(b) MSM may only be performed by the following persons:
(1) A veterinarian who has examined the animal patient and has sufficient knowledge to make a diagnosis of the medical condition of the animal, has assumed responsibility for making clinical judgments regarding the health of the animal and the need for medical treatment, including a determination that MSM will not be harmful to the animal patient, discussed with the owner of the animal or the owner's authorized representative a course of treatment, and is readily available or has made arrangements for follow-up evaluation in the event of adverse reactions or failure of the treatment regimen. The veterinarian shall obtain as part of the patient's permanent record, a signed acknowledgment from the owner of the patient or his or her authorized representative that MSM is considered to be an alternative (nonstandard) veterinary therapy.
(2) A California licensed doctor of chiropractic (“chiropractor”) working under the direct supervision of a veterinarian. A chiropractor shall be deemed to be working under the direct supervision of a veterinarian where the following protocol has been followed:
(A) The supervising veterinarian shall comply with the provisions of subsection (b)(1) prior to authorizing a chiropractor to complete an initial examination of and/or perform treatment upon an animal patient.
(B) After the chiropractor has completed an initial examination of and/or treatment upon the animal patient, the chiropractor shall consult with the supervising veterinarian to confirm that MSM care is appropriate, and to coordinate complementary treatment, to assure proper patient care.
(C) At the time a chiropractor is performing MSM on an animal patient in an animal hospital setting, the supervising veterinarian shall be on the premises. At the time a chiropractor is performing MSM on an animal patient in a range setting, the supervising veterinarian shall be in the general vicinity of the treatment area.
(D) The supervising veterinarian shall be responsible to ensure that accurate and complete records of MSM treatments are maintained in the patient's veterinary medical record.
(c) Where the supervising veterinarian has ceased the relationship with a chiropractor who is performing MSM treatment upon an animal patient, the chiropractor shall immediately terminate such treatment.
(d)(1) A chiropractor who fails to conform with the provisions of this section when performing MSM upon an animal shall be deemed to be engaged in the unlicensed practice of veterinary medicine.
(2) A veterinarian who fails to conform with the provisions of this section when authorizing a chiropractor to evaluate or perform MSM treatments upon an animal shall be deemed to have engaged in unprofessional conduct.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4825, 4826 and 4883, Business and Professions Code.
HISTORY

1. New section filed 5-6-98; operative 6-5-98 (Register 98, No. 19).
§2039. Sodium Pentobarbital/Euthanasia Training.
Note     •     History

(a) In accordance with section 4827(d) of the Code, an employee of an animal control shelter or humane society and its agencies who is not a veterinarian or registered veterinary technician (RVT) shall be deemed to have received proper training to administer, without the presence of a veterinarian, sodium pentobarbital for euthanasia of sick, injured, homeless or unwanted domestic pets or animals if the person has completed a curriculum of at least eight (8) hours as specified in the publication by the California Animal Control Directors Association and the State Humane Association of California entitled “Euthanasia Training Curriculum” dated October 24, 1997, that includes the following subjects:
(1) History and reasons for euthanasia
(2) Humane animal restraint techniques
(3) Sodium pentobarbital injection methods and procedures
(4) Verification of death
(5) Safety training and stress management for personnel
(6) Record keeping and regulation compliance for sodium pentobarbital
At least five (5) hours of the curriculum shall consist of hands-on training in humane animal restraint techniques and sodium pentobarbital injection procedures.
(b) The training curriculum shall be provided by a veterinarian, an RVT, or an individual who has been certified by the California Animal Control Directors Association and the State Humane Association of California to train persons in the humane use of sodium pentobarbital as specified in their publication entitled “Criteria for Certification of Animal Euthanasia Instructors in the State of California” dated September 1, 1997.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4827, Business and Professions Code.
HISTORY

1. New section filed 4-30-98; operative 10-30-98 (Register 98, No. 18).
Article 5. Criteria for Rehabilitation
§2040. Substantial Relationship Criteria.
Note     •     History

For the purposes of denial, suspension, or revocation of a license pursuant to Division 1.5 (commencing with Section 475) of the code, a crime or act shall be considered to be substantially related to the qualifications, functions or duties of a person holding a license under Chapter 11 of Division 2 of the code if to a substantial degree it evidences present or potential unfitness of a person holding a license to perform the functions authorized by his or her license in a manner consistent with the public health, safety or welfare. Such crimes or acts shall include but not be limited to those involving the following:
(a) Violating or attempting to violate, directly or indirectly, or assisting in or abetting the violation of, or conspiring to violate any provision or term of Chapter 11, Division 2 of the code. 
(b) Conviction of a crime involving fiscal dishonesty.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 488 and 492, Business and Professions Code.
HISTORY

1. Amendment filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8). For prior history, see Register 75, No. 28.)
§2041. Criteria for Rehabilitation.
Note     •     History

(a) When considering the denial of a license under Section 480 of the code, the board, in evaluating the rehabilitation of the applicant and his or her present eligibility for a license will consider the following criteria:
(1) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the code.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(5) Evidence, if any, of rehabilitation submitted by the applicant.
(b) When considering the suspension or revocation of a license on the ground that a person holding a license under Chapter 11 of Division 2 of the code has been convicted of a crime, the board, shall in evaluating the rehabilitation of such person and his or her eligibility for a license will consider the following criteria:
(1) Nature and severity of the act(s) or offense(s).
(2) Total criminal record.
(3) The time that has elapsed since commission of the act(s) or offense(s).
(4) Whether the licensee has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against the licensee.
(5) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(6) Evidence, if any, of rehabilitation submitted by the licensee. 
(c) When considering a petition for reinstatement of license under the provisions of Section 11522 of the Government Code, the board shall evaluate evidence of rehabilitation submitted by the petitioner considering those criteria specified in subsection (a) of this section.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 475, 480 and 482, Business and Professions Code. 
HISTORY

1. Repealer and new section filed 7-10-75; effective thirtieth day thereafter (Register 75, No. 28).
2. Amendment filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8).
3. Amendment filed 10-12-83; effective thirtieth day thereafter (Register 83, No. 42).
§2042. Rehabilitation Criteria for Suspensions or Revocations. [Repealed]
Note     •     History

NOTE

Authority cited: Division 1.5, Section 475, et seq., and Sections 4808, 4875, 4881, 4882 and 4883, Business and Professions Code.
HISTORY

1. New section filed 7-10-75; effective thirtieth day thereafter (Register 75, No. 28).
2. Amendment filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8).
3. Repealer filed 10-12-83; effective thirtieth day thereafter (Register 83, No. 42).
Article 5.5. Citations
§2043. Civil Penalties for Citation.
Note     •     History

Where citations issued pursuant to Section 4875.2 and 125.9 of the Code include an assessment of a civil penalty, they shall be classified according to the nature of the violation and shall indicate the classification on the face thereof as follows:
(a) Class “A” violations are violations which the executive officer of the board has determined involve a person who has committed a violation which meets the criteria for a class “B” violation and has been issued two or more prior citations for a class “B” violation within the 24-month period immediately preceding the act serving as the basis for the citation, without regard to whether the actions to enforce the previous citations have become final. However, the increase in the civil penalty required by this paragraph shall not be due and payable unless and until the previous actions have been terminated in favor of the board. A class “A” violation is subject to a civil penalty in an amount not less than one thousand one dollars ($1,001) and not exceeding one thousand five hundred dollars ($1,500) for each citation.
(b) Class “B” violations are violations which the executive officer has determined involve either (1) a person who, while engaged in the practice of veterinary medicine, has violated a statute or regulation relating to the practice of veterinary medicine and either (1) has caused bodily injury to an animal which is not significant and substantial in nature or (2) presents a substantial probability that death or serious harm would result therefrom or (3) has committed a violation which meets the criteria for a class “C” violation and has two or more prior citations for a class “C” violation within the 24-month period immediately preceding the act serving as the basis for the citation, without regard to whether the actions to enforce the previous citations have become final. However, the increase in the civil penalty required by this paragraph shall not be due and payable unless and until the previous actions have been terminated in favor of the board. A class “B” violation is subject to a civil penalty in an amount not less than five hundred one dollars ($501) and not exceeding one thousand dollars ($1,000) for each citation. 
(c) Class “C” violations are violations which the executive officer has determined involve a person who, while engaged in the practice of veterinary medicine, has violated a statute or regulation relating to the practice of veterinary medicine and which has not caused either death or bodily injury to a patient and which does not present a substantial probability that death or serious harm to an animal patient would result therefrom. A class “C” violation is subject to a civil penalty in an amount not less than fifty dollars ($50) and not exceeding five hundred dollars ($500) for each citation.
(d) In assessing the amount of a civil penalty, the executive officer shall consider the following criteria:
(1) The good or bad faith exhibited by the cited person.
(2) The nature and severity of the violation.
(3) Evidence that the violation was willful.
(4) History of violations of the same or similar nature.
(5) The extent to which the cited person has cooperated with the board's investigations.
(6) The extent to which the cited person has mitigated or attempted to mitigate any damage or injury caused by his or her violation.
(7) Such other matters as justice may require.
NOTE

Authority cited: Sections 125.9, 4808 and 4875.4, Business and Professions Code. Reference: Sections 12.5, 125.9 and 4875.4, Business and Professions Code.
HISTORY

1. New Article 5.5 (Section 2043) filed 12-21-88; operative 1-1-89 (Register 89, No. 1).
2. Amendment of first paragraph and Note filed 1-11-2000; operative 2-10-2000 (Register 2000, No. 2).
Article 6. Registered Veterinary Technicians.
§2060. Registered Veterinary Technicians.
Note     •     History

The provisions of this article shall apply to the examination, licensure, and function of a registered veterinary technician only. All other provisions of this chapter shall pertain to registered veterinary technicians when applicable.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4833, 4846 and 4847.5, Business and Professions Code.
HISTORY

1. Renumbering of Section 2060 to 2069, and new Section 2060 filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8).
2. Change without regulatory effect amending article 6 heading, section heading and section filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
§2061. Examination. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4833, Business and Professions Code.
HISTORY

1. New section filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8).
2. Repealer filed 3-15-84; effective thirtieth day thereafter (Register 84, No. 11).
§2062. Passing Grade in Examination.
Note     •     History

Every candidate who obtains a passing grade which equals or exceeds a passing score determined by the Angoff criterion-referenced method of establishing the pass point on the written examination shall be deemed to have passed the California written examination in order to be registered as a registered veterinary technician. Such a passing score may vary moderately with changes in test composition.
NOTE

Authority cited: Section 4808, Business and Profession Code. Reference: Sections 4833, 4839 and 4842.1, Business and Professions Code.
HISTORY

1. New section filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8).
2. Amendment filed 3-15-84; effective thirtieth day thereafter (Register 84, No. 11).
3. Amendment filed 11-28-90; operative 12-28-90 (Register 91, No. 2).
4. Change without regulatory effect amending section filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
§2063. Re-Examinations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4833 and 4842.5, Business and Professions Code. 
HISTORY

1. New section filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8).
2. Repealer filed 3-15-84; effective thirtieth day thereafter (Register 84, No. 11).
§2065. Criteria for Evaluation of Equivalent Programs.
Note     •     History

In lieu of a two (2) year curriculum in animal health technology, completion of a program or curriculum in compliance with the following criteria is deemed to be “the equivalent thereof as determined by the board,” pursuant to Section 4841.5 of the code:
(a) The academic instruction shall consist of:
(1) a minimum of 600 hours of classroom instruction, and
(2) minimum of 200 hours of clinical instruction.
(3) an externship consisting of at least 200 hours.
(b) The curriculum shall include the following coursework:
(1) Principals of anatomy and physiology,
(2) Biology and chemistry,
(3) Applied mathematics,
(4) Orientation to the vocation of veterinary technology,
(5) Ethics and jurisprudence in veterinary medicine,
(6) Anesthetic nursing and monitoring including anesthetic evaluation, induction, and maintenance. It shall also include care and use of anesthetic and monitoring equipment,
(7) Animal husbandry, including restraint, species and breed identification, sex determination and sanitation,
(8) Animal nutrition and feeding,
(9) Client communication,
(10) Dental care of companion and laboratory animals including prophylaxis and extractions,
(11) Diseases and nursing management of companion, food, and laboratory animals,
(12) Emergency and critical care nursing,
(13) Laboratory procedures to include clinical biochemistry, cytology, hematology, immunology, basic microbiology, parasitology, and urine analysis testing.
(14) Imaging to include radiography, basic endoscopy and ultrasound principles,
(15) Medical terminology,
(16) Medical office management,
(17) Basic necropsy techniques including specimen collection and handling,
(18) Pharmacology,
(19) Surgical nursing and assisting including instrumentation, suturing, bandaging and splinting.
(c) Each student shall be supervised during the externship or clinical rotation by a veterinarian or registered veterinary technician who is located at the site of the externship or clinical rotation. The school or institution shall have a written agreement with the site that specifies the expectations and responsibility of the parties. A staff member of the school or institution shall visit the site prior to beginning the externship or clinical rotation relationship and at least once annually following the initial inspection.
(d) The library facilities of the institution must be adequate for the conducting of the program.
(e) The physical plant and equipment used for instruction in the academic teaching shall be adequate for the purposes intended.
(f)(1) The faculty shall include a California licensed veterinarian employed by the institution as an advisor, administrator, or instructor. Instructors shall include but need not be limited to, a California registered veterinary technician. If there is any change in the faculty, the board must be immediately notified.
(2) Instructors shall be knowledgeable, current, skillful, and possess at least two years of experience in performing or teaching in the specialized area in which they are teaching. Each instructor shall have or currently be receiving training in current teaching methods. Each instructor shall have a daily lesson plan, which correlates the theory and practice of the subject.
(3) An approved program shall have a director who meets the requirements of subdivision (f)(2) and who shall hold a current active California license as a veterinarian or registration as an RVT. The director shall have a minimum of three years experience as a veterinarian or RVT. This shall include one year of experience in teaching, administration, or clinical supervision or a combination thereof within the last five years. The director shall have completed or be receiving course work in administration.
(4) In the absence of a director an approved program may appoint an interim director. The interim director shall meet the requirements of (f)(3), except that the interim director may have applied for, but not yet have received licensure or registration. An approved program shall not have an interim director for a period exceeding eighteen months.
(g) The number of students enrolled shall be at a ratio to the number of faculty and size of the facilities which is not detrimental to the quality of education at the institution, but in any event, a maximum ratio of 15 students per teacher shall be allowed in lab classes in which procedures are performed on live animals.
(1) A maximum ratio of 30 students per teacher shall be allowed for all lab classes other than those classes involving live animals.
(h) All students admitted shall possess a high school diploma or its equivalent.
(i) The program or curriculum shall be part of an institution which is approved by the Department of Consumer Affairs, Bureau of Private Postsecondary and Vocational Education, or the State of California Department of Education, or in the case of an institution located outside of this state, accredited by a regional or national accrediting agency approved by the United States Department of Education.
(j) It shall be in compliance with the laws regulating the practice of veterinary medicine and the regulations adopted pursuant thereto.
(k) Any instruction covered under subsection (a)(3) shall be in a facility registered by the board.
(l) The program shall provide all prospective students, prior to enrollment, with literature which discloses the school's pass rate for first time candidates and the state average pass rate for first time candidates  on the board's registered veterinary technician examination during the two-year period immediately preceding the student's proposed enrollment and a description of the requirements for registration as a registered veterinary technician.
(m) All programs shall provide each prospective veterinary  technology student prior to enrollment written information regarding transferability of the units they receive in the courses that they take. Said information shall be posted at all times in a conspicuous location at the school facility so that there is ample opportunity for it to be read by the veterinary technology students.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4841.5 and 4843, Business and Professions Code.
HISTORY

1. New section filed 9-1-76; effective thirtieth day thereafter (Register 76, No. 36).
2. Amendment filed 2-15-79; effective thirtieth day thereafter (Register 79, No. 7).
3. Amendment filed 12-18-87; operative 1-17-88 (Register 87, No. 52).
4. Change without regulatory effect amending subsection (g) filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
5. Amendment filed 1-19-99; operative 2-18-99 (Register 99, No. 4).
6. Amendment filed 7-20-2004; operative 8-19-2004 (Register 2004, No. 30).
§2065.5. Institution Approval.
Note     •     History

(a) An institution seeking board approval of its registered veterinary technician curriculum shall submit an application to the board on a form provided by the board.
(b) When the application for approval or re-approval of a registered veterinary technician curriculum includes an onsite inspection by the board or its designee, the program shall pay for the board's actual costs associated with conducting the onsite inspection, including, but not limited to, the inspection team's travel, food and lodging expenses.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4841.5, 4842.5 and 4843, Business and Professions Code.
HISTORY

1. New section filed 2-15-79; effective thirtieth day thereafter (Register 79, No. 7).
2. Repealer and new section filed 1-19-99; operative 2-18-99 (Register 99, No. 4).
§2065.6. School Approval Process.
Note     •     History

The following procedures shall be applicable to an institution applying to the board for initial approval of its registered veterinary technician curriculum in accordance with section 2065 of these rules:
(a) The board shall conduct a qualitative review and assessment of the institution's registered veterinary technician curriculum through a comprehensive onsite review process, performed by an inspection team impaneled by the board for that purpose.
(b) After reviewing the inspection team's evaluation report and recommendations, the board shall take one of the following actions:
(1) Grant provisional approval for a period not to exceed two years. An additional two-year provisional approval may be granted by the board for good cause.
(2) Disapprove the application.
(c) Full approval of an institution offering a registered veterinary technician curriculum in accordance with section 2065 shall not be granted until the curriculum has been in operation under provisional approval for at least two years and the board has determined that the curriculum is in full compliance with the provisions of section 2065.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4841.5 and 4843, Business and Professions Code.
HISTORY

1. New section filed 1-19-99; operative 2-18-99 (Register 99, No. 4).
§2065.7. Inspections.
Note     •     History

(a) Where either provisional or full approval has been granted, the Board shall conduct subsequent inspections every 4 years, notwithstanding other provisions of this section.
(b) The board may conduct an on-site inspection of an institution which offers a registered veterinary technician curriculum in accordance with section 2065 where:
(1) It believes the institution has substantially deviated from the standards for approval,
(2) For a period of two years the approved program's yearly average pass rate on the registration examination falls below 10 percentage points of the state average pass rate for first time candidates for the registered veterinary technician examination.
(3) There has been change of program director in charge of the curriculum for training registered veterinary technicians.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4841.5 and 4843, Business and Professions Code.
HISTORY

1. New section filed 1-19-99; operative 2-18-99 (Register 99, No. 4).
2. Repealer and new subsection (b)(2) filed 7-20-2004; operative 8-19-2004 (Register 2004, No. 30).
§2065.8. Probation.
Note     •     History

(a) The board may place an institution on probation for a prescribed period of time not to exceed 2 years, in the following circumstances:
(1) The board determines that an approved program is not maintaining the standards for approval required by the board.
(2) For a period of two years the approved program's yearly average pass rate for the first time candidates who have taken the registration examination falls below 10 percentage points of the state average pass rate for first time candidates who have taken the registered veterinary technician examination during the same time period.
(3) The use of false or misleading advertising.
(4) Aiding or abetting in any acts that are in violation of any of the provisions of this chapter.
(b) During the period of probation, the institution shall be subject to special monitoring. The conditions for probation may include the submission of periodic reports as prescribed by the board and special visits by authorized representatives of the board to determine progress toward total compliance. 
(c) The board may extend the probationary period for good cause.
(d) The institution shall notify in writing all current and prospective students and employees of the probationary status.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4841.5 and 4843, Business and Professions Code.
HISTORY

1. New section filed 1-19-99; operative 2-18-99 (Register 99, No. 4).
2. Repealer and new section heading and section filed 7-20-2004; operative 8-19-2004 (Register 2004, No. 30).
§2065.8.1. Withdrawal of Approval.
Note     •     History

The board may withdraw its approval of any school or institution in the following circumstances:
(a) The employment of fraud, misrepresentation, or deception in obtaining approval.
(b) If, at the end of a probationary period, the institution has not eliminated the cause or causes for its probation to the satisfaction of the board.
(c) The board determines that the institution has engaged in activities that are a danger to the health and safety of its students, staff, or animals.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4841.5 and 4843, Business and Professions Code.
HISTORY

1. New section filed 7-20-2004; operative 8-19-2004 (Register 2004, No. 30).
§2065.8.2. Procedures for Probation or Withdrawal of Approval.
Note     •     History

Prior to taking any action to place a school or institution on probation or withdrawing of the board's approval, the board shall provide the school or institution due notice and an opportunity to be heard.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4841.5 and 4843, Business and Professions Code.
HISTORY

1. New section filed 7-20-2004; operative 8-19-2004 (Register 2004, No. 30).
§2065.8.3. Director Notification.
Note     •     History

(a) Every approved program shall be required to notify the board in writing of the departure of the director or interim director within 15 working days, and shall notify the board in writing of the appointment of any director or interim director within 15 working days.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4841.5 and 4843, Business and Professions Code.
HISTORY

1. New section filed 7-20-2004; operative 8-19-2004 (Register 2004, No. 30).
§2065.9. Reporting.
Note     •     History

Every school shall be required to submit to the board within sixty (60) days after the close of the school's fiscal year a current course catalog with a letter outlining the following:
(1) Any courses added/deleted or significantly changed from the previous year's curriculum;
(2) Any changes in faculty, administration, or governing body; and
(3) Any major change in the school's facility.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4841.5 and 4843, Business and Professions Code.
HISTORY

1. New section filed 1-19-99; operative 2-18-99 (Register 99, No. 4).
§2066. Practical Experience--Equivalent Programs. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4808 and 4841.5, Business and Professions Code. Reference: Section 4841.5, Business and Professions Code.
HISTORY

1. New section filed 9-1-76; effective thirtieth day thereafter (Register 76, No. 36).
2. Amendment filed 2-15-79; effective thirtieth day thereafter (Register 79, No. 7).
3. Repealer filed 12-18-87; operative 1-17-88 (Register 87, No. 52).
§2067. Practical Experience--Two-Year Curriculum Equivalent. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4841.5, Business and Professions Code.
HISTORY

1. New section filed 9-1-76; effective thirtieth day thereafter (Register 76, No. 36).
2. Amendment filed 2-15-79; effective thirtieth day thereafter (Register 79, No. 7).
3. Amendment filed 3-15-84; effective thirtieth day thereafter (Register 84, No. 11).
4. Change without regulatory effect amending section filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
5. Repealer filed 6-12-2009; operative 7-12-2009 (Register 2009, No. 24).
§2068. Practical Experience--Advanced Degrees As Equivalent Curriculum. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4841.5, Business and Professions Code.
HISTORY

1. New section filed 9-1-76; effective thirtieth day thereafter (Register 76, No. 36).
2. Amendment filed 2-15-79; effective thirtieth day thereafter (Register 79, No. 7).
3. Amendment filed 3-15-84; effective thirtieth day thereafter (Register 84, No. 11).
4. Change without regulatory effect amending section filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
5. Repealer filed 6-12-2009; operative 7-12-2009 (Register 2009, No. 24).
§2068.5. Practical Experience and Education As Equivalent Curriculum.
Note     •     History

In lieu of a two year curriculum in animal health technology, completion of a combination of practical experience and education in compliance with the following criteria is deemed to be “the equivalent thereof as determined by the board” pursuant to Section 4841.5 of the code:
(a) The education shall consist of a total of 20 semester units, 30 quarter units, or 300 hours of instruction. The education shall be provided by a postsecondary academic institution or a qualified instructor as defined by Section 2068.5(e). The education shall be accumulated in the fundamentals and principles of all of the following subjects:
(1) Dental prophylaxis and extraction.
(2) Anesthetic instrumentation, induction and monitoring.
(3) Surgical nursing and assisting, including instrumentation, suturing techniques, intravascular catheter placement and application of casts and splints.
(4) Radiography and radiation safety.
(5) Diseases and nursing of animals, including zoonotic diseases and emergency veterinary care.
(b) The education shall include instruction in chemistry, mathematics, biology, microbiology, anatomy and physiology, and medical terminology, or these subjects may be obtained as separate courses.
(c) All educational requirements in subsection (a) shall have been completed by the applicant within five (5) years prior to the date of the examination for registration as a registered veterinary technician.
(d) Interactive distance-learning shall be accepted if the course meets all the criteria listed in this section and the candidate achieves a documented passing score on the course final examination.
(e) The candidate shall provide the board with a syllabus or an outline for each course. The candidate shall provide documentation of attendance for each course in the form of one of the following:
(1) a certificate of attendance, 
(2) an official transcript, or
(3) a letter on official stationery signed by the course instructor documenting that the candidate attended a particular course.
(f)(1) In order for education to be approved for qualification under Section 2068.5, the instructor must meet at least two of the following minimum requirements:
(A) A license, registration, or certificate in an area related to the subject matter of the course. The license, registration, or certificate shall be current, valid, and free from restrictions due to disciplinary action by this board or any other health care regulatory agency;
(B) A master's or higher degree from an educational institution in an area related to the subject matter of the course;
(C) Training, certification, or experience in teaching the subject matter of the course; or
(D) At least two years' experience in an area related to the subject matter of the course.
(2) The instructor shall provide each participant with a course syllabus or detailed outline which includes a description of the material covered.
(g) The directed clinical practice shall consist of at least 4416 hours, completed in no less than 24 months, of directed clinical practice under the direct supervision of a California-licensed veterinarian who shall attest to the completion of that experience at the time the application is made to the board for the registered veterinary technician examination. This experience shall have been completed by the applicant within five (5) years prior to the date of the examination for registration as a registered veterinary technician.
(h) The directed clinical practice required in subsection (g) shall have provided the applicant with knowledge, skills, and abilities in the areas of communication with clients, patient examinations, emergency procedures, laboratory procedures, diagnostic imaging, surgical assisting, anesthesia, animal nursing, nutrition, dentistry, animal behavior, and pharmacology. The supervising veterinarian(s) shall complete a check list attesting to proficiency in specific skill areas within the preceding categories.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4841.5, Business and Professions Code.
HISTORY

1. New section filed 1-27-89; operative 4-1-89 (Register 89, No. 7). For history of former section, see Registers 79, No. 7 and 76, No. 36.
2. Repealer of subsections (a)-(b) and new subsections (a)-(e) filed 11-23-94; operative 12-23-94 (Register 94, No. 47).
3. Change without regulatory effect amending subsection (b) filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
4. Amendment of subsections (c) and (d) filed 5-25-2000; operative 6-24-2000 (Register 2000, No. 21).
5. Amendment of section heading and section filed 4-2-2002; operative 5-2-2002 (Register 2002, No. 14).
6. Amendment of subsections (a)(3), (e)(3), (g) and (h) filed 6-12-2009; operative 7-12-2009 (Register 2009, No. 24).
§2068.6. Practical Experience--Out of State Registration As Equivalent Curriculum.
Note     •     History

In lieu of a two-year curriculum in registered veterinary technology, an applicant shall be eligible for the registered veterinary technician examination provided such applicant meets the following requirements:
(a) The applicant is licensed, certified, or registered as a registered veterinary technician in one or more states in which the board has determined that he or she has taken a licensing examination(s) equivalent to the written examination last given in California and has achieved a score on the examination(s) at least equal to the score required to pass the California examination.
(b) The applicant has obtained at least 4416 hours, completed in no less than 24 months, of directed clinical practice, under the direct supervision of a veterinarian licensed in the United States, Canada or U.S. territory.
(c) The directed clinical practice shall have provided the applicant with knowledge, skills and abilities in the areas of communication with clients, patient examinations, emergency procedures, laboratory procedures, diagnostic imaging, surgical assisting, anesthesia, animal nursing, nutrition, dentistry, animal behavior and pharmacology. The supervising veterinarian(s) shall complete a check list attesting to proficiency in specific skill areas within the preceding categories.
(d) The board determines that no disciplinary action has been taken against the applicant by any public agency concerned with the practice of animal health care and that the applicant has not been the subject of adverse civil or criminal judgments resulting from the practice of animal health care which the board determines constitutes evidence of a pattern of incompetency or negligence.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4841.5, Business and Professions Code.
HISTORY

1. New section filed 1-27-89; operative 4-1-89 (Register 89, No. 7).
2. Change without regulatory effect amending first paragraph and subsection (a) filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
3. Amendment of subsection (b), new subsection (c) and subsection relettering filed 6-12-2009; operative 7-12-2009 (Register 2009, No. 24).
§2068.7. Limited Term RVT Examination Eligibility Window.
Note     •     History

(a) A person who applies to take the RVT State Board Examination from January 1, 2009 through December 31, 2009 may qualify for that examination if the applicant, in lieu of a two-year curriculum in animal health technology, meets the criteria set forth below, which are deemed to be “equivalent” to the two-year curriculum in animal health technology pursuant to Section 4841.5 of the code. 
(1) The applicant has at least 7360 hours of directed clinical practice, completed in no less than five years within the six years immediately preceding application and no less than 24 hours of education in fundamentals of veterinary technology. The directed clinical practice shall have been under the direct supervision of a California-licensed veterinarian who shall attest to the completion of that experience and the competency of the applicant at the time of application to the Board for the registered veterinary technician examination. 
(2) The directed clinical practice required in subsection (a) shall have provided the applicant with knowledge, skills and abilities in the areas of communication with clients, patient examinations, emergency procedures, laboratory procedures, diagnostic imaging, surgical assisting, anesthesia, animal nursing, nutrition, dentistry, animal behavior and pharmacology. The supervising veterinarian(s) shall complete a checklist approved by the Board (Form 26A-2 (9/08)), attesting to proficiency in specific skill areas within the preceding categories. 
(b) The education required in paragraph (a)(1) may have been completed within the 7360 hours of clinical directed practice and must be from a postsecondary academic institution or a qualified instructor as defined by Section 2068.5 subsections (e-f). The education shall be accumulated in the fundamentals and principles of all of the following subjects: 
(1) Dental prophylaxis and extraction; 
(2) Anesthetic instrumentation, induction and monitoring; 
(3) Surgical nursing and assisting, including instrumentation, suturing techniques, and application of casts and splints;
(4) Radiology and radiation safety; and 
(5) Diseases and nursing of animals, including zoonotic diseases and emergency veterinary care. 
The candidate is required to provide the Board with a proof of completion of each course or instruction and documentation of attendance in the form of a certificate of attendance, official transcript or letter on official stationary signed by the course instructor documenting the candidate attended the particular course. 
(c) This section shall become inoperative on January 1, 2010.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4841.5, Business and Professions Code. 
HISTORY

1. New section filed 2-3-2009; operative 2-3-2009 pursuant to Government Code section 11343.4. This regulation will expire by its own terms on January 1, 2010 (Register 2009, No. 6). 
§2069. Emergency Animal Care.
Note     •     History

Emergency animal care rendered by registered veterinary technician.
Under conditions of an emergency as defined in Section 4840.5, a registered veterinary technician may render the following life saving aid and treatment to an animal:
(1) Application of tourniquets and/or pressure bandages to control hemorrhage.
(2) Administration of pharmacological agents to prevent or control shock, including parenteral fluids, shall be performed after direct communication with a licensed veterinarian or veterinarian authorized to practice in this state. In the event that direct communication cannot be established, the registered veterinary technician may perform in accordance with written instructions established by the employing veterinarian. Such veterinarian shall be authorized to practice in this state.
(3) Resuscitative oxygen procedures.
(4) Establishing open airways including intubation appliances but excluding surgery.
(5) External cardiac resuscitation.
(6) Application of temporary splints or bandages to prevent further injury to bones or soft tissues.
(7) Application of appropriate wound dressings and external supportive treatment in severe burn cases.
(8) External supportive treatment in heat prostration cases.
NOTE

Authority cited: Sections 4808 and 4836, Business and Professions Code. Reference: Section 4840.5, Business and Professions Code.
HISTORY

1. New Article 6 (Section 2060) filed 9-4-75; effective thirtieth day thereafter (Register 75, No. 36).
2. Renumbering of Section 2060 to Section 2069 filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8).
3. Amendment filed 3-15-84; effective thirtieth day thereafter (Register 84, No. 11).
4. Change without regulatory effect amending first and second  paragraphs and subsection (1) filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
Article 7. Fees
§2070. Registration and Renewal Fees for Veterinarians.
Note     •     History

Pursuant to the provisions of Section 4905 of the code, the following fees are fixed by the board for licensing periods beginning on or after March 1, 2012:
(a) The application eligibility review fee for all examinations shall be $125.00.
(b) The fee for the California state board examination shall be $200.00.
(c) The fee for the veterinary law examination shall be $100.00.
(d) The initial license fee for licenses issued for one year or more from the date on which they will expire shall be $290.00. The initial license fee for licenses issued for less than one year shall be $145.00.
(e) The biennial renewal fee shall be $290.00.
(f) The fee for a temporary license shall be $150.00.
(g) The initial fee for registration of a veterinary premises shall be $200.00.
(h) The annual renewal fee for registration of a veterinary premises shall be $200.00.
(i) The fee for the Board's Diversion Program shall be $2,000 per participant.
(j) The delinquency fee shall be $25.00.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4905, Business and Professions Code.
HISTORY

1. New section filed 5-20-77; effective thirtieth day thereafter (Register 77, No. 21).
2. New subsection (f) filed 10-18-79; effective thirtieth day thereafter (Register 79, No. 42).
3. Amendment filed 5-8-80; effective thirtieth day thereafter (Register 80, No. 19).
4. Amendment of subsection (b) filed 8-27-81; effective thirtieth day thereafter (Register 81, No. 35).
5. Amendment of subsection (a) filed 5-20-82; effective thirtieth day thereafter (Register 82, No. 21).
6. Amendment of subsection (c) filed 5-20-85; effective thirtieth day thereafter (Register 85, No. 21).
7. Amendment filed 11-13-86; effective thirtieth day thereafter (Register 86, No. 46).
8. Amendment of subsections (a) and (b) filed 9-18-89; operative 10-18-89 (Register 89, No. 38).
9. Amendment filed 9-3-92; operative 10-5-92 (Register 92, No. 36).
10. Amendment of subsection (d) filed 12-23-94; operative 1-1-95 pursuant to Government Code Section 11346.2(d) (Register 94, No. 51).
11. Amendment of subsections (a)-(c) filed 8-28-95; operative 9-27-95 (Register 95, No. 35).
12. Amendment of subsections (a)-(c) filed 3-21-97; operative 4-20-97 (Register 97, No. 12).
13. New subsection (a), subsection relettering and amendment of newly designated subsections (b)-(e) filed 6-17-98; operative 7-17-98 (Register 98, No. 25).
14. New subsections (e) and (g) and subsection relettering filed 3-29-99 as an emergency; operative 3-29-99 (Register 99, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-27-99 or emergency language will be repealed by operation of law on the following day. 
15. Certificate of Compliance as to 3-29-99 order transmitted to OAL 7-15-99 and filed 7-30-99 (Register 99, No. 31). 
16. Amendment of subsection (a), repealer of subsections (b) and (c) and subsection relettering filed 7-18-2000; operative 7-18-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 29).
17. Amendment of section heading, new subsection (h) and amendment of Note filed 2-4-2002; operative 2-4-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 6). 
18. Amendment filed 4-8-2003; operative 7-1-2003 (Register 2003, No. 15).
19. Amendment of subsections (a)-(e) filed 6-15-2007; operative 7-15-2007 (Register 2007, No. 24).
20. Amendment of section heading, section and Note filed 7-1-2011; operative 7-31-2011 (Register 2011, No. 26).
§2071. Application, Registration and Renewal Fees for Registered Veterinary Technicians.
Note     •     History

Pursuant to the provisions of Section 4842.5 of the code, the following fees are fixed by the board for licensing periods beginning on or after March 1, 2012:
(a) The application eligibility review fee for the registered veterinary technician examination shall be $125.00.
(b) The fee for the registered veterinary technician examination shall be $175.00.
(c) The initial registration fee for registrations issued for one year or more from the date on which it will expire shall be $140.00. The initial registration fee for registrations issued for less than one year shall be $70.00.
(d) The biennial renewal fee shall be $140.00.
(e) The delinquency fee shall be $25.00.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4842.5, Business and Professions Code.
HISTORY

1. New article 7 (section 2071) filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8).
2. Amendment of subsections (a) and (b) filed 12-29-81; effective thirtieth day thereafter (Register 82, No. 1).
3. Amendment of first paragraph and subsection (a) and repealer of subsections (b) and (c) and relettering filed 9-3-92; operative 10-5-92 (Register 92, No. 36).
4. Amendment of subsection (a) filed 8-28-95; operative 9-27-95 (Register 95, No. 35).
5. Change without regulatory effect amending section heading and subsection (a)  filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
6. Amendment filed 4-8-2003; operative 7-1-2003 (Register 2003, No. 15).
7. Amendment filed 6-15-2007; operative 7-15-2007 (Register 2007, No. 24).
8. Amendment filed 7-1-2011; operative 7-31-2011 (Register 2011, No. 26).
§2071. Application, Registration and Renewal Fees for Registered Veterinary Technicians.
Note     •     History

Pursuant to the provisions of Section 4842.5 of the code, the following fees are fixed by the board:
(a) The application fee for the registered veterinary technician examination, commencing with the March, 1996 examination, shall be $75.00.
(b) The registration fee shall be $25.00 provided that the registration fee for a license which will expire within six months from the date of issuance shall be $10.00.
(c) The annual renewal fee shall be $25.00.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4842.5, Business and Professions Code.
HISTORY

1. New article 7 (section 2071) filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8).
2. Amendment of subsections (a) and (b) filed 12-29-81; effective thirtieth day thereafter (Register 82, No. 1).
3. Amendment of first paragraph and subsection (a) and repealer of subsections (b) and (c) and relettering filed 9-3-92; operative 10-5-92 (Register 92, No. 36).
4. Amendment of subsection (a) filed 8-28-95; operative 9-27-95 (Register 95, No. 35).
5. Change without regulatory effect amending section heading and subsection (a)  filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
Article 8. Alcohol and Drug Abuse Diversion Program for Veterinarians and Animal Health Technicians
§2075. Definitions.
Note     •     History

As used in this article
(a) “Program” means the alcohol and drug abuse diversion program for veterinarians and registered veterinary technicians authorized pursuant to Article 3.5 (commencing with Section 4860) of Chapter 11 of Division 2 of the Business and Professions Code.
(b) “Diversion committee” means diversion evaluation committee.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4808, Business and Professions Code.
HISTORY

1. New Article 8 (Sections 2075-2082, not consecutive) filed 3-28-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 13).
2. Change without regulatory effect amending Article 8 heading and subsection (a)  filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
§2076. Criteria for Admission.
Note     •     History

An applicant shall meet the following criteria for admission to the program:
(a) The applicant shall be a veterinarian or registered veterinary technician licensed or registered in this state.
(b) The applicant shall reside in California.
(c) The applicant is found to abuse alcohol or other dangerous drugs in a manner which may affect the veterinarian's ability to practice veterinary medicine competently or the registered veterinary technician's ability to perform his or her duties competently.
(d) The applicant shall have voluntarily requested admission to the program.
(e) The applicant agrees to undertake any reasonable medical or psychiatric examinations necessary to evaluate the application for participation in the program.
(f) The applicant cooperates with the program by providing medical information, disclosure authorizations and releases of liability as may be necessary for participation in the program.
(g) The applicant agrees in writing to cooperate with all elements of both the program and the individual treatment program designed by a diversion committee.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4866, Business and Professions Code.
HISTORY

1. Change without regulatory effect amending subsections (a) and (c) filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
§2077. Procedure for Review of Applicants.
Note

(a) An administrative physician shall act as a medical consultant to the program manager for the purpose of interviewing each applicant who requests admission to the program.
(b) The program manager and the medical consultant will recommend such medical and psychiatric examinations by administrative physicians which may be necessary for determining the applicant's eligibility in the program and request such other information, authorization, and releases necessary for the program.
(c) The program manager, medical consultant and any administrative physician who examined the applicant shall each make a recommendation to the committee whether the applicant should or should not be admitted to the program.
(d) A diversion committee's decision on admission of an applicant to the program shall be final.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4866, Business and Professions Code.
§2078. Administrative Physicians.
Note     •     History

Administrative physicians, who are physicians selected by the Board on recommendation of the program manager to conduct medical or psychiatric examinations of an applicant or who act as medical consultants for purposes of interviewing applicants for admission to the program, shall be California licensed physicians who are competent to perform the required examination.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4866, Business and Professions Code.
HISTORY

1. New section filed 10-24-85; effective thirtieth day thereafter (Register 85, No. 43).
§2079. Causes for Denial of Admission.
Note     •     History

A diversion committee may deny an applicant admission to the program for any of the following reasons:
(a) The applicant does not meet the requirements set forth in Section 2076.
(b) The applicant has been subject to an adverse disciplinary decision by any state veterinary medical or registered veterinary technician licensing authority.
(c) Formal complaints have been received by the Board which, after investigation, indicate that the applicant may have violated a provision of the laws governing the practice of veterinary medicine, Chapter 11 (commencing with Section 4800) of Division 2 of Business and Professions Code, excluding subsection (g)(1) of Section 4883 of the Code.
(d) A diversion committee determines that the applicant will not substantially benefit from participation in the program or that the applicant's participation in the program creates too great a risk to the public health, safety or welfare.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4860, 4866 and 4870, Business and Professions Code.
HISTORY

1. Change without regulatory effect amending subsection (b) filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
§2080. Causes for Termination from the Program.
Note     •     History

A diversion committee may terminate a veterinarian or registered veterinary technician's participation in the program for any of the following reasons:
(a) The applicant has successfully completed the treatment program prescribed by the diversion committee.
(b) The diversion committee votes to terminate participation for one of the following causes:
(1) The veterinarian or registered veterinary technician has failed to comply with the treatment program designated by the diversion committee.
(2) Any cause for denial of an applicant in Section 2079.
(3) The veterinarian or registered veterinary technician has failed to comply with any of the requirements set forth in Section 2076.
(4) The diversion committee determines that the applicant has not substantially benefited from participation in the program or that the applicant's continued participation in the program creates too great a risk to the public health, safety or welfare.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4860, 4866, 4867 and 4870, Business and Professions Code.
HISTORY

1. Change without regulatory effect amending first paragraph and subsections (b)(1) and (b)(3) filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
§2081. Notification of Termination.
Note     •     History

Whenever any veterinarian or registered veterinary technician is terminated from the program for any reasons other than successful completion of the program, the diversion committee shall, within thirty days, report such fact to the Board in writing. The diversion committee's written notification to the Board of a participant's termination from the program shall not include any confidential information as defined in Section 2082.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Sections 4860, 4866 and 4871, Business and Professions Code.
HISTORY

1. New section filed 10-24-85; effective thirtieth day thereafter (Register 85, No. 43).
2. Change without regulatory effect amending section filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
§2082. Confidentiality of Records.
Note     •     History

(a) All Board, Diversion Committee and Program records relating to a veterinarian's or registered veterinary technician's application to the program shall be kept confidential pursuant to Section 4871 of the Code, including all information provided by the applicant, or by an examining physician, to the program manager, a medical consultant, members of a diversion committee, or other employees of the Board in connection with the program. Such records shall be purged when a veterinarian's or registered veterinary technician's participation in the program is either completed or terminated.
(b) All other information or records received by the Board prior to the acceptance of the applicant into the program, or which do not relate to the veterinarian's or registered veterinary technician's application into the program, or which do not relate to the veterinarian's or registered veterinary technician's participation in the program, shall not be maintained in a confidential manner as required by Section 4871 of the Code and may be utilized by the Board in any disciplinary or criminal proceedings instituted against the veterinarian or registered veterinary technician.
NOTE

Authority cited: Section 4808, Business and Professions Code. Reference: Section 4871, Business and Professions Code.
HISTORY

1. Change without regulatory effect amending section filed 3-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 9).
Article 9. Continuing Education: Veterinarian
§2085. Definitions: Continuing Education.
Note     •     History

As used in this article: 
(a) “Licensee” means a California licensed veterinarian. 
(b) “Continuing education” means education needed to maintain competence and skills consistent with current standards and practices and that is beyond the initial academic studies needed to be licensed. 
(c) “Statutorily recognized provider” or “recognized provider” means an organization, institution, association, university or other person or entity that is authorized to offer continuing education in veterinary medicine pursuant to subsection (b)(1) of section 4846.5 of the Code. 
(d) “Approved provider” means an organization, institution, association, university or other person or entity that is approved by the Board or the Board recognized national continuing education approval body to offer continuing education courses in veterinary medicine. 
(e) “Qualifying continuing education” or “qualifying course” means an orderly learning experience which meets the criteria specified in this article and is administered by a recognized or an approved provider. It includes a variety of forms of learning experiences, including, but not limited to, lectures, conferences, workshops, video conferencing, distance learning technologies, and self-study courses. 
(f) “Self-study course” means a form of orderly learning that does not offer participatory interaction between the licensee and the instructor during the instructional period. Self-study includes, but is not limited to, correspondence courses, independent study and home study programs, reading journals, viewing of videotapes, or listening to audiotapes. 
(g) “AAVSB” means the American Association of Veterinary State Boards. 
(h) “Approval entity” means the entity responsible for approving a provider of continuing education who is not a recognized provider. The entity shall be either the Board recognized national continuing education approval body or the Board itself 
NOTE

Authority cited: Sections 4808 and 4846.5, Business and Professions Code. Reference: Section 4846.5, Business and Professions Code.  
HISTORY

1. New article 9 (sections 2085-2085.13) and section filed 2-4-2002; operative 2-4-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 6). 
2. Amendment of article 9 heading filed 4-14-2011; operative 5-14-2011 (Register 2011, No. 15).
§2085.1. License Renewal Requirements.
Note     •     History

(a)(1) A licensee applying for license renewal, or who is reactivating an inactive license, shall certify in writing that during the preceding renewal period the licensee has completed at least thirty-six (36) hours of approved continuing education and furnish a full set of fingerprints as required by section 2010.05. 
(2) Notwithstanding subdivision (a)(1) of this section, a veterinarian shall not be required to comply with the continuing education requirements when applying for his or her first license renewal. Thereafter, such veterinarians shall be required to meet the continuing  education requirement specified herein as a condition  for renewal of his or her license. 
NOTE

Authority cited: Sections 4800.1, 4808 and 4846.5, Business and Professions Code. Reference: Section 144, 700, 701, 703, 704, 4808, 4837, 4846.5, 4875 and 4883, Business and Professions Code; and Section 11105, Penal Code. 
HISTORY

1. New section filed 2-4-2002; operative 2-4-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 6). 
2. Amendment of subsection (a)(1) and Note filed 4-15-2011; operative 4-1-2012 (Register 2011, No. 15).
§2085.2. Continuing Education Waivers.
Note     •     History

(a) A licensee may request a waiver from complying with the continuing education requirements. A request for a waiver from the continuing education requirements shall be submitted to the Board on an application provided by the Board (using form VMB/CE/1 dated 10/04, which is incorporated by reference). The application shall include a letter explaining the reason for the waiver request in addition to documents that verify the request for waiver, e.g., military documents, letter from physician, and shall be signed by the licensee under penalty of perjury. The Board will notify the licensee, within seventy-five (75) working days after receipt of the request for waiver and the supporting documentation, whether the waiver was granted.  
(b) If the request for waiver is denied, the licensee shall complete the continuing education requirements as set forth in this article and section 4846.5 of the Code. If the request for waiver is granted, it shall be valid only for the current renewal period. 
(c) The Board shall grant the waiver if the licensee can provide documents, satisfactory to the Board, that:
(1) For at least one year during the licensee's current license period the licensee was or will be absent from California due to military service; or 
(2) For at least one year during the licensee's current license period the licensee is prevented from practicing veterinary medicine and from completing continuing education courses for the following reasons of health or undue hardship which include: 
(A) A significant  physical and/or mental disability of the veterinarian; or
(B) A significant physical and/or mental disability of an individual where the veterinarian has total responsibility for the care of that individual. 
(d) Not withstanding subsection (c), upon reviewing the request to waive the continuing education requirements, the Board may deny the waiver if granting the waiver compromises the health and safety of animals or consumers. Further, the Board shall review the information provided in each request for waiver of the continuing education requirements to determine whether facts exist showing a violation of the Veterinary Medicine Practice Act for purposes of issuing a citation or imposing a civil penalty pursuant to Section 4883.
NOTE

Authority cited: Sections 4808 and 4846.5, Business and Professions Code. Reference: Section 4846.5, Business and Professions Code. 
HISTORY

1. New section filed 2-4-2002; operative 2-4-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 6). 
2. Amendment of subsections (a) and (c)(2) and new subsection (d) filed 7-27-2005; operative 8-26-2005 (Register 2005, No. 30).
§2085.3. Continuing Education Credit.
Note     •     History

(a) Licensees will earn one-hour of continuing education credit for each hour of a qualifying course. A qualifying course shall be at least one-hour in length. One credit hour shall consist of not less than 50 minutes of actual instruction. Qualifying courses or presentations that are between 25 and 49 minutes in excess of one hour shall be granted credit in half-hour increments. 
(b) One academic quarter unit is equal to 10 hours of continuing education credit and one academic semester unit is equal to 15 hours of continuing education credit. 
(c) A licensee who teaches a qualifying continuing education course may claim credit for the course only one time during a renewal period. 
(d) A licensee who participates as an expert examiner in an examination preparation workshop for the California state or national licensing examination may claim, on an hour for hour basis, up to a maximum of sixteen (16) hours per renewal period, continuing education credit for such participation. 
(e) A licensee shall not be allowed to use, for purposes of renewal, more than twenty-four (24) hours of continuing education credit for courses in business practice management or stress seminars. 
(f) A licensee who takes a course as a condition of probation resulting from disciplinary action by the Board may not apply the course as credit towards the continuing education requirement. 
NOTE

Authority cited: Sections 4808 and 4846.5, Business and Professions Code. Reference: Sections 4846.5, Business and Professions Code. 
HISTORY

1. New section filed 2-4-2002; operative 2-4-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 6). 
§2085.4. Retroactive Approval of Course Providers.
Note     •     History

A continuing education course offered by a provider identified in section 4846.5(b)(1)(A-J) of the Business and Professions Code shall be accepted towards license renewal if the course started on or after January 1, 2000.
A licensee who completes a continuing education course by a provider not identified in section 4846.5(b)(1)(A-J) of the Business and Professions Code, which was started on or after February 1, 2000, shall receive continuing education credit for that course if the provider and the course were approved by the Board recognized national continuing education approval body (American Association of Veterinary State Boards) on or before February 3, 2002.
This section shall be inoperative and repealed on December 31, 2003.
NOTE

Authority cited: Sections 4808 and 4846.5, Business and Professions Code. Reference: Section 4846.5, Business and Professions Code.
HISTORY

1. New section filed 2-11-2002; operative 2-11-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 7). 
§2085.5. Approved Providers.
Note     •     History

(a) A continuing education provider shall apply to the Board or the Board recognized national continuing education approval body for approval as a provider. 
(b) A continuing education provider shall be issued a continuing education provider number and may represent itself as a California approved provider of continuing education courses for veterinarians, upon satisfactory completion of the provider requirements of the Board. Providers applying for approval must meet the following requirements: 
(1)(A) Submit an application to the Board (Form # VMB/CE/2 dated 11/l/01) with payment of the appropriate fees; or 
(B) Submit an application (AAVSB National Registry of Approved CE (RACE) Provider Application, in effect as of 8/1/01), to the Board recognized national continuing education approval body, with payment of the appropriate fees;
(2) Provide to each course participant a mechanism for evaluating the individual courses; 
(3) Submit written documentation as to the procedures and protocols it will use to comply with the provisions of the Board's continuing education regulations found in Article 9, Division 20, Title 16, CCR. 
(c) A continuing education provider approval number issued under this section shall expire on the last day of the twenty-fourth month after the approval issue date. To renew an unexpired continuing education provider approval number, the provider shall, on or before the expiration date of the approval number, apply for renewal to the accreditation agency and pay the two-year renewal fee. A continuing education provider approval number that is not renewed by the expiration date may not be renewed, restored, reinstated, or reissued thereafter, but the provider may apply for a new approval. 
(d) Approved provider status is non-transferable. Approved providers shall inform the approving agency in writing no later than 30 days after any changes in their courses, organizational structure and/or person(s) responsible for continuing education program, including name and address changes. 
NOTE

Authority cited: Sections 4808 and 4846, Business and Professions Code. Reference: Section 4846.5, Business and Professions Code. 
HISTORY

1. New section filed 2-4-2002; operative 2-4-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 6). 
§2085.6. Courses Relevant to Veterinary Medicine.
Note     •     History

All qualifying continuing education courses shall be relevant to veterinary medicine. A course shall be deemed to be relevant to veterinary medicine if it meets the following standards:  
(a) The content of the course shall reflect the educational needs of the veterinarian, build upon the standards for practice and courses as found in the curricula of Board approved schools of veterinary medicine, contain information that is relevant to the practice of veterinary medicine, have written education goals, and shall: 
(1) Be related to the scientific knowledge and/or technical skills required for the practice of veterinary medicine; or 
(2) Be related to direct and/or indirect patient/client care. 
(b) Continuing education courses whose content is primarily intended to promote the use of a commercial product or a commercial service shall not be deemed to be relevant to veterinary medicine. 
NOTE

Authority cited: Sections 4808 and 4846.5, Business and Professions Code. Reference: Section 4846.5, Business and Professions Code. 
HISTORY

1. New section filed 2-4-2002; operative 2-4-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 6). 
§2085.7. Course Instructor Qualifications.
Note     •     History

An approved provider shall ensure that an instructor teaching a course has at least two of the following minimum qualifications: 
(a) A license, registration, or certificate in an area related to the subject matter of the course. The license, registration or certificate shall be current, valid, and free from restrictions due to disciplinary action by this Board or any other health care regulatory agency;
(b) A master's or higher degree from an educational institution in an area related to the subject matter of the course; 
(c) Training, certification, or experience in teaching the subject matter of the course; or
(d) At least two years' experience in an area related to the subject matter of the course. 
NOTE

Authority cited: Sections 4808 and 4846.5, Business and Professions Code. Reference: Section 4846.5, Business and Professions Code. 
HISTORY

1. New section filed 2-4-2002; operative 2-4-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 6). 
§2085.8. Records of Course Completion.
Note     •     History

(a) Upon completion of a qualifying continuing education course, the provider shall issue a record of course completion to a licensee (e.g., verification of attendance, certificates, gradeslips, transcripts) containing the following information:  
(1) Name of licensee; 
(2) Course title; 
(3) Provider name and address; 
(4) Provider number issued by the approval entity, if applicable; 
(5) Date of course; 
(6) Number of continuing education hours granted for the course; and 
(7) Signature of course instructor, or provider, or provider designee. 
(b)(1) For providers that hold continuing education events, with multiple and concurrent courses, the record of course completion must contain the information specified in subsections (a)(1), (a)(3), (a)(4), (a)(5), and (a)(7). 
(2) The record of course completion shall also specify the maximum number of hours that an individual attendee can earn, accompanied by a log of the actual courses attended by the licensee. The log of courses attended shall be completed by either the provider or the licensee. 
NOTE

Authority cited: Sections 4808 and 4846.5, Business and Professions Code. Reference: Section 4846.5, Business and Professions Code. 
HISTORY

1. New section filed 2-4-2002; operative 2-4-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 6). 
§2085.9. Licensee and Provider Course Records.
Note     •     History

(a) A licensee shall maintain records of course completion for a qualifying continuing education course for a period of four (4) years from the date the course was completed and shall provide these records to the Board upon audit or request. 
(b) A provider shall maintain records related to continuing education courses administered by it for a period of four (4) years from the date the course was completed. Records shall include: 
(1) Syllabi or course outlines for all courses; 
(2) The time and location of all courses; 
(3) Course instructors' vitaes or resumes;
(4) Registration rosters with the names and addresses of licensees who attend the courses; 
(5) A sample of the record of course completion form provided to participants for verifying attendance;
(6) A sample of the evaluation form completed by participants. 
(c) All providers of qualifying continuing education courses shall designate a person who is in overall charge of the continuing education programs. 
NOTE

Authority cited: Sections 4808 and 4846.5, Business and Professions Code. Reference: Section 4846.5, Business and Professions Code. 
HISTORY

1. New section filed 2-4-2002; operative 2-4-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 6). 
§2085.10. Statutorily Recognized Providers.
Note     •     History

(a) Statutorily recognized providers are deemed to be recognized by the Board, where the courses meet the requirements of Article 9, Division 20, Title 16, CCR. 
NOTE

Authority cited: Sections 4808 and 4846.5, Business and Professions Code. Reference: Section 4846.5, Business and Professions Code. 
HISTORY

1. New section filed 2-4-2002; operative 2-4-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 6). 
§2085.11. Board Recognized National Continuing Education Approval Body.
Note     •     History

(a) The Board recognized national continuing education approval body shall perform the following: 
(1) Comply with the provisions of Chapter 11 of Division 2 of the Business and Professions Code and Title 16, Division 20 of the California Code of Regulations. 
(2) Maintain a list of the names and addresses of the persons who are in overall charge of the provider's continuing education courses and records. 
(3) Notify the Board, quarterly, of the name and address of each provider approved by it and each course of such provider. Provide without charge to any licensee who makes a request, a current list of providers and courses approved by it. 
(4) Respond to complaints from the Board or any licensee concerning activities of any of its approved providers or their course(s). 
(5) Take such action as is necessary to assure that the continuing education course material offered by its providers meets the continuing education requirements set forth in this article. 
(6) Establish a procedure for reconsideration of its decision that a provider or a provider's course does not meet the criteria set forth in this article.  
(7) Submit to the Board for its approval the fees to be charged for the approving continuing education providers and continuing education courses in connection with this article. Such fees shall not exceed costs for complying with the provisions of this article.  
(b) The Board recognized national continuing education approval body shall be the American Association of Veterinary State Boards (“AAVSB”). 
NOTE

Authority cited: Section 4808 and 4846.5, Business and Professions Code. Reference: Section 4846.5, Business and Professions Code. 
HISTORY

1. New section filed 2-4-2002; operative 2-4-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 6). 
§2085.12. Providers Application to Approval Entity; Processing Times.
Note     •     History

(a) A continuing education provider who is not a statutorily recognized provider may apply to either the Board recognized national continuing education approval body or the Board itself for approval as a provider. 
(b)(1) Where a provider has applied to the Board for approval, the provider shall submit its application on an application provided by the Board (see form # VMB/CE/2 dated 11/1/01) and accompany it by the fee specified in section 2070 of these regulations. 
(2) Where a provider has applied to the Board recognized national continuing education approval body, the provider shall submit its application on an application provided by the national approval body and accompanied by the fee set by the national approval body. The application shall include information necessary to evaluate the providers compliance with these regulations. 
(c)(1) An approval entity shall issue a continuing education provider number to a continuing education provider who has been approved.
(2) A continuing education provider number shall be valid for two years, unless withdrawn, and authorize the provider to represent itself as a California approved provider. To renew a continuing education provider approval number, the provider shall, on or before the expiration date of the approval number, apply for renewal to the approval entity and pay the two-year renewal fee. 
(d) Approved provider status is non-transferable. An approved provider shall inform the approval entity issuing its approval in writing within 30 days of any changes to its address, organizational structure, or change of the person who is in overall charge of the provider's continuing education organization. 
(1) The maximum review times for review of a continuing education provider application, from the time of receipt of an application until the approval entity informs the applicant, in writing, that the application is complete and accepted for filing or that the application is deficient and what specific information is required thereon is 25 days. 
(2) The maximum processing times for the provider approval organization to make a decision on the continuing education provider application from the time of receipt of a complete application is 35 days. 
NOTE

Authority cited: Sections 4808 and 4846.5, Business and Professions Code; and Section 15376, Government Code. Reference: Section 4846.5, Business and Professions Code; and Section 15376, Government Code. 
HISTORY

1. New section filed 2-4-2002; operative 2-4-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 6). 
§2085.13. Withdrawal of Approval.
Note     •     History

(a) The Board may withdraw its recognition of a statutorily recognized provider or approval of an approved provider or the approval for good cause after giving the party in question (“respondent”) written notice setting forth its reasons for withdrawal and after affording the respondent a reasonable opportunity to be heard by the Board or its designee of the specific charges for withdrawal of the Board's recognition or approval. Good cause includes, but is not limited to, the following:
(1) Failure to comply substantially with any provisions of chapter 11 of Division 2 of the Business and Professions Code or Title 16, Division 20 of the California Code of Regulations; or 
(2) Any material misrepresentation of fact by the respondent in any information required to be submitted to the Board or the Board recognized national continuing education provider approval body. 
(b) A proceeding to withdraw Board recognition or approval from a respondent shall be initiated by serving a written statement of the charges upon the respondent. The statement of charges sets forth the acts and omissions with which the respondent is charged and sets forth a date on which such a withdrawal will take effect if not contested. If the respondent desires to contest the withdrawal of its approval, it shall, within 30 days after receipt of the written statement of charges, notify the Board's executive officer in writing of its request for a hearing on the charges. The Board or its designee shall hold a hearing within 60 days after receipt of the request for hearing. If the Board elects to allow a designee to conduct the hearing, the designee shall prepare a written proposed decision in the matter and submit it to the Board for its approval or modifications. Following a hearing, the Board shall issue a decision within 100 days following the close of the record in the hearing or receipt of a proposed decision if the matter is heard by the Board's designee. 
(c) If the respondent fails to notify the Board's executive officer in writing and in a timely manner that it desires to contest the written statement of charges, the decision to withdraw approval shall become effective. 
NOTE

Authority cited: Sections 4808 and 4846.5, Business and Professional Code. Reference: Section 4846.5, Business and Professions Code. 
HISTORY

1. New section filed 2-4-2002; operative 2-4-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 6). 
Article 10. Continuing Education: Veterinary Technician
§2086. Definitions: Continuing Education.
Note     •     History

As used in this article:
(a) “Registrant” means a California registered veterinary technician.
(b) “Continuing education” means education needed to maintain competence and skills consistent with current standards and practices beyond the initial academic studies required for initial registration.
(c) “Approved provider” means an organization, institution, association, university or other person or entity that is approved by regulation by the board pursuant to section 2086.1.
(d) “Qualifying continuing education” or “qualifying course” means an orderly learning experience, which meets the criteria specified in this article and is administered by a recognized or an approved provider. It includes a variety of forms of learning experiences, including, but not limited to, lectures, conferences, workshops, video conferencing, distance learning technologies, and self-study courses.
(e) “Self-study course” means a form of orderly learning that does not offer participatory interaction between the licensee and the instructor during the instructional period. Self-study includes, but is not limited to, correspondence courses, independent study and home study programs, reading journals, video or audio presentations related to veterinary technology or related fields. 
(f) “AAVSB” means the American Association of Veterinary State Boards.
NOTE

Authority cited: Sections 4808 and 4838, Business and Professions Code. Reference: Section 4838, Business and Professions Code.
HISTORY

1. New article 10 (sections 2086-2086.9) and section filed 4-14-2011; operative 5-14-2011 (Register 2011, No. 15).
§2086.1. Approved Providers and Compliance.
Note     •     History

(a) On or after July 1, 2013, except as provided in this section, the board shall issue renewal registrations only to those applicants who have completed a minimum of 20 hours of continuing education in the preceding two years. 
(b)(1) Notwithstanding any other provision of law, continuing education hours shall be earned by attending courses complying with section 2086.6 and sponsored or co-sponsored by any of the statutorily approved entities pursuant to Business and Professions Code, section 4846.5. 
(2) In addition to those entities listed in Business and Professions Code section 4846.5, continuing education hours may be earned by attending courses complying with section 2086.6 and sponsored or cosponsored by the following:
(A) Registered Veterinary Technician Associations recognized by the California Secretary of State.
(B) California Approved Registered Veterinary Technician Programs
(C) Registered Veterinary Technician Associations recognized by the Secretary of State of other U.S. states 
(D) American Veterinary Medical Association (AVMA) approved Registered Veterinary Technician (RVT) schools
(E) North American Veterinary Technician Association (NAVTA) recognized RVT specialty organizations
(3) Continuing education credits shall be granted to those registered veterinary technicians taking self-study courses as defined in section 2086(e). The taking of these courses shall be limited to no more than four hours biennially. 
(4) The board may approve other continuing veterinary medical education providers not specified in paragraph (b)(1) and (b)(2). Applicants seeking continuing education provider approval from the board shall apply to the American Association of Veterinary State Boards' (AAVSB) Registry of Approved Continuing Education (RACE). 
(5) Continuing education hours shall be earned in the two years preceding registration expiration. Hours shall be earned by attending courses sponsored or cosponsored by those entities listed in paragraphs (1-4), and on or after July 1, 2011, shall be credited toward a registered veterinary technician's continuing education requirement under this section. 
(c) Every person renewing his or her registration pursuant to Business and Professions Code section 4846.4 or any person applying for relicensure or for reinstatement of his or her registration to active status, shall submit proof of compliance with section 2086.1 to the board certifying that he or she is in compliance with section 2086.1. Any false statement submitted pursuant to section 2086.1 shall be a violation subject to Business and Professions Code section 4831. 
(d) This section shall not apply to a registered veterinary technician's first registration renewal. This section shall apply only to second and subsequent registration renewals granted on or after July 1, 2013. 
(e) The board shall have the right to audit the records of all applicants to verify the completion of the continuing education requirement. Applicants shall maintain records of completion of required continuing education coursework for a period of four years from the date the course was completed and shall make these records available to the board for auditing purposes upon request. If the board, during this audit, questions whether any course reported by the registered veterinary technician satisfies the continuing education requirement, the registered veterinary technician shall provide information to the board concerning the content of the course; the name of its sponsor and co-sponsor, if any; and specify the specific curricula that was of benefit to the registered veterinary technician. 
(g) Knowing misrepresentation of compliance with the requirements of this article by a registered veterinary technician constitutes unprofessional conduct and grounds for disciplinary action or for the issuance of a citation and the imposition of a civil penalty.
NOTE

Authority cited: Sections 4808 and 4838, Business and Professions Code. Reference: Section 4838, Business and Professions Code.
HISTORY

1. New section filed 4-14-2011; operative 5-14-2011 (Register 2011, No. 15).
§2086.2. Registration Renewal Requirements.
Note     •     History

(a)(1) On or after July 1, 2013, a registrant applying for renewal, or who is reactivating an inactive license, shall certify in writing that during the preceding renewal period the licensee has completed at least twenty (20) hours of approved continuing education and furnish a full set of fingerprints as required by section 2010.05
(2) Notwithstanding subdivision (a)(1) of this section, a registered veterinary technician shall not be required to comply with the continuing education requirements when applying for his or her first license renewal. Thereafter, such registered veterinary technicians shall be required to meet the continuing education requirement specified herein as a condition for renewal of his or her registration.
NOTE

Authority cited: Sections 4808 and 4838, Business and Professions Code. Reference: Section 4838, Business and Professions Code.
HISTORY

1. New section filed 4-14-2011; operative 5-14-2011 (Register 2011, No. 15).
§2086.3. Continuing Education Waivers.
Note     •     History

The board, in its discretion, may exempt from the continuing education requirement, any registered veterinary technician who for reasons of health, military service, or undue hardship, cannot meet those requirements. 
(a) A registrant may request a waiver from complying with the continuing education requirements. A request for a waiver from the continuing education requirements shall be submitted to the board on Form No. VMB/CE/1RVT -- 04/2011. The application shall include a letter explaining the reason for the waiver request in addition to documents that verify the request for waiver. Supporting documents shall include military orders and letters from treating physicians. The application shall be signed by the licensee under penalty of perjury. The board will notify the licensee, whether the waiver was granted, within seventy-five (75) working days after receipt of the request for waiver and supporting documentation. 
(b) If the request for waiver is denied, the registrant shall complete the continuing education requirements as set forth in this article. If the request for waiver is granted, it shall be valid only for the current renewal period. The board may deny the request if granting the requested waiver would pose a risk to the health or safety of animal patients, consumers, or the public.
(c) The board shall grant the waiver if the registrant can provide documents, satisfactory to the board, that:
(1) For at least one year during the registrant's current license period the registrant was or will be absent from California due to military service; or
(2) For at least one year during the registrant's current license period the registrant is prevented from practicing as an RVT and from completing continuing education courses for the following reasons of health or undue hardship, which includes:
(A) A significant physical and/or mental disability of the registered veterinary technician; or
(B) A significant physical and/or mental disability of an individual where the registered veterinary technician has total responsibility for the care of that individual.
NOTE

Authority cited: Sections 4808 and 4838, Business and Professions Code. Reference: Section 4838, Business and Professions Code.
HISTORY

1. New section filed 4-14-2011; operative 5-14-2011 (Register 2011, No. 15).
§2086.4. Continuing Education Credit.
Note     •     History

(a) Registrants will earn one hour of continuing education credit for each hour of a qualifying course. One credit hour shall consist of not less than 50 minutes of actual instruction. Qualifying course shall be a minimum of one credit hour. Qualifying courses or presentations that are between 25 and 49 minutes in excess of one hour shall be granted credit in half-hour increments.
(b) One academic quarter unit is equal to 10 hours of continuing education credit and one academic semester unit is equal to 15 hours of continuing education credit.
(c) A registrant who teaches a qualifying continuing education course may claim credit for the course only one time during a renewal period.
(d) A registrant who participates as an expert examiner in an examination preparation workshop for the California state registration examination may claim, on an hour for hour basis, up to a maximum of sixteen (16) hours per renewal period, continuing education credit for such participation. 
(e) A registrant shall not be allowed to use, for purposes of renewal, more than 15 hours of continuing education credit for courses in business practice management or stress seminars. 
(f) A registrant who takes a course as a condition of probation resulting from disciplinary action by the board may not apply the course as credit towards the continuing education requirement.
NOTE

Authority cited: Sections 4808 and 4838, Business and Professions Code. Reference: Sections 4838, Business and Professions Code.
HISTORY

1. New section filed 4-14-2011; operative 5-14-2011 (Register 2011, No. 15).
§2086.5. Courses Relevant to Veterinary Medicine and/or Veterinary Technology.
Note     •     History

All qualifying continuing education courses shall be relevant to veterinary medicine. A course shall be deemed to be relevant to veterinary medicine if it meets the following standard:
(a) The content of the course shall reflect the educational needs of registered veterinary technicians, contain information that is relevant to the practice of veterinary technology, have written education goals, and shall: 
(1) Be related to the scientific knowledge and/or technical skills required for veterinary medicine and/or veterinary technology; or
(2) Be related to direct and/or indirect patient/client care. 
(b) Continuing education courses whose content is primarily intended to promote the use of a commercial product or a commercial service are not deemed to be relevant to veterinary medicine. 
NOTE

Authority cited: Sections 4808 and 4838, Business and Professions Code. Reference: Section 4838, Business and Professions Code.
HISTORY

1. New section filed 4-14-2011; operative 5-14-2011 (Register 2011, No. 15).
§2086.6. Course Instructor Qualifications.
Note     •     History

An approved provider shall ensure that an instructor teaching a course has at least two of the following minimum qualifications:
(a) A license, registration, or certificate in an area related to the subject matter of the course. The license, registration, or certificate shall be current, valid, and free from restrictions due to disciplinary action by this board or any other health care regulatory agency; 
(b) A master's or higher degree from an educational institution in an area related to the subject matter of the course;
(c) Training, certification, or experience in teaching the subject matter of the course; or
(d) At least two years' experience in an area related to the subject matter of the course.
NOTE

Authority cited: Sections 4808 and 4838, Business and Professions Code. Reference: Section 4838, Business and Professions Code.
HISTORY

1. New section filed 4-14-2011; operative 5-14-2011 (Register 2011, No. 15).
§2086.7. Records of Course Completion.
Note     •     History

(a) Upon completion of a qualifying continuing education course, the provider shall issue a record of course completion to a registrant containing the following information:
(1) Name of registrant;
(2) Course title;
(3) Provider name and address;
(4) Provider number issued by the approval entity, if applicable;
(5) Date of course;
(6) Number of continuing education hours granted for the course; and
(7) Signature of course instructor, or provider, or provider designee. 
(b)(1) For providers that hold continuing education events, with multiple and concurrent courses, the record of course completion must contain the information specified in subsections (a)(1), (a)(3), (a)(4), (a)(5), and (a)(7). 
(2) The record of course completion shall also specify the maximum number of hours that an individual attendee can earn, accompanied by a log of the actual courses attended by the licensee. The log of courses attended shall be completed by either the provider or the licensee. 
NOTE

Authority cited: Sections 4808 and 4846.5, Business and Professions Code. Reference: Section 4846.5, Business and Professions Code.
HISTORY

1. New section filed 4-14-2011; operative 5-14-2011 (Register 2011, No. 15).
§2086.8. Licensee and Provider Course Records.
Note     •     History

(a) A registrant shall maintain records of course completion for a qualifying continuing education course for a period of four (4) years from the date the course was completed and shall provide these records to the board upon audit or request. 
(b) A provider shall maintain records related to qualifying continuing education courses administered by it for a period of four (4) years from the date the course was completed. Records shall include:
(1) Syllabi or course outlines for all courses;
(2) The time and location of all courses;
(3) Course instructors' vitaes or resumes;
(4) Registration rosters with the names and addresses of registrants who attend the courses;
(5) A sample of the record of course completion form provided to participants for verifying attendance;
(6) A sample of the evaluation form completed by participants.
(b) All providers of qualifying continuing education courses shall designate a person who is in overall charge of the continuing education programs. 
NOTE

Authority cited: Sections 4808 and 4838, Business and Professions Code. Reference: Section 4838, Business and Professions Code.
HISTORY

1. New section filed 4-14-2011; operative 5-14-2011 (Register 2011, No. 15).
§2086.9. Withdrawal of Approval.
Note     •     History

(a) The board may withdraw its recognition of a statutorily recognized provider or approval of an approved provider or the approval entity for good cause after giving the party in question written notice setting forth its reasons for withdrawal and after affording the respondent a reasonable opportunity to be heard by the board or its designee of the specific charges for withdrawal of the board's recognition or approval. Good cause includes, but is not limited to, the following:
(1) Failure to comply substantially with any provisions of Chapter 11 of Division 2 of the Business and Professions Code commencing with section 4800 or Title 16, Division 20 of the California Code of Regulations commencing with section 2000; or
(2) Any material misrepresentation of fact by the respondent in any information required to be submitted to the board or the board-recognized national continuing education provider approval body.
(b) Withdrawal of board recognition or approval from a provider shall be in writing and state the basis of the withdrawn approval. The notice shall state the date on which the withdrawal will take effect if not contested. If the respondent desires to contest the withdrawal of its approval, it shall, within 15 days after receipt of the written notice, notify the board's executive officer in writing of its intent to contest. The board or its designee shall afford the provider an opportunity to be heard, in writing or in person at the election of the board, within a reasonable time after notice of the intent to contest the withdrawn approval. The board shall notify the provider of its decision in writing within a reasonable time after the provider has had an opportunity to be heard.
(c) If the respondent fails to notify the board's executive officer in writing and in a timely manner that it desires to contest the withdrawn approval, the decision to withdraw approval shall become effective. 
NOTE

Authority cited: Sections 4808 and 4838, Business and Professional Code. Reference: Section 4838, Business and Professions Code.
HISTORY

1. New section filed 4-14-2011; operative 5-14-2011 (Register 2011, No. 15).
Division 21. Yacht and Ship Brokers Commission

(Originally Printed 12-5-46)
NOTE

Authority cited: Section 76.4(c), Harbors and Navigation Code. Reference: Sections 76-79.1, Harbors and Navigation Code.
HISTORY

1. Repealer of Chapter 21 (Sections 2100, 2101, 2126, 2127, 2127.5, 2128-2134, 2137, 2152-2154, 2173) filed 9-6-73 as procedural and organizational; effective upon filing (Register 73, No. 36).
Division 22. State Board of Guide Dogs for the Blind

(Originally Printed 2-14-48)
Article 1. General Provisions
§2250. Location of Office.
Note     •     History

The principal office of the California State Board of Guide Dogs for the Blind is located at 1625 N. Market Blvd., Suite S-202, Sacramento, California, 95834.
NOTE

Authority cited: Section 7208(a), Business and Professions Code. Reference: Section 7208, Business and Professions Code.
HISTORY

1. New Sections 2250 to 2284, inclusive, filed 2-9-48 as an emergency (Register 11, No. 6).
2. Amendment filed 8-10-79; effective thirtieth day thereafter (Register 79, No. 32).
3. Amendment filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
4. Amendment filed 8-27-2008; operative 9-26-2008 (Register 2008, No. 35).
§2251. Gender.
Note     •     History

For purposes of this chapter, the masculine gender includes the feminine.
NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Section 7208, Business and Professions Code.
HISTORY

1. Amendment filed 11-12-82; effective thirtieth day thereafter (Register 82, No. 46).
§2252. Definitions.
Note     •     History

For purposes of this chapter, the term “Board” means the California State Board of Guide Dogs for the Blind; and the term “Code” means the Business and Professions Code.
NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Section 7208, Business and Professions Code.
HISTORY

1. Amendment filed 11-12-82; effective thirtieth day thereafter (Register 82, No. 46).
§2253. Delegation of Certain Functions.
Note     •     History

The power and discretion conferred by law upon the Board to receive and file accusations; issue notices of hearings, statements to respondent and statements of issue; receive and file notices of defense; determine the time and place of hearings under Section 11508 of the Government Code; issue subpoenas and subpoenas duces tecum; set and calendar cases for hearing and perform other functions necessary to the business-like dispatch of the business of the Board in connection with proceedings under the provisions of Sections 11500 through 11528 of the Government Code, prior to the hearing of such proceedings; and the certification and delivery or mailing of copies of decisions under Section 11518 of the Government Code are hereby delegated to and conferred upon the secretary.
NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Sections 7204 and 7208, Business and Professions Code; and Sections 11500-11528, Government Code.
HISTORY

1. New NOTE filed 5-22-85; effective thirtieth day thereafter (Register 85, No. 21).
§2254. Filing of Addresses.
Note     •     History

Each person holding a license or other authority issued by the Board shall file his mailing address with the Board, at its office in Sacramento, and shall notify the Board at its said principal office of any changes of mailing address within thirty (30) days of any such change.
NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Section 7208, Business and Professions Code.
HISTORY

1. Amendment filed 8-10-79; effective thirtieth day thereafter (Register 79, No. 32).
2. Amendment filed 11-12-82; effective thirtieth day thereafter (Register 82, No. 46).
Article 2. Licenses
§2259. Applications.
Note     •     History

(a) An application for a license shall be submitted on an application form prescribed and provided by the Board, accompanied by such evidence, statement, or documents as therein required, and filed with the Board at its office in Sacramento.
(b) Whenever an applicant for a license refuses or fails to provide the board with the information requested thereon by the Board within six (6) months from the date of notice that such application is incomplete, the application shall be deemed abandoned. An application so abandoned may not be reinstated; however, the applicant may file a new application accompanied by the required fee and documents.
NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Section 7208, Business and Professions Code.
HISTORY

1. Amendment filed 12-12-80; effective thirtieth day thereafter (Register 80, No. 50).
2. Amendment of Article 2 heading and subsection (b) filed 11-12-82; effective thirtieth day thereafter (Register 82, No. 46).
§2260. Completion of Requirements for License as Instructor.
Note     •     History

(a) If an applicant for an instructor's license verifies training 22 guide dog teams but does not have the required three years actual experience as an instructor, any experience as an apprentice may be credited towards the required three years actual experience as an instructor. The experience as an apprentice must be under the supervision of a licensed instructor or instructor that meets standards equivalent to an instructor licensed by the Board, as determined by the Board. Such experience as an apprentice shall include training dogs in all aspects required by sections 2266 and 2282.
(b) Any experience as an instructor or apprentice that is being used to fulfill the required three years actual experience as an instructor, must be full-time experience. “Full time” means an average of 32 hours per week.
(c) The applicant must submit verification to the Board that his experience meets the requirements of this section. The verification must come from an individual in a supervisory position from the guide dog school where the experience was obtained. The verification must state that the applicant has met the requirements as specified in this section.
NOTE

Authority cited: Sections 7208 and 7209, Business and Professions Code. Reference: Sections 7208 and 7209, Business and Professions Code.
HISTORY

1. Amendment filed 8-10-79; effective thirtieth day thereafter (Register 79, No. 32).
2. Repealer of Section 2260 and renumbering of Section 2265.2 to Section 2260 filed 12-12-80; effective thirtieth day thereafter (Register 80, No. 50).
3. Order of Repeal of subsection (a) filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; designated effective 11-30-85 (Register 85, No. 26).
4. Editorial correction (Register 88, No. 12).
5. New subsection (a) filed 5-19-88; operative 6-18-88 (Register 88, No. 22).
6. Amendment of subsections (a) and (b), new subsection (c) and amendment of Note filed 3-17-2011; operative 4-16-2011 (Register 2011, No. 11).
§2261. Examinations.
Note     •     History

(a) Examinations for a license to operate a school or to instruct blind persons in the use of guide dogs and to train guide dogs shall be written, oral and practical.
(b) The board may appoint a committee of its own members, or other persons, for the purpose of conducting the whole or part of any examination. The committee shall make recommendations to the board as to the qualifications of the examinee. Any person dissatisfied with the board's decision may file a request for reconsideration with the board within 30 days after such decision was mailed.
NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Section 7208, Business and Professions Code.
HISTORY

1. Amendment filed 10-7-77; effective thirtieth day thereafter (Register 77, No. 41).
2. Renumbering of Section 2261 to Section 2263 and new Section 2261 filed 12-12-80; effective thirtieth day thereafter (Register 80, No. 50).
3. Order of Repeal of Subsection (a) filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; designated effective 11-30-85 (Register 85, No. 26).
4. Editorial correction (Register 88, No. 12).
5. New subsection (a) filed 5-19-88; operative 6-18-88 (Register 88, No. 22).
6. Amendment of subsection (a) filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
§2262. License Period.
Note     •     History

(a) A school license expires on April 30th of each calendar year, and unless renewed by the date of expiration shall be automatically forfeited and may be reinstated or renewed only after payment of the renewal fee.
(b) An instructor's license shall remain in effect for one year after the date of issuance, and unless renewed at the termination of the year, shall be automatically forfeited and may be reinstated or renewed only after compliance with the requirements of the Board.
NOTE

Authority cited: Sections 7200.5 and 7208, Business and Professions Code. Reference: Sections 7200.7, 7211, 7211.1 and 7217, Business and Professions Code.
HISTORY

1. Repealer of Section 2262 and renumbering of Section 2263 to Section 2262 filed 12-12-80; effective thirtieth day thereafter (Register 80, No. 50). For history of former Section 2262, see Register 77, No. 41).
2. Amendment of section and Note filed 2-22-2010 as an emergency; operative 2-22-2010 (Register 2010, No. 9). A Certificate of Compliance must be transmitted to OAL by 8-23-2010 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-22-2010 order transmitted to OAL 6-24-2010 and filed 7-21-2010; operative 8-20-2010 (Register 2010, No. 30).
4. Editorial correction of History 3 (Register 2010, No. 31).
§2262.1. Annual School Renewal Payment.
Note     •     History

(a) On or before April 30, 2010, the rate for calculating the annual school renewal fee pursuant to Section 7200.7 is 0.004 of all school expenses incurred in the most recently concluded school calendar year, as determined by the immediately preceding fiscal year audit required annually by section 7217 of the Code.
(b) After April 30, 2010, the rate for calculating the annual school renewal fee pursuant to Section 7200.7 is 0.00425 of all school expenses incurred in the most recently concluded school calendar year, as determined by the immediately preceding fiscal year audit required annually by section 7217 of the Code.
(c) The renewal fee shall be paid no later than April 30th of each calendar year.
NOTE

Authority cited: Sections 7200.7 and 7208, Business and Professions Code. Reference: Sections 7200.7 and 7217, Business and Professions Code.
HISTORY

1. New section filed 2-22-2010 as an emergency; operative 2-22-2010 (Register 2010, No. 9). A Certificate of Compliance must be transmitted to OAL by 8-23-2010 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-22-2010 order transmitted to OAL 6-24-2010 and filed 7-21-2010; operative 8-20-2010 (Register 2010, No. 30).
3. Editorial correction of History 2 (Register 2010, No. 31).
§2263. License Not Transferable.
Note     •     History

A license shall not be transferable.
NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Section 7208, Business and Professions Code.
HISTORY

1. Renumbering of Section 2263 to Section 2262 and renumbering of Section 2261 to Section 2263 filed 12-12-80; effective thirtieth day thereafter (Register 80, No. 50). For history of former Section 2263, see Register 77, No. 41.
§2264. Reinstatement of License.
Note     •     History

(a) A school license which s suspended pursuant to Section 7214 of the Code, for failure to have a licensed instructor in charge of training and instruction, may be reinstated without fee upon filing of a reinstatement application.
(b) A license may be renewed while under suspension upon filing a renewal application accompanied by the required renewal fee.
NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Sections 7208, 7211 and 7214, Business and Professions Code.
HISTORY

1. Renumbering of Section 2265.1 to Section 2264 filed 12-12-80; effective thirtieth day thereafter (Register 80, No. 50).
2. Amendment filed 11-12-82; effective thirtieth day thereafter (Register 82, No. 46).
§2265. Temporary Instructor's Permit.
Note     •     History

Upon a showing satisfactory to the Board that an emergency exists, the Board may issue a temporary instructor's permit to a qualified apprentice instructor at a school which, for any reason whatsoever, ceases to have a licensed instructor in charge of its training and instruction programs provided, however:
(a) The school will immediately notify the board of the existence of the emergency, show necessity for relief, and request that a qualified apprentice be granted a temporary trainer's permit.
(b) The apprentice named will file his application within such time that the board may arrange for his examination within ten (10) days of the incidence of the emergency.
(c) To qualify for a temporary permit the apprentice shall have had at least eighteen (18) months' experience as an instructor and have handled eleven (11) person/dog units, or its equivalent as an apprentice under a qualified instructor as determined by the Board. 
(d) Upon satisfactory completion of the examination, which will be the same as that for a license as instructor the Board may issue a temporary instructor's permit for such period as it may determine to be essential and advisable but in no event to exceed sixty (60) days.
(e) An emergency, for the purposes of this section, is not deemed to exist where merely preliminary training of dogs is involved.
NOTE

Authority cited: Sections 7208 and 7214, Business and Professions Code. Reference: Section 7214, Business and Professions Code.
HISTORY

1. Renumbering of Section 2267 to Section 2265 filed 12-12-80; effective thirtieth day thereafter (Register 80, No. 50).
§2266. Apprentice Standards; Minimum Instruction.
Note     •     History

(a) A school shall not employ or retain in its employ an apprentice who is not suited temperamentally and otherwise to work with blind persons in the use of guide dogs.
(b) Each guide dog school licensed by the board shall require every apprentice to undergo a systematic organized program of instruction which has been approved by the board. Such organized program of instruction shall be under a licensed instructor and shall include the following subjects:
(1) Care and selection of dogs;
(2) Obedience training of dogs;
(3) Training of dogs preparatory to becoming guides for blind people;
(4) Required reading on blindness and its effects;
(5) Course of instruction in the California Guide Dogs for the Blind Act and the regulations of the board;
(6) Basic principles of travel and mobility training for blind people.
(c) No apprentice shall be permitted to instruct any guide dog team except under the supervision of a licensed instructor.
NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Section 7208, Business and Professions Code.
HISTORY

1. Repealer and new section filed 12-12-80; effective thirtieth day thereafter (Register 80, No. 50).
2. Amendment of subsection (a) repealer of subsections (a)(1)-(2) and amendment of subsection (c) filed 3-17-2011; operative 4-16-2011 (Register 2011, No. 11).
§2267. Names of Apprentices.
Note     •     History

Each school shall provide the board with the name of each person employed or classified as an apprentice within thirty (30) days after such person is so employed or classified and shall certify the date of hire or classification as an apprentice and that the apprentice meets the requirements of Section 2266.
NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Sections 7208 and 7209, Business and Professions Code.
HISTORY

1. Renumbering of Section 2267 to Section 2265 and renumbering and amendment of Section 2281 to Section 2267 filed 12-12-80; effective thirtieth day thereafter (Register 80, No. 50). For history of former Section 2267, see Register 79, No. 32, 62, No. 11 and 21, No.1.
2. Amendment filed 11-12-82; effective thirtieth day thereafter (Register 82, No. 46).
§2268. License to Solicit Funds.
Note     •     History

(a) A license to solicit funds for the establishment of a guide dog school may be issued, upon payment of a fifty dollars ($50) fee, to a person whose plan of operation has been approved by the Board and whom the Board has determined to be of sufficient financial responsibility. For purposes of this Section “sufficient financial responsibility” means net worth in an amount not less than $25,000. At the discretion of the Board, an applicant may demonstrate a net worth by posting a bond in the amount of $25,000 or supply such other similar means of proof of sufficient financial responsibility as the board deems appropriate.
NOTE

Authority cited: Sections 7208 and 7210.6, Business and Professions Code. Reference: Section 7210.6, Business and Professions Code.
HISTORY

1. Repealer of Section 2268 and renumbering of Section 2269 to Section 2268 filed 12-12-80; effective thirtieth day thereafter (Register 80, No. 50). For history of former Section 2268, see Registers 77, No. 41 and 62, No. 11.
2. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; designated effective 11-30-85 (Register 85, No. 26).
3. Editorial correction (Register 88, No. 12).
4. New section filed 5-19-88; operative 6-18-88 (Register 88, No. 22).
5. Amendment of subsection (a) filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
§2268.1. License Period.
Note     •     History

(a) A license to solicit funds shall remain in effect for one year after the date of issuance and is not renewable or transferable. However, the Board may, in its discretion, extend a license for an additional one year period if the licensee applies to the Board and makes a showing of good cause therefor.
(b) A person who is licensed to solicit funds shall apply for a school license prior to the expiration of the license to solicit funds.
NOTE

Authority cited: Sections 7208 and 7210.6, Business and Professions Code. Reference: Section 7210.6, Business and Professions Code.
HISTORY

1. Repealer of Section 2268.1 and renumbering of Section 2269.1 to Section 2268.1 filed 12-12-80; effective thirtieth day thereafter (Register 80, No. 50). For history of former Section 2268.1, see Registers 79, No. 32 and 62, No. 11.
§2268.2. Donations; Records.
Note     •     History

(a) All funds raised by a licensee shall be held in trust under the control of the trust department of a bank or trust company located in California.
(b) The licensee shall advise the Board in writing of the name and street address of the bank or trust company where the funds are located.
(c) The licensee shall keep a record of the following information for each donation or contribution:
(1) the name and address of the donor;
(2) the amount of the contribution;
(3) the date the contribution was received.
Such records shall be furnished to the Board upon demand therefor. 
NOTE

Authority cited: Sections 7208 and 7210.6, Business and Professions Code. Reference: Section 7210.6, Business and Professions Code.
HISTORY

1. Renumbering of Section 2269.2 to Section 2268.2 filed 12-12-80; effective thirtieth day thereafter (Register 80, No. 50).
§2268.3. Expenditure of Funds.
Note     •     History

(a) Except as provided in subsection (b), no funds raised during the license period or extension thereof shall be expended for any purpose.
(b) A licensee may expend funds raised during the license period or extension thereof to pay the cost of fund raising and the cost of obtaining an option to buy or lease land for a school site; provided, however, that such costs shall not exceed twenty percent (20%) of the funds raised during the license period or extension thereof.
(c) In the event a licensee fails to raise at least $20,000 or fails to apply for a school license from the board, all funds raised shall be distributed as follows:
(1) The costs of fund raising and the option to buy or lease land shall be deducted from the total funds raised; provided, however, that the total amount deducted shall under no circumstances exceed twenty percent (20%) of the total funds raised.
(2) All funds remaining after the costs of fund raising and the option to buy or lease land have been deducted shall be repaid pro rata to each donor whose total donations exceed ten dollars ($10).
NOTE

Authority cited: Sections 7208 and 7210.6, Business and Professions Code. Reference: Section 7210.6, Business and Professions Code.
HISTORY

1. Renumbering of Section 2269.3 to Section 2268.3 filed 12-12-80; effective thirtieth day thereafter (Register 80, No. 50).
§2269. Charitable Solicitations.
Note     •     History

A licensee shall not make any representation or other type of charitable solicitation which misleads, deceives or has a tendency to mislead or deceive the public. Nor may a licensee obtain charitable contributions by fraud or misrepresentation.
NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Sections 480, 7208 and 7211.9, Business and Professions Code.
HISTORY

1. Renumbering of Section 2269 to Section 2268 and new Section 2269 filed 12-12-80; effective thirtieth day thereafter (Register 80, No. 50).
Article 3. Training Schools
§2271. Living Quarters; Attendants.
Note     •     History

(a) Living Quarters. Guide dog training schools shall provide adequate living quarters at the school where the guide dog and the person being taught to use the dog may live together, such living quarters to be clean and sanitary.
(b) Attendants for the Blind. Each school shall have available at all times a female and a male attendant to render such assistance as may be necessary to blind persons being trained in the use of a guide dog at the school.
NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Section 7208, Business and Professions Code.
HISTORY

1. Amendment filed 12-12-80; effective thirtieth day thereafter (Register 80, No. 50).
§2272. Compliance With Law. [Repealed]
History

HISTORY

1. Amendment filed 10-8-77; effective thirtieth day thereafter (Register 77, No. 41).
2. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; designated effective 11-30-85 (Register 85, No. 26).
3. Editorial correction (Register 88, No. 12).
§2273. Inspection.
Note     •     History

Schools for the training of guide dogs and their use and the instruction of blind persons in such use shall be open to inspection at all times by the Board, its representatives, or any person or agency authorized by it.
NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Section 7208, Business and Professions Code.
HISTORY

1. Renumbering of Section 2273 to Section 2274 and renumbering of Section 2276 to Section 2273 filed 12-12-80; effective thirtieth day thereafter (Register 80, No. 50). For history of former Section 2273, See Register 79, No. 32.)
§2274. Health Certificate. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Section 7208, Business and Professions Code.
HISTORY

1. Renumbering of Section 2274 to Section 2276 and renumbering of Section 2273 to Section 2274 filed 12-12-80; effective thirtieth day thereafter (Register 80, No. 50). For history of former Section 2274, see Registers 79, No. 32 and 53, No. 7.
2. Repealer filed 8-27-2008; operative 9-26-2008 (Register 2008, No. 35).
§2275. Sterilization of Dogs.
Note     •     History

The school shall give to each blind person who receives a guide dog a certificate of a veterinarian stating that the guide dog has been neutered. The school shall retain a copy of such document in its records.
NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Sections 7208 and 7215, Business and Professions Code.
HISTORY

1. Amendment filed 11-12-82; effective thirtieth day thereafter (Register 82, No. 46).
2. Amendment of section heading and section filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
§2276. Client Instruction.
Note     •     History

Each school or instructor providing a guide dog to a client shall comply with the following standards:
(a) Clients training with their first guide dogs must receive instruction consisting of a minimum of 15 hours theory and a minimum 30 hours practical in-harness instruction spread over a two to four week period.
(b) Clients training with successor dogs must receive instruction consisting of a minimum of 10 hours theory and 20 hours practical in-harness instruction.
(c) The instruction must be individualized to the client and provided until the team achieves safe and effective guide dog mobility, until the instructor determines the team cannot satisfactorily complete instruction, or until the client discontinues services.
(d) The instruction may be conducted in any appropriate venue, including, but not limited to, in-residence at the school, in-home, or a combination of both.
NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Sections 7208 and 7210.7, Business and Professions Code.
HISTORY

1. Renumbering of Section 2276 to Section 2273 and renumbering of Section 2274 to Section 2276 filed 12-12-80; effective thirtieth day thereafter (Register 80, No. 50). For history of former Section 2276, see Register 79, No. 32.
2. Amendment of section heading, section and Note filed 7-21-2010; operative 8-20-2010 (Register 2010, No. 30).
§2277. Physical Defects. [Repealed]
Note     •     History

NOTE

Authority cited: Business and Professions Code, Section 7208. Reference: Business and Professions Code, Section 7208.
HISTORY

1. Amendment filed 8-10-79; effective thirtieth day thereafter (Register 79, No. 32).
2. Repealer filed 8-27-2008; operative 9-26-2008 (Register 2008, No. 35).
§2278. Names and Addresses of Students.
Note     •     History

Schools shall provide the board with a list of all students enrolled, and also with the names and addresses of all students graduated.
NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Section 7208, Business and Professions Code.
HISTORY

1. New Sections 2278 and 2279 filed 3-11-48 as an emergency (Register 11, No. 8).
2. Amendment filed 6-8-62; effective thirtieth day thereafter (Register 62, No. 11).
3. New NOTE filed 5-22-85; effective thirtieth day thereafter (Register 85, No. 21).
§2279. Certificates.
Note     •     History

A school shall provide each graduate with a certificate of satisfactory completion of instruction.
NOTE

Authority cited: Business and Professions Code, Section 7208. Reference: Business and Professions Code, Section 7208.
HISTORY

1. Amendment filed 6-8-62; effective thirtieth day thereafter (Register 62, No. 11).
2. Amendment filed 8-10-79; effective thirtieth day thereafter (Register 79, No. 32).
§2280. Attendance of and Changes in Instructional Personnel.
Note     •     History

(a) Each school is required to advise the Board of any change in and significant absence of instructional personnel, both licensed and apprentice.
(b) The Board interprets the provision of Section 7214 of the Code to mean that a licensed instructor must be in attendance at the school or at the place where the instruction is being conducted if away from the school.
NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Sections 7208 and 7214, Business and Professions Code.
HISTORY

1. New section filed 10-19-50; effective 30th day thereafter (Register 22, No. 1).
2. Amendment filed 8-10-79; effective thirtieth day thereafter (Register 79, No. 32).
3. Amendment of subsection (b) filed 11-12-82; effective thirtieth day thereafter (Register 82, No. 46).
4. Editorial correction of section heading filed 5-22-85; effective thirtieth day thereafter (Register 85, No. 21).
§2281. Names of Apprentices. [Renumbered]
History

HISTORY

1. New section filed 6-8-62; effective thirtieth day thereafter (Register 62, No. 11).
2. Renumbering and amendment of Section 2281 to Section 2267 filed 12-12-80; effective thirtieth day thereafter (Register 81, No. 50).
3. Editorial correction (Register 81, No. 18).
Article 4. Standards of Training and Instruction
§2282. Required Training.
Note     •     History

(a) Guide dogs shall be trained and tested to:
(1) Acknowledge the beginning and end of a block, regardless of curb type.
(2) Stop or pause at notable changes of elevation in walking surfaces.
(3) Respond appropriately to basic directional guide work and obedience commands.
(4) Work sidewalk less and rounded corner areas and appropriately acknowledge intersecting streets.
(5) Move the handler away from obstacles or stop when there is insufficient room for clearance.
(6) Maintain a safe distance or buffer from potentially threatening vehicles. Target the appropriate up curb location.
(7) Refocus when directed on its working task when distracted by certain stimulants such as persons, animals, or food.
(8) Under direction of a handler, negotiate public transportation and ride appropriately.
(9) Work at a consistent steady pace, providing safe, effective and fluid movement appropriate to its handler and travel conditions.
(10) Behave appropriately in all locations both in and out of harness.
(11) Effectively work in buildings, find doors on command, and negotiate stairs, ramps, and elevators as needed.
(12) Display suitable house manners: free of destructive habits, excessive barking and indiscriminate relieving; be handled easily by client for general care and management; demonstrate the ability to behave properly when left along for a reasonable period of time.
(b) Guide dogs shall be tested by a qualified handler under blindfold. A verification of successful completion of the required training and testing shall be retained by the school in its records.
NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Section 7208, Business and Professions Code.
HISTORY

1. New section filed 6-8-62; effective thirtieth day thereafter. Former section 2282 renumbered 2282.1 (Register 62, No. 11).
2. New NOTE filed 5-22-85; effective thirtieth day thereafter (Register 85, No. 21).
3. Renumbering of former section 2282 to section 2282.1 and renumbering of former section 2282.1 to section 2282, including amendment of section, filed 3-17-2011; operative 4-16-2011 (Register 2011, No. 11).
§2282.1. Assignment of Dogs.
Note     •     History

Before a dog may be assigned to a client, within the prior 60-day period, an instructor shall have verified that the dog meets the requirements as set forth by section 2282.
NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Section 7208, Business and Professions Code.
HISTORY

1. Formerly Section 2282. Renumbering amendment filed 6-8-62; effective thirtieth day thereafter (Register 62, No. 11).
2. New NOTE filed 5-22-85; effective thirtieth day thereafter (Register 85, No. 21).
3. Renumbering of former section 2282.1 to section 2282 and renumbering of former section 2282 to section 2282.1, including amendment of section heading and section, filed 3-17-2011; operative 4-16-2011 (Register 2011, No. 11).
§2283. Attendants for the Blind. [Repealed]
History

HISTORY

1. Repealer filed 12-12-80; effective thirtieth day thereafter (Register 81, No. 50).
2. Editorial correction (Register 81, No. 18).
§2284. Instructor--When License Required.
Note     •     History

Anyone instructing a blind person in the use of a guide dog must be licensed by the Board, provided, however, that a school may employ apprentices to assist in such instruction. No apprentice shall act as an instructor except under the direct and immediate supervision of a licensed instructor.
NOTE

Authority cited: Business and Professions Code, Section 7208. Reference: Business and Professions Code, Sections 7208 and 7210.
HISTORY

1. Amendment filed 6-8-62; effective thirtieth day thereafter (Register 62, No. 11).
2. Amendment filed 8-10-79; effective thirtieth day thereafter (Register 79, No. 32).
§2285. Standards of Conduct.
Note     •     History

(a) A licensee may not release any personal or identifying information regarding a student to any person, other than the board or its staff, without the student's permission.
(b) A licensee shall provide each student with all services generally associated with or offered by the school and with those services required by the Code or regulations.
(c) A licensee shall not engage in undue intimidation or coercion of students or graduates or physical violence or threat thereof to such persons in a manner contrary to the best interests of guide dog usage.
NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Section 7208, Business and Professions Code.
HISTORY

1. New section filed 12-12-80; effective thirtieth day thereafter (Register 80, No. 50).
§2286. Continuing Education.
Note     •     History

(a) As a condition of renewal of an instructor's license which expires on or after June 30, 1996, the instructor shall provide proof to the board of completion of not less than 8 hours of continuing education obtained within 12 months prior to license renewal. Proof of completion of continuing education shall be in form of a written declaration specifically naming the activity, the dates involved, any costs, and the name of the instructor, and institution or sponsoring organization.
(b) An instructor shall provide proof to the board of completion of one or a combination of any of the following totaling 8 hours:
(1) in a board approved course or seminar, regarding blindness mobility, health issues relating to blindness, instructing blind persons, and care and training of dogs.
(2) attendance at meetings of guide dog user organizations or organizations of the blind.
(3) participation in self-study videos or online coursework (per CCR 16 §2286(b)(1)).
(c) Pre-approval of courses or attendance of meeting or seminars may be obtained by submitting to the board a description of the activity, the number of hours and the subject matter to be covered, name and address of the instructor, and name of the sponsor or organization providing the activity, writing at least 30 days preceding the activity. The board shall inform the applicant of the status of the activity prior to the onset, unless impractical to do so.
(d) Proof of completion of continuing education shall be in the form of a written declaration signed by the licensee containing the following information: name of the activity, date(s) of the activity, cost instruction or activity, name and address of the instructor, and name of the sponsor or the organization providing the activity.
NOTE

Authority cited: Sections 7208 and 7211.1, Business and Professions Code. Reference: Sections 7208 and 7211.1, Business and Professions Code.
HISTORY

1. New section filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
2. Amendment of subsections (b)-(b)(2), new subsection (b)(3) and amendment of subsection (d) filed 11-30-2009; operative 12-30-2009 (Register 2009, No. 49).
Article 5. Miscellaneous
§2290. Substantial Relationship Criteria.
Note     •     History

For the purposes of denial, suspension or revocation of a license pursuant to Division 1.5 (commencing with Section 475) of the Code, a crime or act shall be considered to be substantially related to the qualifications, functions and duties of a guide dog school operator or instructor of blind persons in use of guide dogs if to a substantial degree it evidences present or potential unfitness of a guide dog school operator or instructor of blind persons in use of guide dogs to perform the functions authorized by his or her license in a manner consistent with the public health, safety or welfare. Such crimes or acts include but are not limited to those involving the following:
(a) Any violation of any of the provisions of Chapter 9.5, Division 2 of the Code;
(b) Any act or crime involving cruelty to animals.
NOTE

Authority cited: Sections 481 and 7208, Business and Professions Code. Reference: Sections 481, 7211.9 and 7216, Business and Professions Code.
HISTORY

1. Amendment filed 8-10-79; effective thirtieth day thereafter (Register 79, No. 32).
2. Amendment filed 11-12-82; effective thirtieth day thereafter (Register 82, No. 46).
§2291. Rehabilitation Criteria.
Note     •     History

(a) When considering denial of a license under Section 480 of the Code, the board, in evaluating the rehabilitation of the applicant and his or her present eligibility for a license, will consider the following criteria:
(1) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the Code.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(5) Evidence, if any, of rehabilitation submitted by the applicant.
(b) When considering the suspension or revocation of a license on the ground that a guide dog school operator or instructor of blind persons in the use of guide dogs has been convicted of a crime, the Board, in evaluating the rehabilitation of such person and his or her eligibility for a license will consider the following criteria: 
(1) Nature and severity of the act(s) or offense(s).
(2) Total criminal record.
(3) The time that has elapsed since commission of the act(s) or offense(s).
(4) Whether the licensee has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against the licensee.
(5) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(6) Evidence, if any, of rehabilitation submitted by the licensee. 
(c) When considering a petition for reinstatement of a license under Section 11522 of the Government Code, the Board shall evaluate evidence of rehabilitation submitted by the petitioner, considering those criteria of rehabilitation specified in subsection (b).
NOTE

Authority cited: Sections 482 and 7208, Business and Professions Code. Reference: Sections 482, 7211.9 and 7216, Business and Professions Code.
HISTORY

1. New Article 5 (Sections 2290 and 2291) filed 10-7-77; effective thirtieth day thereafter (Register 77, No. 41).
2. Amendment of subsection (b) filed 8-10-79; effective thirtieth day thereafter (Register 79, No. 32).
3. Amendment of subsection (a) filed 11-12-82; effective thirtieth day thereafter (Register 82, No. 46).
§2292. Inactive Instructor License.
Note     •     History

(a) The board hereby establishes an inactive category of licensure for instructors who are not actively engaged in the practice of instructing blind persons in the use of guide dogs and who have applied for an inactive license.
(b) The holder of an inactive license issued pursuant to this section shall not engage in any activity for which a license is required.
(c) An inactive license issued pursuant to this section shall be renewed during the same time period in which an active license is renewed. The holder of an inactive license need not comply with any continuing education requirement.
(d) The renewal fee for a license in an inactive status shall be twenty-five dollars ($25) per year.
(e) An inactive license issued pursuant to this section may be restored to active status within 3 years following the expiration of the original license provided the holder of an inactive license becomes current for all continuing education as required under the regulations. Becoming current for all continuing education shall mean that the applicant shall complete the requisite hours of education for each year that the license has been inactive. An inactive license may not be restored to active status after 3 years following the expiration of the original license.
NOTE

Authority cited: Sections 462 and 7208, Business and Professions Code. Reference: Section 462, Business and Professions Code.
HISTORY

1. New section filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
§2293. School Requirements Regarding Continued Use of a Guide Dog.
Note     •     History

(a) Except for circumstances described in Business and Professions Code section 7215.6(f), whenever a school retains title to a trained guide dog and decides not to permit the continued use of the dog by its user, the school shall do all of the following:
(1) Issue a written letter of intent to the user that the school intends not to permit continued use of the dog.
(2) Provide the user a copy of the law and regulations pertaining to the arbitration provisions of Chapter 9.5 of Division 3 of the Code (commencing with section 7215.6).
(3) Provide the user with a record of the Board's name, physical address, web site address, and telephone number.
(4) The items described above shall be provided to the user by personal delivery, by first class mail, postage prepaid, with return receipt requested, or substantially similar means designed to ensure actual notice to the user as determined by the Board in its discretion.
(b) The requirements of subsection (a) shall be performed within 30 calendar days of the school decision not to permit the user's continued use of the dog.
(c) A user may waive his or her rights to notice and arbitration under subsection (a). To be valid, the waiver must be in writing, signed by the user and executed either after the user has been informed of the school's intent not to permit continued use of the dog or after the dog has been out of the user's physical custody for 30 calendar days.
NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Sections 7208(c), 7215.5 and 7215.6, Business and Professions Code.
HISTORY

1. New section filed 5-10-2005; operative 6-9-2005 (Register 2005, No. 19).
§2294. Arbitration Requirements.
Note     •     History

To utilize the arbitration panel provided for in Code section 7215.6, the following requirements must be met:
(a) A school or user requesting arbitration shall submit a written request to the Board at its office, with the requestor's original signature, which contains the following information:
(1) The name, address, and phone number of the school;
(2) The name, address, and phone number of the user;
(3) The name of the dog which is the subject of the dispute; and
(4) An explanation of the nature of the dispute between the school and user.
(b) The requestor shall simultaneously submit a copy of the request to the other party to the dispute.
(c) A request for arbitration shall be postmarked within 30 calendar days of receipt of the school's letter of intent to not permit continued use of the guide dog by its user. For purposes of this subsection, receipt is the day the letter of intent was actually received by the user or, if actual receipt cannot be determined, 10 calendar days after it was mailed.
NOTE

Authority cited: Section 7208, Business and Professions Code. Reference: Section 7215.6, Business and Professions Code.
HISTORY

1. New section filed 5-10-2005; operative 6-9-2005 (Register 2005, No. 19).
Division 23. Cemetery and Funeral Bureau

(Originally Printed 3-4-50)
Article 1. General
§2300. Location of Office.
Note     •     History

The principal office of the Bureau is located at 1625 North Market Boulevard, Suite S-208, Sacramento, California 95834.
NOTE

Authority cited: Section 9630, Business and Professions Code. Reference cited: Section 9630, Business and Professions Code.
HISTORY

1. Amendment filed 12-15-70; effective thirtieth day thereafter (Register 70, No. 51). For prior history see Register 63, No. 3.
2. Amendment filed 12-2-75; effective thirtieth day thereafter (Register 75, No. 49).
3. Amendment filed 6-25-80; effective thirtieth day thereafter (Register 80, No. 26).
4. Change without regulatory effect amending section filed 2-8-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 6).
5. Change without regulatory effect amending division heading and section filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2301. Tenses, Gender and Number.

For the purpose of the rules and regulations contained in this chapter, the present tense includes the past and future tenses, and the future, the present; the masculine gender includes the feminine, and the feminine, the masculine; and the singular includes the plural, and the plural, the singular.
§2302. Definitions.
Note     •     History

(a) For the purpose of the rules and regulations contained in this chapter, the term “bureau” means the Cemetery and Funeral Bureau; the term “Code” means Business and Professions Code; and the term “Act” means the Cemetery Act.
(b) For the purpose of cemetery section development or modification after January 1, 1990, the term “development” means the creation of new interment spaces through the construction of a mausoleum, columbarium, or an in-ground interment section (excluding private mausoleums and/or columbariums) and the term “modification” means the addition, deletion or reconfiguration of interment spaces within an existing cemetery section, mausoleum, and/or columbarium.
NOTE

Authority cited: Sections 9630 and 9631, Business and Professions Code. Reference: Section 8550(d), Health and Safety Code.
HISTORY

1. New subsection (a) designator, new subsection (b) and new Note filed 11-10-98; operative 12-10-98 (Register 98, No. 46).
2. Change without regulatory effect amending subsection (a) and Note filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2303. Delegation of Certain Functions.
Note     •     History

The power and discretion conferred by law upon the bureau to receive and file accusations; issue notices of hearings, statements to respondent and statements of issue; receive and file notices of defense; determine the time and place of hearings under Section 11508 of the Government Code; issue subpoenas and subpoenas duces tecum; set calendar cases for hearing and perform other functions necessary to the businesslike dispatch of the business of the bureau in connection with proceedings under the provisions of Sections 11500 through 11528 of the Government Code, prior to the hearing of such proceedings; and the certification and delivery or mailing of copies of decisions under Section 11518 of said Code are hereby delegated to and conferred upon the bureau chief, or, in his or her absence from the office of the bureau, the acting bureau chief.
NOTE

Authority cited: Sections 9630 and 9631, Business and Professions Code; and Section 11152, Government Code. Reference: Section 9625, Business and Professions Code.
HISTORY

1. Editorial correction filed 12-15-83; effective thirtieth day thereafter (Register 83, No. 51).
2. Change without regulatory effect amending section and Note filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2304. Filing of Addresses.
Note     •     History

Each person holding a certificate of authority, license, permit or any other authority to practice or engage in any activity in the State of California under any and all laws administered by the bureau shall file his proper and current mailing address with the bureau, at its office in Sacramento, and immediately notify the bureau of any and all changes of mailing address, giving both his old and his new address.
NOTE

Authority cited: Sections 136 and 9630, Business and Professions Code. Reference: Section 9630, Business and Professions Code.
HISTORY

1. Change without regulatory effect amending section and adding Note filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
Article 2. Fees
§2310. Regulatory Charge.
Note     •     History

(a) The annual regulatory charge to be paid by every cemetery authority operating a cemetery under the Act is fixed at the sum of four hundred dollars ($400). An additional quarterly charge of eight dollars fifty cents ($8.50) for each burial, entombment, or inurnment made during the preceding quarter shall be paid to the Bureau. If the cemetery authority performs a burial, entombment, or inurnment, and the cremation was performed at a crematory located on the grounds of the cemetery and under common ownership with the cemetery authority, the total of all additional charges shall be eight dollars and fifty cents ($8.50).
(b) The annual regulatory charge to be paid by every licensed crematory is fixed at the sum of four hundred dollars ($400). An additional quarterly charge of eight dollars fifty cents ($8.50) for each cremation made during the preceding quarter shall be paid to the Bureau.
NOTE

Authority cited: Sections 9630 and 9765, Business and Professions Code. Reference cited: Sections 9765 and 9786, Business and Professions Code.
HISTORY

1. Amendment filed 12-26-79 as an emergency; effective upon filing (Register 79, No. 52). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 4-25-80. For prior history, see Registers 63, No. 3; 73, No. 41; 75, No. 49; and 77, No. 47.
2. Amendment filed 6-25-80; effective thirtieth day thereafter (Register 80, No. 26).
3. Amendment of subsection (a) filed 5-29-81; effective thirtieth day thereafter (Register 81, No. 22).
4. Amendment of subsections (a) and (b) to reduce the amount of the charges filed 11-28-88; operative 12-31-88 (Register 88, No. 51).
5. Amendment of section and Note filed 6-15-95; operative 7-17-95 (Register 95, No. 24).
6. Amendment filed 12-30-96 as an emergency; operative 1-1-97 (Register 97, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-1-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of subsection (b) (Register 97, No. 24).
8. Certificate of Compliance as to 12-30-96 order, including further amendments, transmitted to OAL 4-25-97 and filed 6-9-97 (Register 97, No. 24).
9. Change without regulatory effect amending section filed 12-12-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 50).
10. Amendment filed 9-8-2009; operative 10-8-2009 (Register 2009, No. 37).
§2311. Filing Fee.
Note     •     History

(a) An initial filing fee of four hundred dollars ($400) shall accompany an original application for a certificate of authority to operate a cemetery. In the event the expenses of the bureau's investigation, computed at the rate of $100 per day per person, shall exceed this amount, the applicant shall, within five (5) days after request therefore, deposit such additional sums as deemed necessary by the bureau provided that the total sum shall not exceed nine hundred dollars ($900).
(b) An initial filing fee of four hundred dollars ($400) shall accompany an original application for a crematory license. In the event the expenses of the bureau's investigation, computed at the rate of one hundred dollars ($100) per day per person, shall exceed this amount, the applicant shall, within five (5) days after request therefore, deposit such additional sums as deemed necessary by the bureau provided that the total sum shall not exceed nine hundred dollars ($900).
NOTE

Authority cited: Sections 9630, 9717 and 9783, Business and Professions Code. Reference cited: Sections 9717 and 9783, Business and Professions Code.
HISTORY

1. New section 2311 filed 1-16-56; effective thirtieth day thereafter (Register 56, No. 2).
2. Amendment filed 12-2-75; effective thirtieth day thereafter (Register 75, No. 49).
3. Amendment filed 6-25-80; effective thirtieth day thereafter (Register 80, No. 26).
4. Amendment of section and Note filed 6-15-95; operative 7-17-95 (Register 95, No. 24).
5. Change without regulatory effect amending subsections (a) and (b) filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2312. Cemetery Broker Original License Fee.
Note     •     History

The cemetery broker original license fee shall be four hundred dollars ($400).
NOTE

Authority cited: Sections 9630 and 9751, Business and Professions Code. Reference: Section 9751, Business and Professions Code.
HISTORY

1. Amendment filed 12-15-70; effective thirtieth day thereafter (Register 70, No. 51). For prior history, see Register 59, No. 7.
2. Amendment filed 12-2-75; effective thirtieth day thereafter (Register 75, No. 49).
3. Amendment filed 5-29-81; effective thirtieth day thereafter (Register 81, No. 22).
4. Amendment filed 6-15-95; operative 7-17-95 (Register 95, No. 24).
§2313. Cemetery Broker Re-Examination Fee.
Note     •     History

The cemetery broker re-examination fee shall be one hundred dollars ($100).
NOTE

Authority cited: Sections 9630 and 9752, Business and Professions Code. Reference: Section 9752, Business and Professions Code.
HISTORY

1. New section filed 9-30-57; effective thirtieth day thereafter (Register 57, No. 17).
2. Amendment filed 12-2-75; effective thirtieth day thereafter (Register 75, No. 49).
3. Amendment of section and Note filed 6-15-95; operative 7-17-95 (Register 95, No. 24).
§2314. Cemetery Broker License Renewal Fee.
Note     •     History

The cemetery broker license renewal fee shall be three hundred dollars ($300).
NOTE

Authority cited: Sections 9630 and 9753, Business and Professions Code. Reference: Section 9753, Business and Professions Code.
HISTORY

1. Amendment filed 12-15-70; effective thirtieth day thereafter (Register 70, No. 51). For prior history, see Register 59, No. 7.
2. Amendment filed 12-2-75; effective thirtieth day thereafter (Register 75, No. 49).
3. Amendment filed 5-29-81; effective thirtieth day thereafter (Register 81, No. 22).
4. Amendment filed 6-15-95; operative 7-17-95 (Register 95, No. 24).
§2315. Cemetery Broker Multiple Corporate Officer or Partner License Renewal Fee.
Note     •     History

Pursuant to Sections 9754 and 9755 of the Business and Professions Code, the cemetery broker renewal license fee for a license issued to a second or additional corporate officer or partner of a partnership shall be one hundred dollars ($100) for each license in addition to the first fee paid by the corporation or partnership.
NOTE

Authority cited: Sections 9630, 9754 and 9755, Business and Professions Code. Reference: Sections 9754 and 9755, Business and Professions Code.
HISTORY

1. New section filed 9-30-57; effective thirtieth day thereafter (Register 57, No. 17).
2. Amendment filed 12-2-75; effective thirtieth day thereafter (Register 75, No. 49).
3. Amendment of section and Note filed 6-15-95; operative 7-17-95 (Register 95, No. 24).
4. Change without regulatory effect amending section filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2316. Cemetery Broker Branch Office License Fee.
Note     •     History

The cemetery broker branch office license fee shall be one hundred dollars ($100).
NOTE

Authority cited: Sections 9630 and 9760, Business and Professions Code. Reference: Section 9760, Business and Professions Code.
HISTORY

1. New section filed 9-30-57; effective thirtieth day thereafter (Register 57, No. 17).
2. Amendment filed 12-2-75; effective thirtieth day thereafter (Register 75, No. 49).
3. Amendment of section and Note filed 6-15-95; operative 7-17-95 (Register 95, No. 24).
§2317. Crematory Manager Examination, License, and Renewal Fee.
Note     •     History

(a) The crematory manager examination fee and reexamination fee is four hundred and fifty dollars ($450.00).
(b) The crematory manager license fee is eighty dollars ($80.00).
(c) The annual renewal fee for the crematory manager license is eighty dollars ($80.00).
NOTE

Authority cited: Section 9630, Business and Professions Code. Reference: Sections 9764.1 and 9787.2, Business and Professions Code.
HISTORY

1. New section filed 5-27-2003 as an emergency; operative 5-27-2003 (Register 2003, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-24-2003 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 91, No. 10.
2. Certificate of Compliance as to 5-27-2003 order transmitted to OAL 9-22-2003 and filed 11-3-2003 (Register 2003, No. 45).
§2317.1. Cemetery Manager Examination, License, and Renewal Fee.
Note     •     History

(a) The cemetery manager examination fee and reexamination fee is eight hundred dollars ($800.00).
(b) The cemetery manager license fee is eighty dollars ($80.00).
(c) The annual renewal fee for the cemetery manager license is eighty dollars ($80.00).
NOTE

Authority cited: Section 9630, Business and Professions Code. Reference: Sections 9723 and 9764.2, Business and Professions Code.
HISTORY

1. New section filed 5-27-2003 as an emergency; operative 5-27-2003 (Register 2003, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-24-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-27-2003 order transmitted to OAL 9-22-2003 and filed 11-3-2003 (Register 2003, No. 45).
§2317.2. Report of Change of Designation and Request to Share Fee.
Note     •     History

(a) The fee for filing a report of a change of designated crematory manager, or designated cemetery manager, is fifty dollars ($50.00).
(b) The fee for filing a request to share a designated cemetery manager is fifty dollars ($50).
NOTE

Authority cited: Section 9630, Business and Professions Code. Reference: Section 9764.3, Business and Professions Code.
HISTORY

1. New section filed 5-27-2003 as an emergency; operative 5-27-2003 (Register 2003, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-24-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-27-2003 order transmitted to OAL 9-22-2003 and filed 11-3-2003 (Register 2003, No. 45).
§2318. Cemetery Salesman License Fee.
Note     •     History

The cemetery salesman license fee shall be thirty dollars ($30).
NOTE

Authority cited: Sections 9630 and 9756, Business and Professions Code. Reference: Section 9756, Business and Professions Code.
HISTORY

1. New section filed 9-30-57; effective thirtieth day thereafter (Register 57, No. 17).
2. Amendment filed 12-2-75; effective thirtieth day thereafter (Register 75, No. 49).
3. Amendment filed 5-29-81; effective thirtieth day thereafter (Register 81, No. 22).
4. Amendment filed 5-22-87; operative 7-1-87 (Register 87, No. 23).
5. Amendment filed 2-5-91; operative 2-5-91 (Register 91, No. 10).
§2319. Cemetery Salesman Re-Examination Fee. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 9630 and 9757, Business and Professions Code. Reference: Section 9757, Business and Professions Code.
HISTORY

1. New section filed 9-30-57; effective thirtieth day thereafter (Register 57, No. 17).
2. Amendment filed 12-2-75; effective thirtieth day thereafter (Register 75, No. 49).
3. Amendment of section and Note filed 6-15-95; operative 7-17-95 (Register 95, No. 24).
4. Change without regulatory effect repealing section filed 4-8-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 15).
§2320. Cemetery Salesperson License Renewal Fee.
Note     •     History

The cemetery salesperson license renewal fee shall be twenty-five dollars ($25).
NOTE

Authority cited: Sections 9630 and 9759, Business and Professions Code. Reference: Section 9759, Business and Professions Code.
HISTORY

1. New Section 2313 filed 1-16-56; effective thirtieth day thereafter (Register 56, No. 2).
2. Renumbered from 2313 and amendment filed 9-30-57; effective thirtieth day thereafter (Register 57, No. 17).
3. Amendment filed 2-20-63; designated effective 4-1-63 (Register 63, No. 3).
4. Amendment filed 12-2-75; effective thirtieth day thereafter (Register 75, No. 49).
5. Amendment filed 5-29-81; effective thirtieth day thereafter (Register 81, No. 22).
6. Amendment filed 5-22-87; operative 7-1-87 (Register 87, No. 23).
7. Amendment filed 6-15-95; operative 7-17-95 (Register 95, No. 24).
8. Change without regulatory effect amending section heading and section filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2321. Change of Name or Address Fee.
Note     •     History

The fee for change of name or address on the records of the bureau shall be twenty-five dollars ($25).
NOTE

Authority cited: Sections 9630 and 9761, Business and Professions Code. Reference: Section 9761, Business and Professions Code.
HISTORY

1. New section filed 9-30-57; effective thirtieth day thereafter (Register 57, No. 17).
2. Amendment filed 2-20-63; designated effective 4-1-63 (Register 63, No. 3). Editorial correction, Register 63, No. 16.
3. Amendment filed 12-2-75; effective thirtieth day thereafter (Register 75, No. 49).
4. Amendment filed 5-22-87; operative 7-1-87 (Register 87, No. 23).
5. Amendment of section and Note filed 6-15-95; operative 7-17-95 (Register 95, No. 24).
6. Change without regulatory effect amending section filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2322. Cemetery Salesperson Transfer Fee.
Note     •     History

The fee for transfer of a cemetery salesperson's license upon change of employer shall be twenty-five dollars ($25).
NOTE

Authority cited: Sections 9630 and 9762, Business and Professions Code. Reference: Section 9762, Business and Professions Code.
HISTORY

1. New section filed 9-30-57; effective thirtieth day thereafter (Register 57, No. 17).
2. Amendment filed 12-2-75; effective thirtieth day thereafter (Register 75, No 49).
3. Amendment filed 5-22-87; operative 7-1-87 (Register 87, No. 23).
4. Amendment of section and Note filed 6-15-95; operative 7-17-95 (Register 95, No. 24).
5. Change without regulatory effect amending section heading and section filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2323. Duplicate License Fee.
Note     •     History

The fee for a duplicate license shall be twenty-five dollars ($25).
NOTE

Authority cited: Sections 9630 and 9763, Business and Professions Code. Reference: Section 9763, Business and Professions Code.
HISTORY

1. New section filed 9-30-57; effective thirtieth day thereafter (Register 57, No. 17).
2. Amendment filed 12-2-75; effective thirtieth day thereafter (Register 75, No. 49).
3. Amendment filed 5-22-87; operative 7-1-87 (Register 87, No. 23).
4. Amendment of section and Note filed 6-15-95; operative 7-17-95 (Register 95, No. 24).
§2324. Reinstatement Fee.
Note     •     History

The fee for reinstatement of a cemetery broker's license or salesperson's license within a fiscal year shall be twenty-five dollars ($25).
NOTE

Authority cited: Sections 9630 and 9764, Business and Professions Code. Reference: Section 9764, Business and Professions Code.
HISTORY

1. New section filed 9-30-57; effective thirtieth day thereafter (Register 57, No. 17).
2. Amendment filed 12-2-75; effective thirtieth day thereafter (Register 75, No. 49).
3. Amendment filed 5-22-87; operative 7-1-87 (Register 87, No. 23).
4. Amendment filed 6-15-95; operative 7-17-95 (Register 95, No. 24).
5. Change without regulatory effect amending section filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
Article 3. Applications and Licenses
§2326. Applications for Cemetery and Crematory Certificates of Authority.
Note     •     History

(a) Certificate of Authority. Applications for a certificate of authority to operate a cemetery shall be filed on the form furnished by the bureau at the principal office of the bureau. In addition to the payment of the fees required by Section 2311 of these rules, each application shall be accompanied by the following:
(1) A certified copy of:
(A) Articles of incorporation.
(B) Application for permit to sell and issue securities.
(C) Permit to sell and issue securities.
(D) Application to the city or county planning commission for a cemetery use permit or rezoning for cemetery purposes, or both.
(E) Land use or zoning permit.
(F) Declaration of dedication to cemetery purposes certified by the county recorder.
(G) Deed to the property, contract of purchase or any other instrument which provides the applicant with merchantable title thereto.
(H) Endowment care trust agreement executed by the board of directors of the cemetery authority.
(2) A statement signed by a majority and verified by one of the directors of the applicant, which statement shall set forth:
(A) Names and addresses of the incorporators, directors, officers and trustees of the endowment care fund, including the person who will be in charge of sales, together with a statement of their experience and fitness to engage in cemetery business.
(B) Statement of compensation received or to be received by the officers, directors and all sales agents and/or managers.
(C) A complete and detailed financial statement showing assets, liabilities and reserve.
1. If the applicant is a new corporation, the statement shall designate the amount of stock subscribed, the consideration paid for all stock issued and the amount of promotional stock involved.
2. If the applicant has engaged in business for a period of time, the statements shall include complete operating profit and loss statements for the preceding three (3) years or such period of time as the applicant has been in business if less than three years.
(D) Itemized statement of estimated receipts (from all sources, capitalization, sales, loans, etc.) and expenditures of the applicant for at least five (5) years or such other period as the board may require by written notice to the applicant.
(E) A statement setting forth the size, location and topography of, and water available for, the property to be used for cemetery purposes.
(F) A statement of the applicant's proposed plan of operation which shall include type of selling, approximate size or sales department, number of acres initially developed, etc.
(G) Statement of the amount deposited to the endowment care fund, type of investment made or to be made and the proposed rate of contribution for the future.
(3) An independent confirmation from the depository or other such proof of deposit of the initial contribution to the endowment care fund as required by Section 8738.1 of the Health and Safety Code of the State of California.
(4) A good and substantial map of the proposed cemetery site (scale not less than one inch (1”) to five hundred feet (500')) and surrounding area showing highways, access roads, etc., and area to be initially developed delineated thereon.
(5) Such other matters as the bureau may require by written notice to the applicant.
(b) Crematory License Application. Application for a crematory license shall be filed on the form furnished by the bureau at the principal office of the board. In addition to the payment of the fees required by Section 2311 of these rules, each application shall be accompanied by the following:
(1) A certified copy of:
(A) Articles of incorporation, if applicant is a corporation.
(B) Partnership agreement, if applicant is a partnership.
(C) Land use or zoning permit.
(D) Permit to operate a crematory issued by the local air pollution control district.
(E) Deed, lease or other instrument which provides the applicant with the right to possess and use the property where the business will be located.
(2) A statement signed by the applicant if the applicant is an individual; signed by the majority and verified by one (1) of the directors, if the applicant is a corporation; or signed and verified by a majority of the partners, if applicant is a partnership, which statement shall set forth:
(A) A complete and detailed financial statement showing assets, liabilities, and reserves.
(B) A statement of proposed plan of operation which shall include the type of selling.
(C) A full, true, and complete copy of the standard agreement which will be used for funding of prearranged cremations.
(3) Plans and specifications of the crematory and building, which must be sufficient to allow the bureau to determine, among other things:
(A) Fire resistant character.
(B) Adequacy of storage for cremated and uncremated remains.
(4) Such other matters as the bureau may require by written notice to the applicant.
NOTE

Authority cited: Section 9630, Business and Professions Code. Reference: Sections 9715, 9716, 9717, 9765, 9781, 9782, 9783 and 9786, Business and Professions Code; and Section 8738.1, Health and Safety Code.
HISTORY

1. New Sections 2315 and 2316 filed 1-16-56; effective thirtieth day thereafter (Register 56, No. 2).
2. Renumbering of Sections 2315 and 2316 to 2326 and 2327 respectively filed 9-30-57; effective thirtieth day thereafter (Register 57, No. 17).
3. Amendment filed 6-25-80; effective thirtieth day thereafter (Register 80, No. 26).
4. Amendment filed 8-24-82; effective thirtieth day thereafter (Register 82, No. 35).
5. Change without regulatory effect amending subsections (a), (a)(4)-(b), (b)(2), (b)(3) and (b)(4) filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2326.1. Managers.
Note     •     History

(a) Each cemetery for which a new certificate of authority is required shall be operated under the supervision of a managing officer qualified as such by the bureau.
(1) The applicant for a new certificate of authority, in addition to the requirements of Section 2326, will designate the managing officer. There shall be submitted with the application the written statement of such officer demonstrating that he or she has two (2) years' experience in the cemetery business, or equivalent experience, which experience shall be commensurate with the size, type, and scope of the proposed activities of the cemetery authority. Additional managing officers who have been qualified and examined by the bureau may be designated by the applicant and can succeed the managing officer in the event of death, resignation, disability, or other inability to perform the required duties.
(b) Each crematory for which a crematory license is required shall be operated under the supervision of a manager designated by the applicant and qualified as such by the bureau. Additional managers who have been qualified and examined by the bureau may be designated by the applicant and can succeed the manager in the event of death, resignation, disability, or other inability to perform the required duties.
NOTE

Authority cited: Sections 9630 and 9787, Business and Professions Code. Reference: Sections 9715, 9717, and 9787, Business and Professions Code.
HISTORY

1. New section filed 3-11-77; effective thirtieth day thereafter (Register 77, No. 11).
2. Amendment filed 6-25-80; effective thirtieth day thereafter (Register 80, No. 26).
3. Change without regulatory effect amending section filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2326.2. Managing Officer Examination. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 9630 and 9787, Business and Professions Code. Reference: Sections 9702.5, 9715, 9716, 9717 and 9787, Business and Professions Code.
HISTORY

1. New section filed 3-11-77; effective thirtieth day thereafter (Register 77, No. 11).
2. Amendment filed 6-25-80; effective thirtieth day thereafter (Register 80, No. 26).
3. Amendment of NOTE filed 8-24-82; effective thirtieth day thereafter (Register 82, No. 35).
4. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§2326.5. Approval to Share a Cemetery Manager.
Note     •     History

Licensed cemeteries, upon approval by the Bureau, may designate a licensed cemetery manager to manage more than one licensed cemetery under the following conditions:
(a) The license cemeteries are under common ownership;
(b) The common owner has designated one cemetery as the main office. The main office is defined as a designated location registered with the Bureau where the principals of the licensed cemetery can be contacted;
(c) The licensed cemeteries are within a 60 mile radius of the main office;
(d) Each licensed cemetery requesting permission from the Bureau to share one designated cemetery manager, shall make a written request on application Form 21A2 (10/03) to the Bureau and pay the fee for requesting to share a designated cemetery manager. An inspection may be scheduled and completed to ensure that the conditions set forth in this section have been satisfied.
(e) The procedure for considering and granting approval to share a cemetery manager under this section shall be as follows:
(1) The Bureau shall inform an applicant requesting approval to share a cemetery manager, in writing, within 14 days of receipt whether the application is complete and acceptable for filing or is deficient and what specific information is required to complete the application.
(2) The Bureau shall make a decision within 30 days after the application is deemed to be completed whether the applicant meets the requirements for approval to share a cemetery manager. “Completion of an application” means that the applicant has filed a completed application form together with all required information, documentation, and fee.
(3) The minimum, median and maximum processing times for an application for approval to share a cemetery manager from the date of acceptance and filing of the initial application until the Bureau makes a final decision on the application are:
(A) Minimum -- 7 days.
(B) Median -- 14 days.
(C) Maximum -- 30 days.
NOTE

Authority cited: Section 9630, Business and Professions Code; and Section 15376, Government Code. Reference: Sections 9723 and 9723.2, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New section filed 5-27-2003 as an emergency; operative 5-27-2003 (Register 2003, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-24-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-27-2003 order, including amendment of subsection (d), transmitted to OAL 9-22-2003 and filed 11-3-2003 (Register 2003, No. 45).
§2327. Cemetery Salesperson Application.
Note     •     History

If an applicant for a license as a cemetery salesperson changes employers after filing his or her application and before the license applied for is issued, such application shall be deemed void and the applicant must file another fee and application.
NOTE

Authority cited: Section 9630, Business and Professions Code. Reference: Sections 9701 and 9702.1, Business and Professions Code.
HISTORY

1. Amendment filed 8-24-82; effective thirtieth day thereafter (Register 82, No. 35).
2. Change without regulatory effect amending section heading and section filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2328. Abandonment of Application for a Cemetery License.
Note     •     History

Pursuant to Section 9702.5 of the Code, an applicant must qualify by written examination, notice of which will be forwarded to the applicant by the bureau. If the applicant fails to appear at the time and place designated by the bureau, the bureau may deem the application abandoned after the expiration of the following periods: 

Cemetery broker	 Six (6) months

Cemetery salesperson	 Two (2) months
Provided, however, that an application shall not be deemed abandoned if an applicant has filed a written request to take a subsequent examination prior to the expiration of the appropriate time periods. In the absence of special circumstances, the applicant whose application has been deemed abandoned shall file a new application accompanied by the required fee.
NOTE

Authority cited: Section 9630, Business and Professions Code. Reference: Sections 9702.5 and 9715, Business and Professions Code.
HISTORY

1. New Section 2317 filed 1-16-56; effective thirtieth day thereafter (Register 56, No. 2).
2. Renumbered from 2317 and amendment filed 9-30-57; effective thirtieth day thereafter (Register 57, No. 17).
3. Amendment filed 3-11-77; effective thirtieth day thereafter (Register 77, No. 11).
4. Amendment filed 8-24-82; effective thirtieth day thereafter (Register 82, No. 35).
5. Change without regulatory effect amending section filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2328.1. Cemetery Manager and Crematory Manager Application Form, Abandonment, and Review Processing Time.
Note     •     History

(a) An applicant for examination or licensure as a cemetery manager or crematory manager shall complete an application, Form 21A3 (12/11).
(b) If an applicant for examination or licensure as a cemetery manager or crematory manager fails to take a required examination within twelve (12) months after being notified of eligibility, or fails to apply for licensure within twelve (12) months of being notified of passing the examination, the application or examination result shall be considered to have been abandoned. An application subsequent to the abandonment of a previous application or examination shall be considered a new application and must be accompanied by the required fees.
(c) The procedure for considering applications for examination and issuance of licenses under this section shall be as follows:
(1) The Bureau shall inform an applicant for examination or licensure as a cemetery manager or crematory manager, in writing, within fourteen (14) days of receipt whether the application is complete and acceptable for filing or is deficient and what specific information is required to complete the application.
(2) The Bureau shall make a decision within sixty (60) days after the application is deemed to be completed whether the applicant meets the requirements for licensure or examination. “Completion of an application” means that the applicant has filed a completed application form together with all required information, documentation, and fee.
(3) The minimum, median and maximum processing times for an application for examination or licensure as a cemetery manager or crematory manager from the date of acceptance and filing of the initial application until the Bureau makes a final decision on the application are:
(A) Minimum -- seven (7) days.
(B) Median -- thirty (30) days.
(C) Maximum -- sixty (60) days.
NOTE

Authority cited: Section 9630, Business and Professions Code. Reference: Sections 142(b), 9702.5, 9723.1 and 9787.3, Business and Professions Code.
HISTORY

1. New section filed 5-27-2003 as an emergency; operative 5-27-2003 (Register 2003, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-24-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-27-2003 order, including amendment of subsection (a), transmitted to OAL 9-22-2003 and filed 11-3-2003 (Register 2003, No. 45).
3. Change without regulatory effect amending subsections (b), (c)(1)-(2) and (c)(3)(A)-(C) filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
4. Change without regulatory effect amending subsection (a) and Note filed 1-10-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 2).
§2329. Abandonment of Application for a Certificate of Authority.
Note     •     History

An application shall be deemed abandoned and all fees previously paid shall be deemed forfeited if the applicant for a certificate of authority refuses or fails to comply with the provisions of Section 2326 within one (1) year from the date of written notification by the bureau of the documents or information required to be submitted. The applicant shall be notified in writing of such action. Any application so abandoned may not be reinstated; however, the applicant may file a new application accompanied by the required fees and documents.
NOTE

Authority cited: Section 9630, Business and Professions Code. Reference: Sections 9702.5, 9716, 9781 and 9782, Business and Professions Code.
HISTORY

1. New section filed 9-30-57; effective thirtieth day thereafter (Register 57, No. 17).
2. Amendment filed 3-11-77; effective thirtieth day thereafter (Register 77, No. 11).
3. Amendment filed 8-24-82; effective thirtieth day thereafter (Register 82, No. 35).
4. Change without regulatory effect amending section filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2330. Substantial Relationship Criteria.
Note     •     History

For the purposes of denial, suspension or revocation of a license pursuant to Division 1.5 (commencing with Section 475) of the Code, a crime or act shall be considered to be substantially related to the qualifications, functions or duties of a cemetery broker or salesperson if to a substantial degree it evidences present or potential unfitness of a cemetery broker or salesperson to perform the functions authorized by his or her license in a manner consistent with the public health, safety, or welfare. Such crimes or acts shall include but not be limited to those involving the following:
(a) Conviction of a crime involving fiscal dishonesty.
(b) Any violation of the provisions of Chapter 19, Division 3 of the Code.
NOTE

Authority cited: Sections 481 and 9630, Business and Professions Code. Reference: Section 481, Business and Professions Code.
HISTORY

1. Repealer and new section filed 3-11-77; effective thirtieth day thereafter (Register 77, No. 11). For prior history, see Register 73, No. 20.
2. Amendment filed 8-24-82; effective thirtieth day thereafter (Register 82, No. 35).
3. Change without regulatory effect amending first paragraph filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2331. Criteria for Rehabilitation.
Note     •     History

(a) When considering the denial of a license under Section 480 of the Code, the bureau, in evaluating the rehabilitation of the applicant and his or her present eligibility for a license, will consider the following criteria:
(1) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the Code.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivisions (1) and (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(5) Evidence, if any, of rehabilitation submitted by the applicant.
(b) When considering the suspension or revocation of a license on the ground that a cemetery broker or salesperson has been convicted of a crime, the bureau, in evaluating the rehabilitation of such person and his or her eligibility for a license, will consider the following criteria:
(1) Nature and severity of the act(s) or offense(s).
(2) Total criminal record.
(3) The time that has elapsed since commission of the act(s) or offense(s).
(4) Whether the licensee has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against the licensee.
(5) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(6) Evidence, if any, of rehabilitation submitted by the licensee. 
(c) When considering a petition for reinstatement of a license under the provisions of Section 11522 of the Government Code, the bureau shall evaluate evidence of rehabilitation submitted by the petitioner considering those criteria specified in subsection (a).
NOTE

Authority cited: Sections 482 and 9630, Business and Professions Code. Reference: Sections 480 and 482, Business and Professions Code.
HISTORY

1. Repealer and new section filed 3-11-77; effective thirtieth day thereafter (Register 77, No. 11). For prior history, see Register 73, No. 20.
2. Amendment filed 8-24-82; effective thirtieth day thereafter (Register 82, No. 35).
3. Change without regulatory effect amending subsections (a), (b) and (c) filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2332. Interments in Non-Licensed Cemeteries.
Note     •     History

Upon the request of a holder of a right of interment in a cemetery, the certificate of authority of which has lapsed or has been revoked, (hereinafter referred to as “the nonoperating cemetery”), or on its own initiative, the bureau may arrange through another cemetery or through such person or firm, or corporation, as it deems advisable, to make interments in the nonoperating cemetery. No such interments shall be authorized by the bureau or made unless there has been paid in full to the bureau sufficient funds to reimburse the actual direct cost of interment. The power and discretion conferred by law upon the bureau to authorize such interments are hereby delegated to and conferred upon the chief of the bureau, or, in his or her absence from the office of the bureau, the acting bureau chief.
Notwithstanding the rules and regulations of the nonoperating cemetery relative to outside burial containers, the bureau may authorize the use of such containers as it deems appropriate.
NOTE

Authority cited: Section 9630, Business and Professions Code. Reference: Section 9718, Business and Professions Code.
HISTORY

1. New section filed 3-11-77; effective thirtieth day thereafter (Register 77, No. 11).
2. Amendment of NOTE filed 8-24-82; effective thirtieth day thereafter (Register 82, No. 35).
3. Change without regulatory effect amending section filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
Article 4. Signs, Contracts, Literature, Etc.
§2336. Nonendowment Care Interment Property in an Endowment Care Cemetery.
Note     •     History

(a) Signs. Each nonendowment care section of an endowment care property, containing property available for sale, shall be separately set off by signs prominently placed designating same as a nonendowment care section. These signs shall be at least sixteen inches (16”) high and twenty-four inches (24”) wide and shall be mounted upright thus being perpendicular to level ground. Each sign shall contain the following:
(1) A heading containing the words “NONENDOWMENT CARE SECTION” in black lettering at least four inches (4”) high.
(2) The phrase “This section is nonendowment care interment property” in black lettering at least one and one-quarter inches (1 1/4”) high.
(b) Contracts, Literature, Etc. There shall be printed at the head of all contracts, literature, etc., pertaining to nonendowment care property, the following phrase:
“The property described herein is NONENDOWMENT CARE Interment Property.”
The lettering shall appear in a minimum of 10-point type and the words “NONENDOWMENT CARE” shall be in capital letters.
NOTE

Authority cited: Section 9630, Business and Professions Code. Reference: Sections 8740, 8743 and 8744, Health and Safety Code.
HISTORY

1. New section 2320 filed 1-16-56; effective thirtieth day thereafter (Register 56, No. 2).
2. Renumbered from 2320 and amendment filed 9-30-57; effective thirtieth day thereafter (Register 57, No. 17).
3. Amendment filed 8-24-82; effective thirtieth day thereafter (Register 82, No. 35).
4. Change without regulatory effect amending subsections (a)-(a)(2) filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2337. Nonendowment Care Cemeteries.
Note     •     History

(a) Signs.
(1) Entrance Signs. Each nonendowment care cemetery shall post a sign at each entrance. These signs shall be at least sixteen inches (16”) high and twenty-four inches (24”) wide and shall be prominently mounted upright thus being perpendicular to level ground. Each sign shall contain the following:
(A) A heading containing the words “NONENDOWMENT CARE” in black lettering at least four inches high.
(B) The phrase “This is a nonendowment care interment property” in black lettering at least one and one-quarter  inches (1 1/4”) high.
(2) Office Signs. Each nonendowment care cemetery shall post a sign in the office or offices where sales are conducted. These signs shall be at least eight inches (8”) high and twelve inches (12”) wide and shall contain the following:
(A) A heading containing the words “NONENDOWMENT CARE” in black lettering at least two inches (2”) high. 
(B) The phrase “This is a nonendowment care interment property” in black lettering at least three-fourths inch (3/4”) high.
(b) Contracts, Literature, Etc. There shall be printed at the head of all contracts, literature, publications, etc., of nonendowment care cemeteries the following phrase:
“This institution is operated as a `NONENDOWMENT CARE' Interment Property.”
The lettering shall appear in a minimum of 10-point type and the words “NONENDOWMENT CARE” shall be in capital letters.
NOTE

Authority cited: Section 9630, Business and Professions Code. Reference: Sections 8743 and 8744, Health and Safety Code.
HISTORY

1. New Section 2321 filed 1-16-56; effective thirtieth day thereafter (Register 56, No. 2).
2. Renumbering from 2321 to 2337 filed 9-30-57; effective thirtieth day thereafter (Register 57, No. 17).
3. Amendment of NOTE filed 8-24-82; effective thirtieth day thereafter (Register 82, No. 35).
4. Change without regulatory effect amending subsections (a)(1) and (a)(1)(B)-(a)(2)(A) filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2338. Cemetery Broker.
Note     •     History

Each cemetery broker shall post in a conspicuous place in the office or offices where sales are conducted a legible sign which shall indicate that he or she is a licensed cemetery broker and his or her name shall be clearly indicated thereon. This sign shall be at least five and one-half inches (5 1/2”) high and eight and one-half inches (8 1/2”) wide.
NOTE

Authority cited: Sections 9630 and 9713, Business and Professions Code. Reference: Section 9713, Business and Professions Code.
HISTORY

1. New Section 2322 filed 1-16-56; effective thirtieth day thereafter (Register 56, No. 2).
2. Renumbering from 2322 filed 9-30-57; effective thirtieth day thereafter (Register 57, No. 17).
3. Amendment of NOTE filed 8-24-82; effective thirtieth day thereafter (Register 82, No. 35).
4. Change without regulatory effect amending section filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2339. Form and Content of Crematory Contracts.
Note     •     History

(a) Pursuant to Section 9784 of the Code, every contract shall be in writing and shall contain all of the agreements of the parties. Such a contract shall clearly state the following:
(1) The total contract price.
(2) Terms of payment.
(3) An itemized statement of charges including, as applicable, the following:
(A) Charges for preparation of the body.
(B) Charges for storage.
(C) Charges for permits.
(D) Charges for cremation and disposition.
(E) Charges for transportation.
(F) Any other charges, which shall be particularized.
(b) Any contract, arrangement or plan for the prearrangement of cremation or cremation services shall provide in sufficient detail the manner in which funds paid on account of such arrangements are to be handled including, but not limited to, the following:
(1) The name or names of the persons, firm or entity with custodial responsibility for such funds.
(2) The manner in which such funds and earnings thereon are held.
(3) A provision that any such prearrangement is wholly revocable at any time and that the person establishing such arrangement may recover funds and earnings thereon. Such funds, less an amount not to exceed ten (10) percent of the earned income as a revocation fee, shall be furnished to the person establishing such arrangement within fifteen (15) days of receipt of a notice of revocation as provided in the prearrangement contract.
NOTE

Authority cited: Section 9630, Business and Professions Code. Reference: Section 9784, Business and Professions Code.
HISTORY

1. New section filed 6-25-80; effective thirtieth day thereafter (Register 80, No. 26).
2. Amendment of NOTE filed 8-24-82; effective thirtieth day thereafter (Register 82, No. 35).
3. Change without regulatory effect amending subsections (a) and (b)(3) filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2339.1. Cemetery Contracts; Price Disclosure.
Note     •     History

A contract for the sale of prearranged cemetery services or commodities, the price of which may be modified at the time of delivery of those services or commodities, shall contain the following disclosure statement on the face of the contract in 10-point bold type:
“YOU, THE PURCHASER, WILL HAVE TO PAY, AT THE TIME OF NEED, ANY ADDITIONAL CHARGES RESULTING FROM PRICE INCREASES FOR THE FOLLOWING PREARRANGED SERVICES AND COMMODITIES: .  .  .  .”
Until January 1, 1984, a licensee may comply with this section by obtaining the purchaser's signature on an addendum which contains the disclosure statement. The licensee shall give the purchaser a copy of the signed addendum together with a copy of the contract of sale, and shall retain the original signed addendum and attach it to the contract of sale.
NOTE

Authority cited: Section 9630, Business and Professions Code. Reference: Section 8277, Health and Safety Code.
HISTORY

1. New section filed 12-27-82; effective thirtieth day thereafter (Register 83, No. 1).
§2340. Maintenance of Records.
Note     •     History

(a) Each crematory licensee and each holder of a certificate of authority who operates a crematory shall keep a record of all remains cremated and such record shall contain the following:
(1) Name and address, if known, of the deceased.
(2) Date burial permit was issued.
(3) County issuing burial permit.
(4) Name, address, and relationship of person or persons authorizing cremation and disposition.
(5) Date of the contract for cremation.
(6) Date, time, and place remains were picked up or received by the licensee.
(7) Date and time of cremation.
(8) Date, time, place, and type of disposition of the cremated remains or name of person or entity to whom the cremated remains were released.
(b) Upon abandonment of the license or termination of licensure, records required by this section shall be turned over to a cemetery approved by the bureau or to the bureau.
(c) This section shall not be interpreted to require the holder of a certificate of authority to maintain a separate set of records pertaining to cremations.
NOTE

Authority cited: Section 9630, Business and Professions Code. Reference: Sections 9719 and 9785, Business and Professions Code.
HISTORY

1. New section filed 6-25-80; effective thirtieth day thereafter (Register 80, No. 26).
2. Amendment of Note filed 8-24-82; effective thirthieth day thereafter (Register 82, No. 35).
3. Amendment of subsection (a), and new subsection (c) filed 3-30-90; operative 4-29-90 (Register 90, No. 16). 
4. Editorial correction restoring History 1 and 2 (Register 94, No. 29).
5. Change without regulatory effect amending subsection (b) filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
Article 5. Annual Reports
§2350. Endowment Care Fund Reports.
Note     •     History

The terminology of Section 9650(c) of the Code shall be deemed to require the certificate of the accountant or auditor preparing such statement and shall be deemed to have been complied with when prepared by a licensed independent certified public accountant or public accountant provided that such statements fully and accurately disclose the position of the endowment care fund and that such certificate does not contain disclaimers or qualifications such as to preclude the rendering of an independent opinion.
NOTE

Authority cited: Section 9630, Business and Professions Code. Reference: Section 9650, Business and Professions Code.
HISTORY

1. New section filed 9-30-57; effective thirtieth day thereafter (Register 57, No. 17).
2. Amendment filed 6-25-80; effective thirtieth day thereafter (Register 80, No. 26).
3. Amendment filed 8-24-82; effective thirtieth day thereafter (Register 82, No. 35).
§2351. Crematory Report.
Note     •     History

Each crematory licensee shall file annually with the bureau a written report on the form prescribed by the bureau setting forth:
(a) Total number of cremations made.
(b) Disposition of cremations indicating the number which were:
(1) Burials at sea.
(2) Released to a cemetery authority.
(3) Released to the person or persons who authorized cremation.
(4) Other dispositions (describe).
(c) The amount collected and funded for prearranged cremations.
(d) The amount of funds invested in each of the investments authorized by Section 8778 of the Health and Safety Code.
(e) Each annual report by a crematory licensee accepting funds for prearranged cremations shall be accompanied by a financial statement prepared by an independent licensed certified public accountant or public accountant.
NOTE

Authority cited: Sections 9630 and 9783, Business and Professions Code. Reference cited: Section 9785, Business and Professions Code.
HISTORY

1. New section filed 6-25-80; effective thirtieth day thereafter (Register 80, No. 26).
2. Change without regulatory effect amending first paragraph filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
Article 6. Special Care Funds

Preface
In the establishment of agreements between the cemetery authority and a person or persons bequeathing, granting, or giving funds or property in trust as allowed by the provisions of Section 8775 of the Health and Safety Code, the cemetery authority should consider other provisions of law applicable thereto. As an example thereof, reference is made to Division 3, Parts 4, 5 and 8, Chapters 1 and 2 of the Civil Code dealing with trusts. Further, if these particular trusts are not to be revocable by the trustor, such has been held to constitute an insurance business for which a certificate of authority from the Insurance Commissioner is required (See 4 Ops. Cal. Atty. Gen. 103 (NS-5568); 17 Ops. Cal. Atty. Gen. 24 (50/194)).
§2370. Special Trusts.
Note     •     History

Trusts established for burial purposes pursuant to Section 8775 of the Health and Safety Code including cremation or other commodities or services furnished at the time of and in connection with such cremation or interment are under the supervision of the bureau and must comply with the following requirements:
(a) All moneys paid directly or indirectly and all securities delivered under the trust agreement or any agreement collateral thereto shall constitute the “trust corpus.”
(b) None of the trust corpus shall be used for payment of commission or other expenses of trust administration.
(c) The trust agreement shall specifically set forth any expenses to be charged to the trustor out of income to the trust or any portion of the trut corpus to be retained by the trustees or cemetery authority upon revocation and a copy thereof shall be delivered to the trustor; provided, however, such revocation fee to be retained by the trustee or cemetery authority shall not exceed ten (10) percent of the trust corpus.
(d) Other than as provided in Subsection (c) hereof, the trust income shall be used solely for the purposes authorized by Section 8775 of the Health and Safety Code.
(e) Unless specific property or securities are placed in trust by the trustor, investments of these funds shall be in investments authorized by law--for example, as authorized by Health and Safety Code Sections 8751 and 8751.1 as well as Civil Code Sections 2228 through 2239 and 2261.
NOTE

Authority cited: Section 9630, Business and Professions Code. Reference: Section 8775, Health and Safety Code.
HISTORY

1. New Article 6 filed 11-16-60; effective thirtieth day thereafter (Register 60, No. 23).
2. Amendment filed 9-2-69; effective thirtieth day thereafter (Register 69, No. 36).
3. Amendment filed 12-15-70; effective thirtieth day thereafter (Register 70, No. 51).
4. Amendment filed 8-24-82; effective thirtieth day thereafter (Register 82, No. 35).
5. Change without regulatory effect amending first paragraph filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2380. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et. seq.), the board shall consider the disciplinary guidelines entitled “A Manual of Disciplinary Guidelines for Cemeteries, Crematories, Cremated Remains Disposers, Managers, Brokers, and Salespeople (September 1997)” which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the board in its sole discretion determines that the facts of the particular case warrant such a deviation--for example, the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Section 9630, Business and Professions Code; and Sections 11400.20 and 11400.21, Government Code. Reference: Sections 11400.20, 11400.21 and 11425.50(e), Government Code.
HISTORY

1. New section filed 7-20-98; operative 8-19-98 (Register 98, No. 30). For prior history, see Register 82, No. 35.
Article 7. Disciplinary Proceedings
NOTE

Authority cited: Section 9630, Business and Professions Code.
HISTORY

1. New Article 7 (Sections 2380 and 2381) filed 11-16-60; effective thirtieth day thereafter (Register 60, No. 23).
2. Repealer filed 8-24-82; effective thirtieth day thereafter (Register 82, No. 35).
§2380. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et. seq.), the bureau shall consider the disciplinary guidelines entitled “A Manual of Disciplinary Guidelines for Cemeteries, Crematories, Cremated Remains Disposers, Managers, Brokers, and Salespeople (September 1997)” which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the bureau in its sole discretion determines that the facts of the particular case warrant such a deviation--for example, the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Section 9630, Business and Professions Code; and Sections 11400.20 and 11400.21, Government Code. Reference: Sections 11400.20, 11400.21 and 11425.50(e), Government Code.
HISTORY

1. New section filed 7-20-98; operative 8-19-98 (Register 98, No. 30). For prior history, see Register 82, No. 35.
2. Change without regulatory effect amending section filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2381. False or Misleading Representations.
Note     •     History

Pursuant to Section 9726 of the Code, the bureau may suspend or revoke the license of any cemetery licensee or the certificate of authority of any cemetery corporation which engages in misrepresentation, dishonest dealings or fraudulent conduct in connection with a trust or other agreement authorized by Health and Safety Code Section 8775, including but not limited to misrepresentations concerning the revocability of such instrument or the amount of commission or trust expenses to be paid or deducted thereunder.
NOTE

Authority cited: Section 9630, Business and Professions Code. Reference: Sections 9726, 11200 and 11500, Business and Professions Code.
HISTORY

1. Repealer and new section filed 8-24-82; effective thirtieth day thereafter (Register 82, No. 35).
2. Change without regulatory effect amending section filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2382. Issuance of Citations and Fines.
Note     •     History

(a) The director of the Department of Consumer Affairs is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and fines for violations by a licensee or registrant of the provisions of law referred to in section 2383 of this article.
(b) A citation shall be issued whenever any fine is levied or any order of abatement is issued. Each citation shall be in writing and shall describe with particularity the nature and facts of the violation, including a reference to the statute or regulations alleged to have been violated. The citation shall inform the cited person that if he or she desires a hearing to contest the finding of a violation, that hearing shall be requested by written notice to the director within 30 days of the issuance of the citation. The citation shall be served upon the licensee personally or by certified mail.
(c) The amount of any fine to be levied by the director shall take into consideration the factors listed in section 2384 of this article and shall be within the range set forth in section 2383 of this article. In no case shall the total exceed $2,500 for each investigation.
NOTE

Authority cited: Sections 102.1, 125.9, 148 and 9630, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New article 7.5 and section filed 5-25-93; operative 6-24-93 (Register 93, No. 22).
2. Amendment of section and Note filed 10-2-96; operative 11-1-96 (Register 96, No. 40).
§2383. Fines.
Note     •     History

(a) The fine for a violation of the following provisions shall be from $150 to $1,500:

	Rule	Description

	2340	Maintenance of records
	2370	Special trusts

	Business and Professions Code
	9679	Employing unlicensed salespersons
	9684	Advertising statements
	9702.2	Cemetery broker bond
	9719	Access during inspection
	9743	Scattering remains
	9749	Scattering of remains
	9785	Filing crematory report

	Health and Safety Code
	7050.5	Removal of remains from county
	7051	Removal of remains without authorization
	7051.5	Dental gold and silver
	7052	Disinterment without authority
	7054	Disposal in place other than cemetery
	7054.7(a)	Commingling of cremated remains
	8342	Cremation-casket requirement

	8360	Loans to officers/directors
	8362	Loans to officers/directors
	8733	Trustee fees
	8734	Bond requirement

	8738.2	Endowment care funds
	8747.5	Books and records-availability
	8751	Endowment care fund investments
	8777	Special care funds
	8778	Special care fund investments
	
(b) The fine for a violation of the following provisions shall be from $100 to $1,000:

	Rule	Description

	2339	Crematory contracts
	2351	Crematory report
	2381	Misrepresentation
	
	Business and Professions Code
	9682	Representations re resale of property
	9726	Misrepresentations
	9728	Discharge of salespersons-report
	9744	Cremated remains disposer-permit
	9745	Cremated remains disposer-annual report
	9767	Payment of regulatory charges
	9784	Cremation restrictions
	
	Health and Safety Code
	7053	Failure to release human remains
	8120	Notice re change in cemetery use
	8277	Contracts
	8278	Contract cancellation
	8330	Record of interment
	8331	Record of plot ownership
	8573	Pre-construction sale of crypts
	8726	Endowment care investments
	8732	Trustees
	8732.1	Trustees
	8780	Misrepresentation re endowment care
	8781	Misrepresentation re endowment care
	9550	Mausoleum construction without permit
	
(c) The fines for a violation of the following provisions shall be from $50 to $500:

	Rule	Description

	2336	Nonendowment care signs
	2337	Nonendowment care signs
	2338	Cemetery broker signs
	2339.1	Cemetery contracts
	
	Business and Professions Code
	9680	Compensation to unlicensed brokers
	9709	Display license
	9710	Return license
	9711	Notice of change in location
	9713	Cemetery broker sign
	
	Health and Safety Code
	7055	Removal of human remains
	8276	Charges for markers
	8309	Regulations-availability
	8734	Bond
	8740	Nonendowment care signs
	8741	Endowment care signs-posting
	8744	Nonendowment care contracts
	8745	Revision of signs
	
(d) In his or her discretion, the director may issue a citation containing an order of abatement without levying a fine for the first violation of any provision set forth in subsections (a) through (c) above.
NOTE

Authority cited: Sections 102.1, 125.9, 9630 and 9658, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 5-25-93; operative 6-24-93 (Register 93, No. 22).
2. Amendment of subsection (d) and Note filed 10-2-96; operative 11-1-96 (Register 96, No. 40).
§2384. Citation Factors.
Note     •     History

In assessing an administrative fine or issuing an order of abatement, the director shall give due consideration to the following factors:
(a) The nature and severity of the violation.
(b) The good or bad faith of the cited person or entity.
(c) History of violations of the same or similar nature.
(d) Evidence that the violation was willful.
(e) The extent to which the cited person or entity has cooperated with the department's investigation.
(f) The extent to which the cited person or entity has mitigated or attempted to mitigate any damage or injury caused by the violation.
(g) Such other matters as justice may require.
NOTE

Authority cited: Sections 102.1, 125.9, 148 and 9630, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 5-25-93; operative 6-24-93 (Register 93, No. 22).
2. Amendment of first paragraph, subsection (e) and Note filed 10-2-96; operative 11-1-96 (Register 96, No. 40).
§2385. Failure to Comply with Order.
Note     •     History

(a) The time allowed for the abatement of a violation shall begin the first day after the order of abatement has been served or received. If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, the person cited may request an extension of time from the director in which to complete the correction. Such a request shall be in writing and shall be made within the time set forth for abatement. Any order granting a request for an extension shall be in writing and shall specify the new date for compliance.
(b) An order of abatement shall either be personally served or mailed by certified mail, return receipt requested. When an order of abatement is not contested or if the order is appealed and the person cited does not prevail, failure to abate the violation charged within the time allowed shall constitute a violation and failure to comply with the order of abatement.
NOTE

Authority cited: Sections 102.1, 125.9, 148 and 9630, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 5-25-93; operative 6-24-93 (Register 93, No. 22).
2. Amendment adding subsection (a) designator, amendment of newly designated subsection (a), and amendment of Note filed 10-2-96; operative 11-1-96 (Register 96, No. 40).
§2386. Contest of Citations.
Note     •     History

(a) In addition to requesting a hearing provided for in subdivision (b)(4) of Section 125.9 of the code, the person cited may, within ten (10) days after service or receipt of the citation, notify the director in writing of his or her request for an informal conference regarding the acts charged in the citation. The time allowed for the request shall begin the first day after the citation has been served or received.
(b) The director shall hold, within 30 days from the receipt of the request, an informal conference with the person cited or his or her legal counsel or authorized representative. At the conclusion of the informal conference the director may affirm, modify or dismiss the citation, including any fine levied or order of abatement issued. The director shall state in writing the reasons for his or her action and serve or mail, as provided in subsection (b) of Section 2382, a copy of his or her findings and decision to the person cited within ten days from the date of the informal conference. This decision shall mark the conclusion of the informal conference proceeding.
(c) The person cited does not waive his or her request for a hearing to contest a citation by requesting an informal conference after which the citation is affirmed by the director. If the citation is dismissed after the informal conference, the request for a hearing on the matter of the citation shall be deemed to be withdrawn. If the citation, including any fine levied or order of abatement, is modified, the citation originally issued shall be considered withdrawn and a new citation issued. If a hearing is requested for the subsequent citation, it shall be requested within 30 days of the date of issuance in accordance with subdivision (b)(4) of Section 125.9 of the code.
NOTE

Authority cited: Sections 102.1, 125.9, 148 and 9630, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 5-25-93; operative 6-24-93 (Register 93, No. 22).
2. Amendment of section and Note filed 10-2-96; operative 11-1-96 (Register 96, No. 40).
§2387. Unlicensed Practice.
Note     •     History

The director of the Department of Consumer Affairs may issue citations against any unlicensed person who is acting in the capacity of a licensee under the jurisdiction of the department and who is not otherwise exempt from licensure. A citation issued pursuant to this section shall comply with Section 125.9 of the code. Each citation may contain an assessment of an administrative fine, an order of abatement fixing a reasonable period of time for abatement of the violation, or both an administrative fine and an order of abatement. Administrative fines shall be in a range from $250 to $2,500 for each investigation. Any sanction authorized for activity under this section shall be separate from and in addition to any other civil or criminal remedies.
NOTE

Authority cited: Sections 102.1, 125.9, 148 and 9630, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 5-25-93; operative 6-24-93 (Register 93, No. 22).
2. Amendment of section and Note filed 10-2-96; operative 11-1-96 (Register 96, No. 40).
§2388. Failure to File Annual Report.
Note     •     History

(a) Any cemetery authority that does not file the annual report required by Section 9650 of the Business and Professions Code within the time prescribed by said Code shall be assessed a fine by the director in the amount of four hundred dollars ($400) per month for a maximum of five months.  Failure to pay the fine within fifteen (15) days after receipt of written notification of the assessment or, where a timely request for waiver or reduction of the fine has been filed with the director, within fifteen (15) days after receipt of written notification of the director's decision in the matter, shall be cause for disciplinary action.
(b) A cemetery authority may request waiver or reduction of a fine by making a written request to the director therefor.  The request shall be postmarked within the time specified above for payment of the fine and shall be accompanied by a statement showing good cause for the request.
(c) The director may waive or reduce the fine where a timely request is made and where he or she determines, in his or her discretion, that the cemetery authority has made a sufficient showing of good cause for the waiver or reduction.
(d) In addition to requesting a hearing to be held pursuant to Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code, the person cited may, within fifteen (15) days after service or receipt of the citation, notify the director in writing of his or her request for an informal conference regarding the acts charged in the citation.  The time allowed for the request shall begin the first day after the citation has been served or received.  An informal conference shall be in accordance with the procedures delineated in Section 2386, subdivisions (b) and (c).
NOTE

Authority cited: Sections 102.1, 125.9, 9630 and 9650.4, Business and Professions Code. Reference: Sections 125.9, 9650.4 and 9725, Business and Professions Code.
HISTORY

1. New section filed 10-2-96; operative 11-1-96 (Register 96, No. 40).
2. Amendment of subsection (a) filed 6-17-97; operative 7-17-97 (Register 97, No. 25).
Article 9. Private Mausoleums and Columbariums
§2390. Construction.
Note     •     History

(a) Private mausoleums and columbariums shall be constructed as allowed in Section 9600.6 of the Health and Safety Code.
(b) Solid type construction of private mausoleums and columbariums shall also comply with the methods and standards set forth in Part 5 of the Mausoleum and Columbarium Law, (commencing with Section 9501 of the Health and Safety Code), with the exception of Sections 9627, 9632, and 9646, and with the addition of the following construction methods:
Solid type construction is construction in which all bearing walls, beams, columns, floor slabs, and roof consists of marble or granite blocks, in solid form, pinned with non-corrosive structural metal pins as hereinafter described. The foundations and footings shall be of poured-in-place reinforced concrete designed and constructed in conformity with the Uniform Building Code. All bearing walls, beams, columns, floor slabs, and roof shall be constructed in conformity with the requirements set forth in the Uniform Building Code, except as otherwise provided in this section. Structural members shall be not less than six inches (6”) thick, if of granite construction, and eight inches (8”) thick, if of marble construction. Each structural part shall be properly pinned and anchored to each other structural part. All vertical joints shall be pinned a maximum of thirty-six inches (36”) on centers, with pins a maximum of eighteen inches (18”) from a horizontal joint, or pinned with one pin per joint section, whichever spacing is smaller. All horizontal points shall be pinned a maximum of twenty-four inches (24”) on centers, or in the case of wall slabs of width greater than twenty-four inches (24”), each slab shall be pinned to roof and floor with at least two pins. No pins shall be closer than four inches (4”) to the corner of a stone. Pins shall be bronze, stainless steel or other non-corrosive structural metal, at least three-fourths inch (3/4”) in diameter and six inches (6”) long. Pins shall be properly grouted in one (1”) holes drilled to a minimum depth of three inches (3”), except the foundations, where they shall be set in place when the concrete is poured. Each course shall be properly grouted solid. All joints services shall be properly roughened to give the binding surfaces a roughness necessary for proper binding. At all vertical joints there shall be proper cramps at each joint line of a similar non-corrosive variety. No course shall be less than eighteen inches (18”) in height, and thirty-six (36”) in length. The roof stone shall be pinned to the side walls. All joints shall be large enough to allow for expansion and contraction, and shall be raked at least one-half inch (1/2”) deep, unless constructed of single slabs. Where granite or marble roof is constructed of more than one piece, and pitch is three inches (3”) per twelve inches (12”) or less, up-slope pieces must overlap down-slope pieces by a minimum of eight inches (8”). For pitches more than three inches (3”) to six inches (6”) per twelve inches (12”), this minimum overlap shall be four inches (4”). For a slope steeper than six inches (6”), this minimum overlap shall be one and one inches (1 1/2”). Where granite or marble roof stone is level or nearly level, and terminated in a vertical joint on one or more sides, this vertical joint shall be protected by a superimposed cap, along whose edge a drainage trough shall be cut in the roof stone of such size and slope as to prevent moisture from entering the bed joint between roof stone and cap. All interior and exterior fastenings for hangers, clips, doors, and other objects shall be of copper base alloy, aluminum, copper, or stainless steel of adequate gauges. All exterior metals used for doors, window frames, skylights, gutters, downspout, flashing, or in embellishment shall be of copper, copper-based alloy, aluminum, or stainless steel of gauges structurally determined.
NOTE

Authority cited: Sections 102.1 and 9630, Business and Professions Code. Reference: Section 9600.5, Health and Safety Code.
HISTORY

1. New article 9 (section 2390) and section filed 12-6-96; operative 1-5-97 (Register 96, No. 49).
Division 24. Certified Shorthand Reporters Board
Article 1. General Provisions
§2400. Location of Offices.
Note     •     History

The principal office of the board shall be located in Sacramento, California.
NOTE

Authority cited: Section 8007, Business and Professions Code. Reference: Section 8005, Business and Professions Code.
HISTORY

1. New Chapter 24 filed 8-4-58; effective thirtieth day thereafter (Register 58, No. 14).
2. Amendments filed 1-2-59 and 1-6-59 as organizational and procedural rules; effective upon filing (Register 59, No. 2).
3. Amendment filed 6-7-62; effective thirtieth day thereafter (Register 62, No. 11).
4. Amendment filed 10-30-63 as procedural and organizational; effective upon filing (Register 63, No. 20).
5. Amendment of NOTE filed 3-10-82 as procedural and organizational; effective upon filing (Register 82, No. 11).
6. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
7. Amendment filed 5-1-89; operative5-31-89 (Register 89, No. 18).
§2401. Gender.
Note     •     History

As used in this chapter, the masculine gender includes the feminine.
NOTE

Authority cited: Section 8007, Business and Professions Code. Reference: Section 8007, Business and Professions Code.
HISTORY

1. New NOTE filed 3-10-82 as procedural and organizational; effective upon filing (Register 82, No. 11).
2. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§2402. Definitions.
Note     •     History

As used in this chapter, unless the context otherwise requires:
(a) “Board” means the Court Reporters Board of California.
(b) “Code” means the Business and Professions Code.
NOTE

Authority cited: Section 8007, Business and Professions Code. Reference: Section 8007 and Chapter 13, Division 3, Business and Professions Code.
HISTORY

1. New NOTE filed 3-10-82 as procedural and organizational; effective upon filing (Register 82, No. 11).
2. Amendment of subsection (a) filed 1-20-2000; operative 2-19-2000 (Register 2000, No. 3).
§2404. Delegation of Certain Functions.
Note     •     History

The power and discretion conferred by law upon the board to receive and file accusations; issue notices of hearings, statements to respondent and statements of issues; receive and file notices of defense; determine the time and place of hearings under Section 11508 of the Government Code; issue subpoenas and subpoenas duces tecum; set and calendar cases for hearing and perform the other functions necessary to the orderly dispatch of the business of the board in connection with proceedings conducted in accordance with Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code, prior to the hearing of such proceedings; and the certification and delivery or mailing of copies of decisions under Section 11518 of said code are hereby delegated to and conferred upon the executive officer.
NOTE

Authority cited: Section 8007, Business and Professions Code. Reference: Sections 8005 and 8008, Business and Professions Code.
HISTORY

1. New NOTE filed 3-10-82 as procedural and organizational; effective upon filing (Register 82, No. 11).
2. Amendment filed 5-1-89; operative 5-31-89 (Register 89, No. 18).
§2405. Filing of Addresses.
Note     •     History

NOTE

Authority cited: Section 8007, Business and Professions Code.
HISTORY

1. Amendment filed 6-7-62; effective thirtieth day thereafter (Register 62, No. 11).
2. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§2406. License Numbers Required.
Note     •     History

A reporter licensed under Chapter 13 of Division 3 of the Code shall list his license number on the cover page and certificate page of each deposition, court transcript, or transcript of other legal proceedings. The license number shall also be included in any and all presentments to the public including but not limited to advertising, solicitation, business cards, stationery and telephone listings.
NOTE

Authority cited: Sections 137 and 8007, Business and Professions Code. Reference: Section 137, Business and Professions Code.
HISTORY

1. New section filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20).
2. Amendment of NOTE filed 3-10-82 as procedural and organizational; effective upon filing (Register 82, No. 11).
3. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§2407. Review of Certified Shorthand Reporters Applications.
Note     •     History

(a) The following shall apply to applications for Certified Shorthand Reporters Certificates requiring examination:
(1) The Board shall inform an applicant in writing within thirty (30) days of receipt of the application and required fee whether the application is complete and has been referred for examination or is deficient and what specific information is required.
(2) When an application is resubmitted which was previously rejected for deficiencies, the Board shall decide within five (5) days of receipt whether the application is complete or whether further specific information is required.
(3) The Board shall render a decision concerning a candidate's examination results within one hundred (100) days after the candidate has been notified by the Board of his or her eligibility to take the Certified Shorthand Reporters Board examination. This processing time applies to those candidates who take the first available examination.
NOTE

Authority cited: Section 8007, Business and Professions Code. Reference: Section 15376, Government Code.
HISTORY

1. New section filed 8-30-91; operative 9-30-91 (Register 92, No. 1).
§2408. Processing Time.
Note     •     History

The minimum, median and maximum processing time for written examination results from the time of receipt of a complete application until the Board makes a decision thereon is set forth below:

	Minimum:	3 days
	Median:	45 days
	Maximum:	100 days
The processing times set forth above shall apply to those candidates who submit a completed written examination application on or before the examination filing deadline.
NOTE

Authority cited: Section 8007, Business and Professions Code. Reference: Section 15376, Government code.
HISTORY

1. New section filed 8-30-91; operative 9-30-91 (Register 92, No. 1).
§2409. Review of Application for Registration as a Shorthand Reporting Corporation.
Note     •     History

(a) The following provisions shall apply to applications for registration as a shorthand reporting corporation not requiring examination:
(1) The Board shall inform an applicant for registration as a shorthand reporting corporation, which application does not require examination, within thirty (30) days of receipt of the application and required fee whether the application is complete or whether the application is deficient, and where deficient shall state what specific information is required.
(2) When an application is resubmitted which was previously rejected for deficiencies, the Board shall decide within five (5) days of receipt whether the application is complete and accepted for filing. If the application remains deficient, the Board shall inform the applicant, in writing, within five (5) days of receipt what specific information is required.
(3) The Board shall decide and notify the applicant within ten (10) days after the fee and completed application have been received, whether an applicant meets the requirements for registration.
(4) The minimum, median and maximum times for processing an application for registration as a certified shorthand reporting corporation, without examination, from the time of receipt of the application until the Board decides to issue the certificate based upon the Board's actual performance during the two (2) years preceding the proposal of this section were as follows;

	Minimum:	10 days
	Median:	30 days
	Maximum:	60 days
NOTE

Authority cited: Section 8007, Business and Professions Code. Reference: Section 15376, Government Code.
HISTORY

1. New section filed 8-30-91; operative 9-30-91 (Register 92, No. 1).
Article 2. Court Reporting Schools
§2411. Criteria for Recognition of Court Reporting Schools; Continued Validity; Reports.
Note     •     History

A recognized court reporting school shall offer at least the following minimum prescribed course of study for not less than the hours specified in order to obtain and maintain board approval:

(a) Machine Shorthand and transcription	2300
(1) The program shall include classroom lecture or non-lecture instruction in the mastery of making verbatim records of depositions, hearings, meetings, conventions and judicial proceedings, by means of machine shorthand writing, and the accurate transcription of such proceedings.  
(2) Tests used to qualify students to sit for the CSR exam shall be transcribed under direct supervision. Schools may require all other tests to be transcribed under supervision.
(3) When the student reaches a proficiency of 80 words per minute on unfamiliar material, the student shall be required to transcribe dictation from stenographic notes of varying difficulty and subject matter of a length equal to five minutes.
(4) Individual dictation classes, other than theory classes, shall include only students whose tested writing speeds are within the same 20-30 words per minute range on similar dictation material.
(5) Students shall be provided the opportunity to read back from their stenographic notes a minimum of one time each day.
(6) Schools shall provide students with the opportunity to practice with school-approved speed-building material a minimum of one hour per day after school hours.
(7) These hours may be reduced if a student is able to pass the qualifier exam defined in section 2412 of this chapter before having completed these hours.

(b) English	240
A minimum of 150 of these hours shall be in classroom lecture or non-lecture instruction. Instruction in the  fundamentals of English grammar and  usage with emphasis on sentence structure, punctuation, spelling, capitalization, and vocabulary development.

(c) Medical	120
A minimum of 75 of these hours shall be in classroom lecture or non-lecture instruction. Instruction, dictation, and transcription in human anatomy, including definitions of medical prefixes and suffixes and terminology.

(d) Legal	150
A minimum of 100 of these hours shall be in the classroom lecture or non-lecture instruction. Instruction, dictation, and transcription material shall cover diverse subject areas including, but not limited to the following:
(1) Legal Terminology.
The general concepts of the law of real and personal property, torts, contracts, probate, family, business, criminal, evidence, and civil procedure.
(2) Court and Deposition Procedures.
(A) The responsibility of the reporter in the courtroom, including the reporting of jury impanelment, opening statements, testimony, objections, summations, jury instructions, approaching the bench, in camera proceedings, and reading back to the jury.
(B) The responsibility of the reporter in depositions, including administering oaths, the reporting of testimony and objections, reporting with an interpreter, reading back, directing (citing) the witness, certifying questions, and marking exhibits.
(C) Management of pertinent records, including stenographic notes, work sheets, financial records, daily reporting jobs, exhibits and transcripts.
(3) Ethics of the Court Reporting Profession.
The professional responsibilities of a reporter, including, but not limited to, those outlined in the Professional Standards of Practice.
(4) The California law and regulations and California Rules of Court affecting Certified Shorthand Reporters.

(e) Keyboarding 	45 words per minute net
A course to prepare students to achieve a typing proficiency of 45 words per minute.

(f) Transcript Preparation	25
(1) Instruction in the current methods for preparing and producing a complete transcript, including, but not limited to, equipment and formatting standards.
(2) Instruction in the preparation of transcripts, including covers, appearance pages, index pages, speaker identification, certificates, and exhibits, and the preparation of work sheets.
(3) Development of proofreading skills in order to produce an accurate, verbatim transcript.

(g) Resource Materials	5
Instruction in accessing  resource materials including via the internet to provide the student with the ability to use such materials, including, but not limited to, case citations, codes, almanacs, directories, street atlases, and dictionaries.

(h) Apprenticeship Training	60
(1) Before the student attains a proficiency of 120 words per minute, the student shall observe a minimum of five hours of proceedings in a court of record.
After attaining a proficiency of 120 words per minute and before attaining a proficiency of 180 words per minute, the student shall observe a minimum of five hours of proceedings in a court of record.
(2) When the student reaches a proficiency of 180 words per minute, the student shall sit in and report with a certified shorthand reporter 40 hours of court proceedings or depositions of which a minimum of 10 hours shall be in depositions and a minimum of 10 hours shall be in court.
A maximum of 10 hours of this training may be gained in reporting mock proceedings sponsored by a law firm or by a law school.
(3) The student shall be required to transcribe and submit to the school for approval a minimum of 20 consecutive pages from stenographic notes taken at a court proceeding and a minimum of 20 consecutive pages from stenographic notes taken at a deposition in compliance with the Minimum Transcript Format Standards.
(4) After attaining a speed of 160 words per minute, the student shall receive a minimum of 10 hours additional instruction to review the following categories:
A. Court and deposition procedures
B. Professional practice and ethics, including the Professional Standards of Practice
C. Legal research and the California Codes
D. Job preparation skills including professional appearance and etiquette, attitude and demeanor, interviewing skills, and resume writing.
(5) Schools shall document that they provide students with the opportunity to interact with professional court reporters at least four times per calendar year, to offer mentoring, counseling, guest speakers, job shadowing, etc.

(i) Technology	60
(1) The student shall demonstrate knowledge of basic computer terminology and the ability to manage the computer operating system outside the specialized Computer Aided Transcription (CAT) software, including, but not limited to, functions such as deleting, moving, and renaming files, and creating electronic files.
(2) The student shall demonstrate an understanding of the concepts of litigation support, Web streaming, Communication Access Realtime Translation (CART), Best Practices for the use of Backup Audio Media (BAM), and captioning.
(3) The student shall demonstrate the ability to produce a transcript from the student's own stenographic notes in compliance with the Minimum Transcript Format Standards.
(4) The student shall spend a minimum of 10 hours in realtime writing.
The student shall also demonstrate the ability to set up and connect the components to provide interactive realtime. Interactive realtime is defined as the student outputting to a second computer.
(5) The student shall demonstrate knowledge of how to prepare an  electronic file from the student's own stenographic notes.

TOTAL MINIMUM PRESCRIBED ACADEMIC HOURS	660
(j) A recognized court reporting school may grant equivalent proficiency for one or more classes to applicants who have provided proof of prior educational or practical experience which is directly related to classes described in Section 2411(a) of this chapter.
(k) A recognized court reporting school shall provide access to a library of reference materials. This access shall be provided on campus. On-campus access may include online access. These materials shall include at least the following:
(1) Current reference materials shall include at a minimum: Business & Professions Code, Sections 8000 through 8047; Title 16, California Code of Regulations, Division 24, Sections 2400 through 2481; Code of Civil Procedure, Sections 2021 and 2025; Government Code, Chapter 5, Article 9, commencing with section 69941; and California Rules of Court.
(2) Current reference materials shall include at a minimum: California Civil Code, Code of Civil Procedure, Evidence Code, Government Code, Penal Code, Welfare and Institutions Code, Health and Safety Code, Probate Code, Family Code and Labor Code; a world atlas, a world almanac, a local street atlas, standard and specialty dictionaries, drug manufacturer reference, and directory of attorneys. 
In addition, the Board recommends that the school also maintains current professional association publications and current publications including at least one daily newspaper and magazines such as Time, Newsweek, Business Week, Money, Inc., Fortune, etc.
(l) Whenever there has been a change in school status as set forth in Section 8027(f) of the Business and Professions Code, the change or changes as specified shall be reported to the board as required by Business and Professions Code Section 8027(f). Such report shall be in writing on the letterhead of the school or other stationery setting forth the current name, address and telephone number of the school, and shall be signed by the responsible program manager, the school owner, the responsible corporate officer if the school is a corporation or the responsible partner if the school is a partnership.
(m) All annual statements filed with the board by court reporting schools in compliance with Section 8027(k) of the Business and Professions Code shall be in writing on the letterhead of the school or other stationery setting forth the current name, address and telephone number of the school and shall have enclosed or attached thereto the current school catalog as specified by Section 8027(l).
(n) Each court reporting school shall advise all applicants to its court reporting program of the existence and purpose of the board, including the board's address, telephone number, and Web site which shall be prominently displayed in any catalogs or Web sites which include course offerings.
NOTE

Authority cited: Section 8007 Business and Professions Code. Reference: Sections 8007, 8020 and 8027, Business and Professions Code.
HISTORY

1. Amendment of subsections (b), (c), and (d)(1) filed 5-18-79; effective thirtieth day thereafter (Register 79, No. 20). For prior history, see Register 74, No. 34; 70, No. 19; 62, No. 11.
2. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39). CROSS REFERENCE: Section 2419.
3. Amendment of subsections (a) and (b) and new subsections (c)-(f) filed 5-1-89; operative 5-31-89 (Register 89, No. 18).
4. Amendment of section heading, repealer of first paragraph and subsections (a)(5), (a)(6), (a)(8), and (a)(10), subsection renumbering, and amendment of subsections (a)(1)-(a)(7) and (f) filed 1-8-93; operative 2-8-93 (Register 93, No. 2).
5. Amendment filed 1-20-2000; operative 2-19-2000 (Register 2000, No. 3).
6. Amendment of subsection (a)(1)(A) filed 12-17-2001 as an emergency; operative 1-1-2002 (Register 2001, No. 51). A Certificate of Compliance must be transmitted to OAL by 5-1-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 12-17-2001 order transmitted to OAL 4-9-2002 and filed 5-21-2002 (Register 2002, No. 21).
8. Amendment filed 12-9-2002; operative 1-8-2002 (Register 2002, No. 50).
9. Amendment of section and Note filed 8-31-2011; operative 9-30-2011 (Register 2011, No. 35).
§2412. Qualifier Exams.
Note     •     History

Schools are prohibited from requiring more than one qualifier examination as defined: The qualifier exam shall consist of unfamiliar material. The material shall be 4-voice testimony of 10-minute duration, dictated at 200 wpm and graded at 97.5% accuracy, and in accordance with the method by which the board grades the licensing examination. Schools shall date and number each qualifier and announce such date and number to the students at the time of administering the qualifier. Schools shall record the following information for each qualifier, for each date on which it was administered, 1) the actual duration of the dictated test, 2) the number of students that took the test, 3) the number of students that transcribed the test, and 4) the number of students that passed the test. The school shall maintain the qualifier and catalogue the required information related to each qualifier test for a period of not less than three years for the purpose of inspection by the Board. Qualifiers shall not be dictated more than once in any twelve-month period.
NOTE

Authority cited: Section 8007, Business and Professions Code. Reference: Sections 8007 and 8027, Business and Professions Code.
HISTORY

1. New section filed 12-17-2001 as an emergency; operative 1-1-2002 (Register 2001, No. 51). A Certificate of Compliance must be transmitted to OAL by 5-1-2002 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 83, No. 39.
2. Certificate of Compliance as to 12-17-2001 order transmitted to OAL 4-9-2002 and filed 5-21-2002 (Register 2002, No. 21).
§2413. References. [Repealed]
Note     •     History

NOTE

Authority cited: Section 8007, Business and Professions Code. Reference: Section 8022, Business and Professions Code.
HISTORY

1. Amendment filed 8-20-74; effective thirtieth day thereafter (Register 74, No. 34).
2. New NOTE filed 3-10-82 as procedural and organizational; effective upon filing (Register 82, No. 11).
3. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39). CROSS REFERENCE: Section 2419.
§2414. Definitions.
Note     •     History

(a) Any person teaching an academic course, that is a course other than machine shorthand or keyboarding, in a court reporting program, shall meet at least one of the following criteria:
(1) Possess at a minimum a Bachelor of Arts or Bachelor of Science degree.
(2) Possess at a minimum either an Associate degree in the subject being taught and two years of experience in a related field, or an Associate degree not in the subject being taught and four years of experience in a related field.
(3) Possess a current license as a certified shorthand reporter or an RPR certificate from the National Court Reporters Association, and in addition, a minimum of two years of experience in a related field.
(4) Possess a minimum of four years of experience teaching the subject being taught or a minimum of four years of experience in a job substantially related to the subject being taught.
(b) Any person teaching a machine speed-building course, that is a course other than an academic course or keyboarding, shall meet one of the following criteria:
(1) Possess at a minimum a Bachelor of Arts or Bachelor of Science degree.
(2) Possess at a minimum either an Associate degree in the subject being taught or an Associate degree not in the subject being taught and  two years of experience in a related field.
(3) Possess a current license as a certified shorthand reporter or an RPR certificate from the National Court Reporters Association.
(4) Completed all requirements of a California recognized court reporter training program through the 180 word per minute machine speed class and possesses two years of teaching experience.
(c) Any person hired as a reader by a school shall be trained by the school and shall demonstrate proficiency using a stopwatch, enunciating standard English, familiarity with common phrasing, and a propensity for maintaining consistency within the same speed level.
(d) A “full-time student” shall be defined as enrolled in school for a minimum of 24 clock hours per week or successfully maintaining either 12 credits per semester or 12 credits per quarter, including 10 hours of live dictation machine speed classes per week.
(e) “Classroom lecture” is defined as an instruction course in which both the student and the instructor are physically present at the same time in the same classroom.
(f) “Online instruction” is defined as instruction which may be in realtime, virtual-time, or any combination thereof, and which meets the requirements of non-lecture instruction as defined in subsection (h).
(g) “Instruction” is defined as instructor directed activities including classroom lecture, non-lecture instruction and other directed activities identified in course outlines that lead to the accomplishment of the identified learning outcomes.
(h) “Non-lecture instruction” is defined as any academic course under this article that is taught in a non-lecture instruction setting. The school shall prepare and maintain a written statement outlining the course objectives, proposed learning outcomes, the methods of measuring those outcomes, and how this method of instruction meets the course objectives and outcomes. Such instruction requires the availability of an instructor and interim evaluations.
(i) “Direct supervision” shall provide verification of the student's identity, the reasonable assurance that the student is the author of any work product, and shall protect testing and qualifier materials. Direct supervision may take the form of physical or non-physical observation of the student, comparison of work product against stenographic notes, or other methods, as determined and reviewed and approved by the Board.
(j) “Interactive realtime” is defined as the student outputting to a second computer.
NOTE

Authority cited: Section 8007, Business and Professions Code. Reference: Sections 8007 and 8027, Business and Professions Code.
HISTORY

1. New section filed 12-9-2002; operative 1-8-2002 (Register 2002, No. 50).
2. Amendment of subsections (a)(2), (a)(4) and (b), repealer of subsection (b)(5), amendment of subsections (c)-(d) and (h) and new subsections (i)-(j) filed 8-31-2011; operative 9-30-2011 (Register 2011, No. 35).
Article 3. Examination Requirements, Applications and Procedures
§2418. Examination Application.
Note     •     History

(a) Application for examination shall be made on a form prescribed by the board, accompanied by such evidence, statements, or documents as are therein required and by the required fee. An application for examination shall be filed with the board's principal office not less than forty-five (45) days prior to the date set for the examination for which the applicant wishes to be scheduled.
(b) To be eligible for examination, an applicant must present evidence satisfactory to the board of having met one of the requirements enumerated in Section 8020 of the Code within five years immediately preceding the date of the applicant's most recent application for examination or reexamination.
(c) A person seeking to qualify pursuant to subsection (a) of Section 8020 of the Code shall submit the following with the application;
(1) The name, address and type of business of at least three references.
(2) One or more affidavits or declarations executed by persons employing the applicant which certify that the applicant has obtained a total of at least one year of experience in making contemporaneous verbatim records of depositions, arbitrations, hearings, or judicial or related proceedings by means of machine shorthand writing and transcribing such records. This experience must consist of contemporaneous multiple-voice proceedings as would occur in hearings, court proceedings, or depositions. The following types of experience do not satisfy the experience qualifications of this section: captioning, reporting classroom lectures, conferences, police or similar reports, or the transcribing of tapes such as police reports, medical dictation or similar materials.
As used in subsection (a) of Section 8020 of the Code one year means at least 1,400 hours engaged in actually making verbatim records, exclusive of travel.
(d) A person seeking to qualify under subsection (b) of Section 8020 must be enrolled and attending classes at the school through which the applicant qualifies for not less than forty-five (45) days prior to the date the student completes all the qualifications for the certificate. The Board may waive the forty-five (45) day residency requirement upon a showing by the applicant that the change of schools was necessitated by extenuating circumstances such as a spouse being transferred by his or her employer.
(e) A person seeking to qualify under the “equivalent proficiency” provision of subsection (b) of Section 8020 shall submit with his/her application a certificate from a recognized court reporting school evidencing equivalent proficiency in lieu of completion of the minimum prescribed course of study in a recognized court reporting school. Such certificate shall also attest to the applicant's ability to make a verbatim record of unfamiliar material, with four voice dictation, at a speed of 200 words per minute for ten minutes with a minimum of 97.5 percent accuracy and shall be known as a “qualifier” graded in accordance with the method by which the board grades the licensing examination.
(f) A person seeking to qualify under the “valid license” provision of subsection (e) of Section 8020 of the Code shall submit with the application evidence that the applicant possesses an out-of-state license issued pursuant to a statute after completion of all statutory requirements of that state and which is in full force and effect at the time the application is filed with the board.
NOTE

Authority cited: Section 8007, Business and Professions Code. Reference: Sections 8007 and 8027, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 2419 to Section 2418 filed 5-1-89; operative 5-31-89 (Register 89, No. 18). For prior history, see Register 88, No. 45.
2. Amendment of subsection (c)(2), new subsection (d), subsection relettering and amendment of newly designated subsection (e) filed 1-20-2000; operative 2-19-2000 (Register 2000, No. 3).
3. Amendment of subsection (e) and amendment of Note filed 12-17-2001 as an emergency; operative 1-1-2002 (Register 2001, No. 51). A Certificate of Compliance must be transmitted to OAL by 5-1-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-17-2001 order transmitted to OAL 4-9-2002 and filed 5-21-2002 (Register 2002, No. 21).
5. Amendment of subsection (d) filed 12-9-2002; operative 1-8-2002 (Register 2002, No. 50).
§2419. Time and Place of Holding Examination; Crediting of Fees.
Note     •     History

(a) Applicants who have been found to be qualified for the examination pursuant to the code and these regulations shall be notified in writing of the time and place of their assigned examination.
(b) An applicant who fails to appear for examination after being notified of eligibility therefor pursuant to subdivision (a) of this section, shall be deemed to have abandoned the application. In order to again become eligible for the examination, such person shall file a new application, pay a new application fee, except as provided in subdivision (d) of this section, and otherwise comply in all respects with the provisions of the code and these regulations in the same manner as required of an original applicant.
(c) An applicant who commences but does not finish the assigned examination, or who otherwise fails such examination, shall not be eligible for any future examination except upon filing a new application, paying a new application fee, except as provided in subdivision (d) of this section, and otherwise complying in all respects with the provisions of the code and these regulations in the same manner as required of an original applicant.
(d) An applicant who fails to appear for the examination as specified in subdivision (b) of this section, or who commences the examination and fails to complete the examination as specified in subdivision (c) of this section shall have their application fee credited toward the payment of the application fee for the next scheduled examination for one time only, on the following conditions and for the following stated reasons:
(1) The applicant petitions the board in writing for a credit of this application fee either before, or within ten (10) days after the examination for which the applicant failed to appear or failed to complete; and
(2) The applicant provides with their petition, written certification of the following reasons for their failure to appear or failure to complete the examination:
(A) Reasons of health as certified by a medical doctor.
(B) That the applicant, or the applicant's spouse, has been transferred to another state or country as certified by the employer who is requiring the transfer; or
(C) Other good cause as deemed sufficient by the board.
(e) Except for the single, one-time credit as specified in subdivision (d) of this section, there shall be no cash or other refund of any application fee to any applicant.
NOTE

Authority cited: Section 8007, Business and Professions Code. Reference: Sections 8005, 8021, 8022 and 8023, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 2419 to Section 2418, and renumbering and amendment of former Section 2420 to Section 2419 filed 5-1-89; operative 5-31-89 (Register 89, No. 18). For prior history, see Register 88, No. 45.
§2420. Examination Required, Passing Grades and Conditional Examination Credit.
Note     •     History

(a) The examination shall consist of three divisible parts:
(1) English,
(2) Professional Practice, and
(3) Dictation/Transcription (Machine/Skill).
The passing grades for the Dictation/Transcription part of the examination is 97.5%. The passing grades for the two written knowledge parts of the examination (English and Professional Practice) shall be determined by the Angoff criterion-referenced method. Such passing scores may vary moderately with changes in test composition. Any examinee who obtains a grade which equals or exceeds the passing score determined by the Angoff method will be deemed to have passed the applicable portion of the examination, assuming the other requirements of this section are met.
(b) An applicant must take and pass all three parts of the examination within three (3) consecutive years to have passed the examination. The three (3) year period shall begin from the date of the examination or any part of the examination for which the applicant is first scheduled.
(c) After a period of three months has elapsed, an applicant may repeat any part of the examination. However, no applicant may repeat any part of the examination unless or until a new version of the examination has been introduced.
(d) Notwithstanding subsection (b), an applicant who passes a part of the examination shall receive conditional credit for passing that part and may retake the remaining part(s).
(e) The period of time designated in subsection (b) maybe extended by the board for a period of time not to exceed one (1) year upon the showing of extraordinary extenuating circumstances.
NOTE

Authority cited: Section 8007, Business and Professions Code. Reference: Sections 135, 8020 and 8023, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 2420 to Section 2419 and new Section 2420 filed 5-1-89; operative 5-31-89 (Register 89, No. 18). For prior history, see Registers 88, No. 45 and 83, No. 39.
2. Amendment of subsection (a)(3) filed 1-8-93; operative 2-8-93 (Register 93, No. 2).
3. Amendment of subsection (b), new subsection (c), subsection relettering and amendment of newly designated subsections (d) and (e) filed 10-18-2001; operative 11-17-2001 (Register 2001, No. 42).
§2421. Identifying Numbers to Be Assigned to Examinees.
Note     •     History

The identity of each candidate shall be and remain unknown to the board until after final results are announced. Before the commencement of the examination, an identifying number shall be assigned to each candidate. The candidate shall enter such number on each group of papers used in the examination and shall not enter his name at any place on the examination papers.
NOTE

Authority cited: Section 8007, Business and Professions Code. Reference: Sections 8007 and 8021, Business and Professions Code.
HISTORY

1. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§2422. Inspection of Examination Papers; Notification.
Note     •     History

(a) Each examinee shall be notified in writing whether he/she has passed or failed the examination.
(b) An examinee who has failed the examination may inspect his/her transcript by so requesting in writing sent to the board at its principal office within 30 days of the date appearing on the notification of the examination results. An examinee will be permitted to inspect only his/her transcript and a copy of the board's official transcript.
(c) An examinee may request the board to reconsider his/her examination results. Such request for reconsideration shall be filed with the board at its principal office no later than 45 days following the date appearing on the notification of the examination results. It shall be in writing and shall specify the grounds upon which it is based.
NOTE

Authority cited: Section 8007, Business and Professions Code. Reference: Section 8005, Business and Professions Code.
HISTORY

1. Amendment of subsection (b) filed 8-20-74; effective thirtieth day thereafter (Register 74, No. 34).
2. New NOTE filed 3-10-82 as procedural and organizational; effective upon filing (Register 82, No. 11).
3. Amendment of subsection (b) and new subsection (c) filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
4. Amendment filed 1-20-2000; operative 2-19-2000 (Register 2000, No. 3).
§2423. Destruction of Examination Papers.
Note     •     History

The examination papers of all examinees shall be destroyed ninety (90) days following the date written notice of the results of the examination was mailed to all examinees.
NOTE

Authority cited: Section 8007, Business and Professions Code. Reference: Section 8005, Business and Professions Code.
HISTORY

1. Amendment filed 5-4-70; effective thirtieth day thereafter (Register 70, No. 19).
2. New NOTE filed 3-10-82 as procedural and organizational; effective upon filing (Register 82, No. 11).
3. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
Article 4. Certificates
§2430. Issuance of Duplicate Certificates.
Note     •     History

(a) The board may issue a duplicate certificate to a certificate holder upon the written request therefor by such certificate holder. Such request shall be accompanied by the required fee and an affidavit or declaration in a form provided by the board showing to its satisfaction the loss, mutilation or destruction of his original certificate.
(b) A certificate holder who changes his name according to law may request the board to issue a duplicate certificate. Such request shall be accompanied by evidence thereof satisfactory to the board, and payment of the required fee. The board shall thereafter issue a duplicate certificate setting forth the name of the certificate holder as changed.
NOTE

Authority cited: Section 8007, Business and Professions Code. Reference: Sections 8005 and 8031, Business and Professions Code.
HISTORY

1. Amendment filed 5-4-70; effective thirtieth day thereafter (Register 70, No. 19).
2. Amendment of subsection (b) filed 8-20-74; effective thirtieth day thereafter (Register 74, No. 34).
3. New NOTE filed 3-10-82 as procedural and organizational; effective upon filing (Register 82, No. 11).
4. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
Article 5. Fictitious Name
§2440. Notification of Use of Fictitious Name. [Repealed]
History

HISTORY

1. Repealer filed 6-7-62; effective thirtieth day thereafter (Register 62, No. 11).
Article 6. Fees
§2450. Fee Schedule.
Note     •     History

(a) The fee for filing an application for examination shall be forty dollars ($40), one time per three-year cycle and twenty-five dollars ($25) per separate part per administration. 
(b) The fee for an initial certificate shall be one hundred twenty-five dollars ($125). If the certificate is issued less than 180 days before the date on which it will expire, the fee shall be sixty-two dollars and fifty cents ($62.50). 
(c) The fee for the annual renewal of a certificate shall be one hundred and twenty-five dollars ($125). 
(d) The delinquency fee for the renewal of a certificate shall be sixty-two dollars and fifty cents ($62.50). 
(e) The fee for a duplicate certificate shall be five dollars ($5). 
(f) The penalty for failure to notify the board of a change of name or address as required by Section 8024.6 shall be twenty dollars ($20).
NOTE

Authority cited: Sections 8007 and 8008, Business and Professions Code. Reference: Sections 163.5 and 8031, Business and Professions Code.
HISTORY

1. New section filed 11-20-2001; operative 12-20-2001 (Register 2001, No. 47). For prior history, see Register 97, No. 25.
2. Amendment of section and Note filed 10-10-2011; operative 11-9-2011 (Register 2011, No. 41).
§2451. Due Dates of Fees.
Note     •     History

(a) The application fee for each application is due and payable at the time of filing the application with the board.
(b) The initial certificate fee is due and payable within one hundred and twenty (120) days after notification to the candidate that he or she has successfully passed the examination. No certificate may be issued until this fee has been paid.
NOTE

Authority cited: Section 8007, Business and Professions Code. Reference: Sections 8008 and 8031, Business and Professions Code.
HISTORY

1. Repealer of Subsection (c) filed 6-7-62; effective thirtieth day thereafter (Register 62, No. 11).
2. Amendment filed 5-4-70; effective thirtieth day thereafter (Register 70, No. 19).
3. New NOTE: filed 3-10-82 as procedural and organizational; effective upon filing (Register 82, No. 11).
4. Amendment of subsection (b) filed 10-10-2011; operative 11-9-2011 (Register 2011, No. 41).
Article 7. Shorthand Reporting Corporations
§2460. Citation of Rules. [Repealed]
Note     •     History

NOTE

Authority and reference cited: Sections 8007 and 8047, Business and Professions Code.
HISTORY

1. New Article 7 (Sections 2460-2468) filed 6-28-73; effective thirtieth day thereafter (Register 73, No. 26).
2. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§2461. Definitions.
Note     •     History

For the purposes of this Article the following shall apply:
(a) “Licensed person” means a natural person who has obtained from the Board a certificate as a certified shorthand reporter which is unexpired and in full force and effect with all current renewal fees paid.
(b) “Certificate of Registration” means a certificate of registration as a shorthand reporting corporation.
(c) “Professional services” means the practice of shorthand reporting as defined in Section 8017 of the Code.
NOTE

Authority cited: Sections 8007 and 8047, Business and Professions Code. Reference: Sections 8007, 8017 and Chapter 13, Division 3, Business and Professions Code.
HISTORY

1. New NOTE filed 3-10-82 as procedural and organizational; effective upon filing (Register 82, No. 11).
2. Amendment of subsection (c) filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§2462. Professional Relationships, Responsibilities, and Conduct Not Affected.
Note     •     History

Nothing in the laws or rules relating to shorthand reporting corporations alters the duties and responsibilities of a licensed person to and professional relationships with his/her clients and others; nor do such laws or rules in any way impair the disciplinary powers of the Court Reporters Board of California over licensed persons; nor do such laws or rules impair any other law or rule pertaining to the standards of professional conduct of licensed persons.
NOTE

Authority cited: Sections 8007 and 8047, Business and Professions Code. Reference: Section 8046, Business and Professions Code.
HISTORY

1. New NOTE filed 3-10-82 as procedural and organizational; effective upon filing (Register 82, No. 11).
2. Amendment filed 1-20-2000; operative 2-19-2000 (Register 2000, No. 3).
§2463. Office for Filing.
Note     •     History

All applications for a certificate of registration and any other documents or reports required by these rules or by law to be filed with the board shall be filed at the board's principal office.
NOTE

Authority cited: Sections 8007 and 8047, Business and Professions Code. Reference: Section 8041, Business and Professions Code.
HISTORY

1. New NOTE filed 3-10-82 as procedural and organizational; effective upon filing (Register 82, No. 11).
2. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§2464. Application; Review of Refusal to Approve.
Note     •     History

(a) An applicant corporation shall file with the board an application for certificate of registration on a form furnished by the board, which shall be signed and verified by an officer of the corporation who is a licensed person and be accompanied by a fee in the amount of $200.00.
(b) The board shall, within a reasonable time after such an application has been submitted to it, either approve the application and issue a certificate of registration or refuse to approve the application and notify the applicant of the reasons for such refusal.
(c) The board may delegate to its executive secretary or a designated employee its authority under Section 8041 of the Code to review and approve applications for registration and to issue certificates of registration.
(d) Any applicant whose application has been disapproved by the board may request a hearing pursuant to Government Code Section 11504. Such hearing shall be conducted in accordance with Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
(e) No applicant shall hold itself out as, engage in or render any professional services unless and until a certificate of registration has been issued.
NOTE

Authority cited: Sections 8007 and 8047, Business and Professions Code. Reference: Section 8041, Business and Professions Code.
HISTORY

1. New NOTE filed 3-10-82 as procedural and organizational; effective upon filing (Register 82, No. 11).
2. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
3. Amendment of subsection (a) filed 1-10-86; effective thirtieth day thereafter (Register 86, No. 2).
4. Amendment of subsections (c) and (d) filed 5-1-89; operative 5-31-89 (Register 89, No. 18).
§2465. Requirements for Issuance of Certificate of Registration. [Repealed]
Note     •     History

NOTE

Authority and reference cited: Section 8007, Business and Professions Code.
HISTORY

1. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§2466. Name of Corporation. [Repealed]
Note     •     History

NOTE

Authority and reference cited: Section 8007, Business and Professions Code.
HISTORY

1. Repealer filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§2467. Shares: Ownership and Transfer.
Note     •     History

(a) The shares of a shorthand reporting corporation may be issued only to a licensed person and may be transferred only to a licensed person or to the issuing corporation.
(b) Where there are two or more shareholders in a shorthand reporting corporation and one of the shareholders:
(1) Dies; or
(2) Becomes a disqualified person as defined in Section 13401(d) of the Corporations Code, for a period exceeding ninety (90) days, his shares shall be sold and transferred to a licensed person or to the issuing shorthand reporting corporation, on such terms as are agreed upon. Such sale or transfer shall not be later than six (6) months after any such death and not later than ninety (90) days after the date he became a disqualified person.
(c) A corporation and its shareholders may, but need not, agree that shares sold to it by a person who becomes a disqualified person may be resold to such person if and when he again ceases to become a disqualified person.
(d) The restrictions of subdivision (a) and, if appropriate, subdivision (b) of this section shall be set forth in the corporation's by-laws or articles of incorporation.
(e) The income of a shorthand reporting corporation attributable to shorthand reporting services rendered while a shareholder is a disqualified person shall not in any manner accrue to the benefit of such shareholder or his shares.
(f) The share certificates of a shorthand reporting corporation shall contain either:
(1) An appropriate legend setting forth the restriction of subdivision (a), and where applicable, the restriction of subdivision (b), or
(2) An appropriate legend stating that ownership and transfer of the shares are restricted and specifically referring to an identified section of the by-laws or articles of incorporation of the corporation wherein the restrictions are set forth.
NOTE

Authority cited: Sections 8007 and 8047, Business and Professions Code. Reference: Sections 8044, 8045 and 8047; and Section 13401, Corporations Code.
HISTORY

1. New NOTE filed 3-10-82 as procedural and organizational; effective upon filing (Register 82, No. 11).
§2468. Certificate of Registration: Continuing Validity: Reports.
Note     •     History

(a) A Certificate of Registration shall continue in effect until it is suspended or revoked. Such certificate may be suspended or revoked if a shorthand reporting corporation fails at any time to comply fully with the provisions of these rules, with the statutory provisions governing certified shorthand reporters and the rules enacted by the Board pursuant thereto, and with the Moscone-Knox Professional Corporation Act and with other applicable provisions of the Corporations Code.
(b) Each year on or before July 31, each shorthand reporting corporation, except those licensed on or after May 16 of that year, shall file with the Board a report on a form provided by the Board reflecting its status as of June 30 and including such information pertaining to its qualifications and compliance with the statutes, rules and regulations of the Board as the Board may require.
(c) Each shorthand reporting corporation shall file a special report, on a form provided by the Board, within 30 days of any change of the officers, directors, shareholders, place of practice, articles of incorporation or corporate name.
(d) Each annual report filed hereunder shall be accompanied by a filing fee of $30.00.
(e) Each special report filed hereunder shall be accompanied by a filing fee of $50.00.
NOTE

Authority cited: Sections 8007 and 8047, Business and Professions Code. Reference: Section 8042, Business and Professions Code; and Moscone-Knox Professional Corporation Act, Part 4, Division 3, Title 1, Corporations Code.
HISTORY

1. New NOTE filed 3-10-82 as procedural and organizational; effective upon filing (Register 82, No. 11).
2. Amendment of subsections (d) and (e) filed 1-10-86; effective thirtieth day thereafter (Register 86, No. 2).
Article 8. Denial, Suspension and Revocation of Certificates
§2470. Substantial Relationship Criteria.
Note     •     History

For the purpose of denial, suspension, or revocation of the certificate of a shorthand reporter pursuant to Section 475 of the Code, a crime or act shall be considered substantially related to the qualifications, functions, and duties of a shorthand reporter if to a substantial degree it evidences present or potential unfitness of a shorthand reporter to perform the functions authorized by his certification in a manner consistent with the public health, safety, or welfare. Such crimes or acts shall include, but are not limited to, the following:
(a) Any violation of the provisions of Chapter 13 of Division 3 of the Code.
(b) Violation of any rule or code provision specifically governing shorthand reporters.
(c) Conviction of any crime involving dishonesty or fraud.
NOTE

Authority cited: Sections 481 and 8007, Business and Professions Code. Reference: Sections 480, 481, 8025 and 8026, Business and Professions Code.
HISTORY

1. New Article 8 (Sections 2470-2471) filed 5-16-75; effective thirtieth day thereafter (Register 75, No. 20).
2. Amendment of NOTE filed 3-10-82 as procedural and organizational; effective upon filing (Register 82, No. 11).
3. Amendment filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§2471. Criteria for Rehabilitation.
Note     •     History

(a) When considering the denial of a shorthand reporter's certificate under Section 480 of the Code, the board, in evaluating the rehabilitation of the applicant and his present eligibility for certification, shall consider the following criteria:
(1) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the Code.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(5) Evidence, if any, of rehabilitation submitted by the applicant.
(b) When considering the suspension or revocation of the certificate of a shorthand reporter on the grounds that the person certified has been convicted of a crime, the Board, in evaluating the rehabilitation of such person and his present eligibility for certification will consider the following criteria:
(1) Nature and severity of the act(s) or offense(s).
(2) Total criminal record.
(3) The time that has elapsed since commission of the act(s) or offense(s).
(4) Whether the licensee has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against the licensee.
(5) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(6) Evidence, if any, of rehabilitation submitted by the licensee. 
(c) When considering a petition for reinstatement of the certification of a shorthand reporter, the Board shall evaluate evidence of rehabilitation submitted by the petitioner, considering those criteria specified in subsection (b).
NOTE

Authority cited: Sections 482 and 8007, Business and Professions Code. Reference: Sections 480, 482 and 8025, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 9-22-83; effective thirtieth day thereafter (Register 83, No. 39).
§2472. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code section 11400 et seq.), the board shall consider the disciplinary guidelines entitled “Disciplinary Guidelines,” (Rev. 2/18/89), which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the board, in its sole discretion, determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Sections 8007, 8025 and 8047, Business and Professions Code. Reference: Sections 8025 and 8047, Business and Professions Code; and Section 11425.50(e), Government Code.
HISTORY

1. New section filed 6-19-97; operative 7-19-97 (Register 97, No. 25).
§2473. Minimum Transcript Format Standards.
Note     •     History

(a) A reporter licensed under Chapter 13, Division 3 of the Code shall comply with the following transcript format standards when producing a transcript in a legal proceeding. If a reporter is employed by a court, either as an official or pro tem official reporter, the transcript format set forth by state or local rules of court, or adopted by that jurisdiction, if any, will supersede. If there are no transcript format guidelines established within a jurisdiction, the following minimum transcript format standards shall apply: 
(1) No fewer than 25 typed text lines per page;
(2) A full line of text shall be no less than 56 characters unless timestamping is used, in which case no fewer than 52 characters shall be used on a full line of text;
(3) Timestamping may only be printed on a transcript under any of the following circumstances:
(A) when a deposition is videotaped;
(B) when requested by counsel on the record, or
(C) when a transcript will have not less than 56 characters per line.
(4) Left-hand margin is defined as the first character of a line of text;
(5) Each question and answer is to begin on a separate line;
(6) Text is to begin no more than 10 spaces from the left margin. “Q” and “A” Symbols shall appear within the first 8 spaces from the left-hand margin;
(7) Carry-over “Q” and “A” lines to begin at the left-hand margin;
(8) Colloquy and paragraphed material to begin no more than 10 spaces from the left-hand margin with carry-over colloquy to the left-hand margin;
(9) Quoted material to begin no more than 14 spaces from the left-hand margin with carry-over lines to begin no more than 10 spaces from the left-hand margin;
(10) Parenthetical and exhibit markings of two lines or more shall be no less than 35 characters per line; and
(11) In colloquy, text shall begin no more than two spaces after the colon following speaker “ID.”
(b) Failure to comply with these minimum standards, as noted above, constitutes grounds for disciplinary action.
NOTE

Authority cited: Sections 8007, 8008 and 8025, Business and Professions Code. Reference: Sections 8015 and 8025, Business and Professions Code.
HISTORY

1. New section filed 1-11-2000; operative 2-10-2000 (Register 2000, No. 2).  
2. New subsections (a)(3)-(a)(3)(C), subsection renumbering and amendment of newly designated subsection (a)(6) filed 7-31-2002; operative 8-30-2002 (Register 2002, No. 31).
§2474. Prohibition on Preparation of Deposition Summaries.
Note     •     History

(a) As used in this section, the term “deposition summary” means information dictated by an attorney and reported and/or transcribed by the court reporter after the conclusion of a deposition that includes one or more of the following:
(1) A summary of the information, facts, or testimony produced at the deposition;
(2) The attorney's analysis or evaluation of the witness or witnesses;
(3) The attorney's evaluation of the impact of the deposition on the merits of the case; or
(4) The attorney's recommendation for further action or strategies to be employed in the case.
(b) It shall be considered unprofessional conduct, as that term is used in Section 8025, subdivision (d), of the Business and Professions Code, for any certified shorthand court reporter licensed by the Board to transcribe or assist in the preparation of a deposition summary after the conclusion of a deposition conducted by that reporter pursuant to Section 2025(k) of the Code of Civil Procedure.
NOTE

Authority cited: Sections 8007 and 8025, Business and Professions Code. Reference: Section 8025, Business and Professions Code.
HISTORY

1. New section filed 6-19-2003; operative 7-19-2003 (Register 2003, No. 25).
§2475. Professional Standards of Practice.
Note     •     History

(a) Consistent with any action that may be taken by the Board pursuant to Sections 8025 and 8025.1 of the Code, the Board may cite or discipline any certificate holder, including suspending, revoking, or denying the certification of a certified shorthand reporter, for violation of professional standards of practice.
(b) Every person under the jurisdiction of the Board who holds a license or certificate, or temporary license or certificate, shall comply with the following professional standards of practice:
(1) Make truthful and accurate public statements when advertising professional qualifications and competence and/or services offered to the public.
(2) Maintain confidentiality of information which is confidential as a result of rule, regulation, statute, court order, or deposition proceedings.
(3) Perform professional services within the scope of one's competence, including promptly notifying the parties present or the presiding officer upon determining that one is not competent to continue an assignment. A licensee may continue to report proceedings after such notification upon stipulation on the record of all parties present or upon order of the presiding officer.
(4) Comply with legal and/or agreed-to delivery dates and/or provide  prompt notification of delays.
(5) In addition to the requirements of Section 2025.220(a)(5) of the Code of Civil Procedure, promptly notify, when reasonably able to do so, all known parties in attendance at a deposition or civil court proceeding and/or their attorneys of a request for preparation of all or any part of a transcript, including a rough draft, in electronic or paper form. No such notification is necessary when the request is from the court.
(6) Act without bias toward, or prejudice against, any parties and/or their attorneys.
(7) Not enter into, arrange, or participate in a relationship that compromises the impartiality of the certified shorthand reporter, including, but not limited to, a relationship in which compensation for reporting services is based upon the outcome of the proceeding.
(8) Other than the receipt of compensation for reporting services, neither directly or indirectly give nor receive any gift, incentive, reward, or anything of value to or from any person or entity associated with a proceeding being reported. Such persons or entities shall include, but not limited to, attorneys, employees of attorneys, clients, witnesses, insurers, underwriters, or any agents or representatives thereof. Exceptions to the foregoing restriction shall be as follows: (A) giving or receiving items that do not exceed $100 (in the aggregate for any combination of items given and/or received) per above-described person or entity per calendar year; or (B) providing services without charge for which the certified shorthand reporter reasonably expects to be reimbursed from the Transcript Reimbursement Fund, Sections 8030 et seq. of the Code, or otherwise for an “indigent person” as defined in Section 8030.4(f) of the Code.
NOTE

Authority cited: Section 8007, Business and Professions Code. Reference: Sections 8025, 8025.1 and 8030, Business and Professions Code.
HISTORY

1. New section filed 1-11-2007; operative 2-10-2007 (Register 2007, No. 2).
Article 9. Citations, Fines, and Orders of Abatement
§2480. Administrative Citations & Fine.
Note     •     History

(a) The executive officer of the board, upon completion of an investigation, is authorized to issue citations containing orders of abatement and fines for violations by a licensed certified shorthand reporter of the provisions of law and/or regulations referred to in this section.
(b) A citation shall be issued whenever a fine is levied or an order of abatement is issued. Any order of abatement issued shall provide a reasonable period of time for correction of the identified violation and may include, in addition to any other fine imposed, the levy of a fine which shall be imposed only if the licensee fails to comply with the order of abatement within the time prescribed in the citation, provided the total fine for each citation shall not exceed $2500. Each citation shall be in writing and shall describe with particularity the nature and facts of the violation, including a reference to the statute or regulation alleged to have been violated. The citation shall be served upon the licensee personally or by certified mail, return receipt requested.
(c) The amount of the fine to be levied by the executive officer shall take into consideration the factors listed in subdivision (b)(3) of Section 125.9 of the code.
(1) The executive officer may, in his or her discretion, levy a fine not to exceed $2500, and issue an order of abatement of any violation of the code. In determining the amount of the fine the executive officer shall consider the tardiness in producing any transcript and the prejudice caused thereby to any party.
(2) The executive officer may, in his or her discretion, issue an order of abatement without levying a fine for the first violation.
(d) If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, the person cited may request an extension of time from the executive officer in which to complete the correction. Such a request shall be in writing and shall be made within the time set forth for abatement.
(e) When an order of abatement is not contested, or if the order is appealed and the person cited does not prevail, failure to abate the violation charged within the time allowed shall constitute a violation and failure to comply with the order of abatement. Where the citation or order of abatement is appealed the period for abatement shall be extended until such time as the appeal is resolved. An order of abatement shall either be personally served or mailed by certified mail, return receipt requested. The time allowed for the abatement of a violation shall begin the first day after the order of abatement has been served. Failure to abate the violation may result in disciplinary action being taken by the board or other appropriate judicial relief being taken against the person cited.
(f) The executive officer of the board is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and fines against persons, partnerships, corporations or associations who are performing and who have performed services for which licensure is required as a certified shorthand reporter under Division 3, Chapter 13, Article 1 commencing with Section 8000 of the code, but who do not possess a license. Each such citation issued under this subsection shall contain an order of abatement. Where appropriate the executive officer shall levy a fine for such unlicensed activity in accordance with Section 125.9 of the code. The provisions of subsection (b), (d) and (e) of this section shall apply to the issuance of citations for unlicensed activity under this subsection.
(g) The sanctions authorized under this section shall be separate from and in addition to any other administrative, civil or criminal remedies. Nothing in this section shall be deemed to prevent the board from serving and prosecuting an accusation to suspend or revoke a license where grounds for such suspension or revocation exist.
NOTE

Authority cited: Sections 125.9, 8007 and 8047, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 12-12-91; operative 1-13-92 (Register 92, No. 9).
2. Amendment of section and Note filed 6-19-97; operative 7-19-97 (Register 97, No. 25).
§2481. Informal Conference.
Note     •     History

(a) In addition to requesting a hearing provided for in subdivision (b)(4) of Section 125.9 of the code, the person cited may within ten (10) days after service of the citation, notify the executive officer in writing of his or her request for an informal conference with the executive officer regarding the acts charged in the citation. The time allowed for the request shall begin the first day after the citation has been served.
(b) The executive officer may, at his or her discretion and depending on the facts of the case, hold within 30 days from the receipt of the request, an informal conference with the person cited or his or her legal counsel or authorized representative. At the conclusion of the informal conference the executive officer may affirm, modify, or dismiss the citation, including any fine levied or order of abatement issued. The executive officer shall state in writing the reasons for his or her action and serve or mail, as provided in subsection (e) of Section 2480, a copy of his or her findings and decision to the person cited within ten (10) days from the date of the informal conference. This decision shall be deemed to be a final order with regard to the citation issued, including the fine levied and the order of abatement.
(c) The person cited does not waive his or her request for a hearing to contest a citation by requesting an informal conference after which the citation is affirmed by the executive officer. If the citation is dismissed after the informal conference, the request for a hearing on the matter of the citation shall be deemed to be withdrawn. If the citation, including any fine levied or order of abatement, is modified, the citation originally issued shall be considered withdrawn and a new citation issued. If a hearing is requested for a subsequent citation, it shall be requested within 30 days in accordance with subdivision (b)(4) of Section 125.9 of the code.
NOTE

Authority cited: Sections 125.9, 125.95, 8007 and 8047, Business and Professions Code. Reference: Sections 125.9 and 125.95, Business and Professions Code.
HISTORY

1. New section filed 12-12-91; operative 1-13-92 (Register 92, No. 9). 
Division 25. Board of Vocational Nurse and Psychiatric Technician Examiners of the State of California

(Originally Printed 7-12-52)
Chapter 1. Vocational Nurses
Article 1. General Provisions
§2500. Location of Offices. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2853, Business and Professions Code.
HISTORY

1. Chapter 25 (# 2500 through 2558) filed 7-8-52; effective thirtieth day thereafter (Register 29, No. 2).
2. Amendment filed 12-10-64; effective thirtieth day thereafter (Register 64, No. 24).
3. Amendment filed 7-20-71; effective thirtieth day thereafter (Register 71, No. 30).
4. Repealer filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2501. Tenses, Gender, and Number. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2854, Business and Professions Code.
HISTORY

1. Repealer filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2502. Definitions.
Note     •     History

As used in this chapter, unless the context otherwise requires:
(a) “Board” means the Board of Vocational Nursing and Psychiatric Technicians of the State of California;
(b) “Code” means the Business and Professions Code;
(c) “Accredited school of vocational nursing,” “accredited school,” and “school” mean a school of vocational nursing which has been accredited by the Board pursuant to Sections 2880-2884 of the code (the Vocational Nursing Practice Act), and whose graduates, if otherwise qualified, are eligible to apply for a license to practice vocational nursing.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 101, 2841, 2873 and 2881, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 7-20-71; effective thirtieth day thereafter (Register 71, No. 30).
2. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
3. Editorial correction of subsection (d) (Register 84, No. 2).
4. Change without regulatory effect amending subsection (a) and Note filed 1-14-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 3).
5. Repealer of subsection (d) filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2503. Delegation of Certain Functions.
Note     •     History

The power and discretion conferred by law upon the Board to receive and file accusations; issue notices of hearings, statements to respondent and statements of issues; receive and file notices of defense; determine the time and place of hearings under Section 11508 of the Government Code; issue subpoenas and subpoenas duces tecum; set calendar cases for hearing and perform other functions necessary to the businesslike dispatch of the business of the Board in connection with proceedings under the provisions of Sections 11500 through 11528 of the Government Code, prior to the hearing of such proceedings; and the certification and delivery or mailing of copies of decisions under Section 11518 of said code are hereby delegated to and conferred upon the executive officer, or, in the absence of the executive officer from the office of the Board, the assistant executive officer.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2847, Business and Professions Code.
HISTORY

1. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d)(Register 83, No. 47).
2. Editorial correction (Register 84, No. 2).
§2504. Filing of Addresses.
Note     •     History

All persons holding a license from the Board shall file their current mailing address with the Board at its office in Sacramento, and shall immediately notify the Board of any and all changes of mailing address, within 30 days after the change, giving both their old and new addresses and license number.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 136 and 2892, Business and Professions Code.
HISTORY

1. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
2. Change without regulatory effect amending section and Note filed 1-14-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 3).
§2504.1. Response to Board Inquiry.
Note     •     History

If the board or its designee asks a licensee to provide criminal history information, a licensee shall respond to that request within 30 days. The licensee shall make available all documents and other records requested and shall respond with accurate information.
NOTE

Authority cited: Sections 2841.1 and 2854, Business and Professions Code. Reference: Sections 144, 2847, 2854, 2875, 2878 and 2878.6, Business and Professions Code; and Section 11105, Penal Code. 
HISTORY

1. New section filed 1-9-2009 as an emergency; operative 1-9-2009 (Register 2009, No. 2). A Certificate of Compliance must be transmitted to OAL by 7-8-2009 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as 1-9-2009 order transmitted to OAL 6-30-2009 and filed 8-11-2009 (Register 2009, No. 33).
Article 2. Application for License
§2506. Form.
History

Applications for license shall be made upon the form prescribed and provided by the Board, accompanied by such evidence, statements, or documents as therein required.
HISTORY

1. Renumbering from Section 2510 filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36).
2. Editorial correction (Register 84, No. 2).
§2507. Place of Filing.
Note     •     History

Applications for licensure shall be filed with the Board's principal office in Sacramento.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2853, Business and Professions Code.
HISTORY

1. Renumbering from Section 2511 filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36).
2. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
3. Editorial correction (Register 84, No. 2).
§2508. Permit Processing Times.
Note     •     History

“Permit” as defined by the Permit Reform Act of 1981 means any license, certificate registration, permit or any other form of authorization required by a state agency to engage in a particular activity or act. Processing times for the board's various permits are set forth below. The actual processing times apply to those persons who apply by the specified filing deadlines (if applicable) and who take and pass the first available examination.

		Maximum Period of	Maximum Period
		time in which the	of time after
		Board will notify	the filing of a
		applicant in writing	complete
		that the application	application in
		is complete and	which the Board
		accepted for filing	will notify
		or that the application	applicant of a
		is deficient and what	permit decision.
		specific information	
		is required.		Actual Processing Time
				Based on Prior Two Years 
	Permit			Minimum/Median/Minimum

	Initial License	90 days	365 days	127	183	387 days
	Interim Permit	30 days	60 days	3	10	22 days
	Temporary License	30 days	30 days	1	15	30 days
	Intravenous Therapy (IV).	30 days	30 days	1	15	30 days
	 Blood Withdrawal (BW)
	 and IV/BW Certificate
	Continuing Education (CE)	30 days	30 days	1	15	30 days
	 Providers
	Renewals-CE Providers	30 days	30 days	1	15	30 days
	Renewals-License	60 days	90 days	10	51	94 days
	
NOTE

Authority cited: Section 2854, Business & Professions Code and Section 15376, Government Code. Reference: Sections 15375 and 15376, Government Code.
HISTORY

1. New section filed 5-03-91; operative 6-02-91 (Register 91, No. 24).
Article 3. Examinations
§2510. Scope of Examinations.
Note     •     History

The examination for licensure as a licensed vocational nurse shall be the NCLEX-PN examination of the National Council of State Boards of Nursing, Inc.
NOTE

Authority cited: Sections 851 and 2854, Business and Professions Code. Reference: Section 2870, Business and Professions Code.
HISTORY

1. Renumbering from Section 2520 filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36).
2. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
3. Amendment filed 2-3-87; effective thirtieth day thereafter (Register 87, No. 6).
§2511. Failure to Take Assigned Examination.
Note     •     History

An applicant who fails to take an assigned examination shall be removed from the eligible list of applicants. To be scheduled for a subsequent examination, the applicant shall notify the Board and shall pay the fees prescribed by Section 2895 of the code.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 2868, 2869, 2871 and 2895, Business and Professions Code.
HISTORY

1. New section filed 7-25-60; effective thirtieth day thereafter (Register 60, No. 16).
2. Renumbering from Section 2520.1 filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36).
3. Amendment filed 1-11-79; effective thirtieth day thereafter (Register 79, No. 2).
4. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2512. Abandonment of Application.
Note     •     History

(a) An application shall be deemed to have been abandoned and the application fee forfeited when:
(1) The applicant fails to complete the application within the two years after it is originally submitted or within two years after last notification of deficiency.
(2) The applicant fails to submit the initial license fee within two years after notification by the Board.
(3) The applicant fails to take the licensing examination within two years after the first assigned date or within two years after last failing the examination.
(b) An application submitted subsequent to the abandonment of a former application shall be treated as a new application.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 2867 and 2867.5, Business and Professions Code.
HISTORY

1. New section filed 9-11-70; effective thirtieth day thereafter (Register 70, No. 37).
2. Renumbering from Section 2520.2 filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36).
3. Amendment filed 9-27-79; effective thirtieth day thereafter (Register 79, No. 39).
4. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2513. Eligibility to Reapply for Licensure Examination After Third Examination Failure. [Repealed]
History

HISTORY

1. New section filed 12-19-55; effective thirtieth day thereafter (Register 55, No. 18). For history of former section, see Register 54, No. 7.
2. Amendment filed 6-9-59; effective thirtieth day thereafter (Register 59, No. 9).
3. Amendment filed 12-6-66; effective thirtieth day thereafter (Register 66, No. 43).
4. Amendment and renumbering from Section 2521 filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36).
5. Repealer filed 12-4-75; effective thirtieth day thereafter (Register 75, No. 49).
§2514. Examination Procedure.
Note     •     History

No one except as authorized by the Board shall solicit, accept, or compile information regarding the contents of written examination questions, either before, during, or after the administration of any examination.
(a) Applications and all required supporting documentation and fees must be received by the Board prior to the applicant being scheduled for examination.
(b) Vocational nursing programs shall file a transcript of record for each student who completes the course on a form provided by the Board.
(c) Schools shall submit in duplicate a list of all students whose applications for examination are submitted to the Board by the school.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 2866, 2867, 2868, 2869 and 2873, Business and Professions Code.
HISTORY

1. New section filed 7-31-74; effective thirtieth day thereafter (Register 74, No. 31).
2. Renumbering from Section 2522 filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36).
3. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
4. Amendment of subsections (a) and (b) filed 7-24-96; operative 8-23-96 (Register 96, No. 30).
Article 4. Licenses
§2516. Eligibility for Licensure.
Note     •     History

Persons who desire to qualify for licensure under Section 2873 of the code must meet the requirements of one of the following:
(a) Completion of a course in vocational or practical nursing in a school accredited by another state, provided that the course completed is substantially equivalent to that prescribed by Section 2533 of this chapter; or,
(b) Completion of the following experience and pharmacology course:
(1) Completion within the 10 years prior to the date of application of not less than 51 months of paid general duty inpatient bedside nursing experience in a clinical facility, at least half of which shall have been within five years prior to the date of application. Paid general duty inpatient bedside nursing experience is the performance of direct patient care functions provided throughout the patient's stay that encompass the breadth and depth of experience equivalent to that performed by the licensed vocational nurse. 
(A) Such experience shall be verified by the employer showing specific dates of employment.
(B) The 51 months experience prescribed above shall include a minimum of each of the following:
48 months medical-surgical nursing;
6 weeks maternity or genitourinary nursing;
6 weeks pediatric nursing.
(C) Experience in any one or combination of the following areas may be substituted for a maximum of 8 months of medical-surgical experience:
1. Communicable Disease Nursing
2. Public Health Nursing
3. Occupational Health Nursing
4. Office Nursing (M.D.)
5. Psychiatric Nursing
6. Operating Room Nursing
7. Private Duty Nursing (performed in acute care facilities only)
8. Emergency Room Nursing
9. Out Patient Clinic
10. Post Anesthesia Recovery Nursing
11. Hemodialysis Nursing
12. Rehabilitation Nursing
13. Gerontological Nursing 
14. Emergency Medical Technician service
(D) Applicants with formal nursing education may submit official transcripts for evaluation of possible credit in lieu of paid inpatient bedside nursing experience.
(E) Applicants reapplying on the basis of experience acquired subsequent to the date of the original application shall show that the qualifying experience has been completed within 10 years prior to the date of reapplication and that at least half of such experience has been within five years prior to the date of reapplication.
(2) The applicant must submit proof of completion of a course of at least 54 theory hours of pharmacology. The course shall include but not be limited to:
(A) Knowledge of commonly used drugs and their action
(B) Computation of dosages
(C) Preparation of medications
(D) Principles of administration
(3) Verification of work experience shall include certification from the R.N. director or supervisor that the applicant has satisfactorily demonstrated the following knowledge and skills:
(A) Basic Bedside Nursing
1. Ambulation techniques
2. Bedmaking
3. Urinary Catheter care
4. Collection of specimens
5. Diabetic testing
6. Administration of a cleansing enema
7. Feeding patient
8. Hot and cold applications
9. Intake and Output
10. Personal hygiene and comfort measures
11. Positioning and transfer
12. Range of motion
13. Skin care
14. Vital signs
15. Communication skills, both verbal and written, including communication with patients who have psychological disorders
(B) Infection control procedures (may be demonstrated in classroom, lab, and/or patient care settings.)
1. Asepsis
2. Techniques for strict, contact, respiratory, enteric, tuberculosis, drainage, universal and immunosuppressed patient isolation.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2873, Business and Professions Code.
HISTORY

1. New subsection (d) filed 12-23-76; effective thirtieth day thereafter (Register 76, No. 52). For prior history, see Register 75, No. 36.
2. Amendment of subsection (b) filed 10-7-77; effective thirtieth day thereafter (Register 77, No. 41).
3. Amendment of subsection (c) filed 3-29-79; effective thirtieth day thereafter (Register 79, No. 13).
4. Amendment of subsection (d)(2) filed 2-18-81; effective thirtieth day thereafter (Register 81, No. 8).
5. Amendment of subsection (d) filed 4-22-81; effective thirtieth day thereafter (Register 81, No. 17).
6. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
7. Amendment of subsection (b)(2) filed 4-8-86; effective thirtieth day thereafter (Register 86, No. 15).
8. Amendment filed 7-24-96; operative 8-23-96 (Register 96, No. 30).
9. Amendment of subsection (c)(2) filed 11-20-97; operative 12-20-97 (Register 97, No. 47).
10. Amendment filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2516.5. Eligibility for Licensure -- Military.
Note     •     History

In order to establish proof of active duty service and training in the medical corps of any of the armed forces pursuant to Section 2873.5 of the code, an applicant must submit the following to the Board:
(a) Transcripts or “Certificate of Release or Discharge from Active Duty (DD 214) showing completion of basic course of instruction in nursing required by his or her particular branch of the armed forces;
(b) DD 214 or other military document showing that service in the armed forces has been under honorable conditions, or whose general discharge has been under honorable conditions; and
(c) Military service evaluations showing the dates of service, wards assigned and duties performed for each assignment.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2873.5, Business and Professions Code.
HISTORY

1. New section filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2517. Eligibility for Licensure Without Examination.
Note     •     History

An applicant shall be eligible for licensure without examination, pursuant to Section 2872.1 of the code, provided that the applicant: 
(a) presents satisfactory proof of a current and valid license as a vocational nurse or practical nurse, or in an equivalent capacity, by another state, a territory of the United States, or a foreign country; and
(b) took the National League for Nursing State Board Test Pool Examination for Practical Nurses or the National Council Licensing Examination for Practical Nurses, and passed said examination with a score equal to or above the minimum passing score required by the Board for said examination.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2872.1, Business and Professions Code.
HISTORY

1. Amendment of subsection (c) filed 7-29-76; effective thirtieth day thereafter (Register 76, No. 31). For prior history, see Register 75, No. 36.
2. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2517.5. Fingerprint and Disclosure Requirements for Renewal of License.
Note     •     History

(a) As a condition of renewal for a license that expires on or after April 1, 2009, a licensee who was initially licensed prior to January 1, 1998, or for whom an electronic record of the submission of fingerprints no longer exists, shall furnish to the Department of Justice a full set of fingerprints for the purpose of conducting a criminal history record check and to undergo a state and federal level criminal offender record information search conducted through the Department of Justice. 
(1) The licensee shall pay any costs for furnishing the fingerprints and conducting the searches. 
(2) A licensee shall certify when applying for renewal whether his or her fingerprints have been furnished to the Department of Justice in compliance with this section. 
(3) This requirement is waived if the license is renewed in an inactive status, or if the licensee is actively serving in the military outside the country. 
(4) A licensee shall retain, for at least three years from the renewal date, either a receipt showing the electronic transmission of his or her fingerprints to the Department of Justice or a receipt evidencing that the licensee's fingerprints were taken.
(b) As a condition of renewal, a licensee shall disclose whether, since the licensee last applied for renewal, he or she has been convicted of any violation of the law in this or any other state, the United States, or other country, omitting traffic infractions under $300 not involving alcohol, dangerous drugs, or controlled substances. 
(c) As a condition of renewal, a licensee shall disclose whether, since the licensee last applied for renewal, he or she has been denied a license or had a license disciplined by another licensing authority of this state, of another state, of any agency of the federal government, or of another country.
(d) Failure to comply with the requirements of this section renders any application for renewal incomplete and the license will not be renewed until the licensee demonstrates compliance with all requirements.
(e) Failure to furnish a full set of fingerprints to the Department of Justice as required by this section on or before the date required for renewal of a license is grounds for discipline by the Board. 
NOTE

Authority cited: Sections 2841.1 and 2854, Business and Professions Code. Reference: Sections 118, 141, 144, 2841.1, 2854, 2878, 2878.6, 2878.8, 2892.1 and 2892.3, Business and Professions Code; and Section 11105, Penal Code. 
HISTORY

1. New section filed 1-9-2009 as an emergency; operative 1-9-2009 (Register 2009, No. 2). A Certificate of Compliance must be transmitted to OAL by 7-8-2009 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as 1-9-2009 order, including amendment of section and Note, transmitted to OAL 6-30-2009 and filed 8-11-2009 (Register 2009, No. 33).
§2518. Renewal of License, Eligibility to Qualify for Renewal After License Has Expired.
Note     •     History

Any person who has been issued an equivalent license in another state during the period since the expiration of the nurse's license in California, or can otherwise establish to the satisfaction of the Board, that the nurse is qualified to engage in practice as a licensed vocational nurse, shall also be exempted from such examination requirements.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2892.4, Business and Professions Code.
HISTORY

1. Renumbering from Section 2532 filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36). For prior history see Register 61, No. 26.
2. Amendment filed 4-22-81; effective thirtieth day thereafter (Register 81, No. 17).
3. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2518.5. Scope of Vocational Nursing Practice.
Note     •     History

The licensed vocational nurse performs services requiring technical and manual skills which include the following:
(a) Uses and practices basic assessment (data collection), participates in planning, executes interventions in accordance with the care plan or treatment plan, and contributes to evaluation of individualized interventions related to the care plan or treatment plan.
(b) Provides direct patient/client care by which the licensee:
(1) Performs basic nursing services as defined in subdivision (a);
(2) Administers medications;
(3) Applies communication skills for the purpose of patient/client care and education; and
(4) Contributes to the development and implementation of a teaching plan related to self-care for the patient/client.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 2859, 2860.5, 2860.7, 2878(a) and 2878.5, Business and Professions Code; and Section 11215, Health and Safety Code.
HISTORY

1. New section filed 9-19-96; operative 10-19-96 (Register 96, No. 38).
§2518.6. Performance Standards.
Note     •     History

(a) A licensed vocational nurse shall safeguard patients'/clients' health and safety by actions that include but are not limited to the following:
(1) Reporting to the Board acts specified in Sections 2878 and 2878.5 of the Business and Professions Code;
(2) Documenting patient/client care in accordance with standards of the profession; and
(3) Performing services in accordance with Section 125.6 of the Business and Professions Code.
(b) A licensed vocational nurse shall adhere to standards of the profession and shall incorporate ethical and behavioral standards of professional practice which include but are not limited to the following:
(1) Maintaining current knowledge and skills for safe and competent practice;
(2) Maintaining patient/client confidentiality;
(3) Maintaining professional boundaries with the patient/client; 
(4) Abstaining from chemical/substance abuse; and
(5) Cooperating with the Board during investigations as required by Section 2878.1 of the Business and Professions Code.
(c) A violation of this section constitutes unprofessional conduct for purposes of initiating disciplinary action.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 101.6, 108, 2859, 2878, 2878.1 and 2878.5, Business and Professions Code; Section 11166, Penal Code; and Section 15630(a), Welfare and Institutions Code.
HISTORY

1. New section filed 9-19-96; operative 10-19-96 (Register 96, No. 38).
2. Amendment of subsections (a)-(a)(1) and (b)(3)-(4), new subsection (b)(5) and amendment of Note filed 9-11-2007; operative 10-11-2007 (Register 2007, No. 37).
§2518.7. Private Duty Nursing Defined.
Note     •     History

Private duty patient care may be performed in any setting, including, but not limited to, acute care, long term care, or the patient's home. For purposes of licensure equivalency eligibility, the Board will accept only private duty patient care that has occurred in acute or long term care facilities. Private duty services are contracted directly between the nurse and the patient or entity acting on the patient's behalf. A licensed vocational nurse (LVN) must provide private duty nursing services under the direction of a registered nurse who directs nursing care and/or the patient's physician who directs medical care. The supervisor must be responsible for direction to the private duty LVN regarding the respective nursing and medical procedures. The direction provided by the registered nurse or physician to the LVN must be available at least by telephone.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2859, Business and Professions Code.
HISTORY

1. New section filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2519. Gross Negligence.
Note     •     History

As set forth in Section 2878 of the Code, gross negligence is deemed unprofessional conduct and is a ground for disciplinary action. As used in Section 2878 “gross negligence” means a substantial departure from the standard of care which, under similar circumstances, would have ordinarily been exercised by a competent licensed vocational nurse, and which has or could have resulted in harm to the consumer. An exercise of so slight a degree of care as to justify the belief that there was a conscious disregard or indifference for the health, safety, or welfare of the consumer shall be considered a substantial departure from the above standard of care.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 2854, 2873, 2880, 2881, 2881.1, 2882-2884, Business and Professions Code.
HISTORY

1. New section filed 7-31-74; effective thirtieth day thereafter (Register 74, No. 31).
2. Renumbering from Section 2533 filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36).
§2520. Incompetence.
Note     •     History

As set forth in Section 2878 of the Code, incompetence is deemed unprofessional conduct and is a ground for disciplinary action. As used in Section 2878 “incompetence” means the lack of possession of and the failure to exercise that degree of learning, skill, care and experience ordinarily possessed and exercised by responsible licensed vocational nurses.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 2854, 2873, 2880, 2881, 2881.1, 2882-2884, Business and Professions Code.
HISTORY

1. New section filed 7-31-74; effective thirtieth day thereafter (Register 74, No. 31).
2. Renumbering from Section 2534 filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36).
§2520.1. Child Abuse Reporting.
Note     •     History

Pursuant to Penal Code Section 11166, licensed vocational nurses are mandated to report known or suspected child abuse cases to a child protective agency. Failure to make a child abuse report as required shall constitute unprofessional conduct within the meaning of Business and Professions Code Section 2878(a).
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2878(a), Business and Professions Code; and Section 11166, Penal Code.
HISTORY

1. New section filed 4-8-86; effective thirtieth day thereafter (Register 86, No. 15).
§2520.2. Elder Abuse Reporting.
Note     •     History

Pursuant to Welfare and Institutions Code Section 9381, licensed vocational nurses are mandated to report any known or suspected instance of elder physical abuse to an elder protective agency. Failure to make an elder physical abuse report as required shall constitute unprofessional conduct within the meaning of Business and Professions Code Section 2878(a).
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2878(a), Business and Professions Code; and Section 9381, Welfare and Institutions Code.
HISTORY

1. New section filed 4-8-86; effective thirtieth day thereafter (Register 86, No. 15).
§2520.3. Dependent Adult Abuse Reporting.
Note     •     History

Pursuant to Welfare and Institutions Code Section 15630(a), licensed vocational nurses are mandated to report any known or suspected instance of dependent adult abuse to an adult protective agency. Failure to make a dependent adult physical abuse report as required shall constitute unprofessional conduct within the meaning of Business and Professions Code Section 2878(a).
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2878(a), Business and Professions Code; and Section 15630(a), Welfare and Institutions Code.
HISTORY

1. New section filed 2-4-87; effective thirtieth day thereafter (Register 87, No. 6).
§2520.4. Licensee Mandatory Reporting.
Note     •     History

A licensed vocational nurse shall report, in writing, to the Board the commission of any act by another person that is prohibited by Business and Professions Code Sections 2878, 2878.1 and 2878.5. The report shall be made to the Board within 30 calendar days from the date the licensee knows that a violation occurred. Failure to make a report to the Board as required by this section shall constitute unprofessional conduct within the meaning of Business and Professions Code Section 2878.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 2859, 2878, 2878.1 and 2878.5, Business and Professions Code; Section 11166, Penal Code; and Section 15630(a), Welfare and Institutions Code.
HISTORY

1. New section filed 9-11-2007; operative 10-11-2007 (Register 2007, No. 37).
§2520.5. Employer Mandatory Reporting.
Note     •     History

Employers of licensed vocational nurses shall report, in writing, to the Board the suspension or termination for cause (as defined in Business and Professions Code Section 2878.1(c)) of any licensed vocational nurse in its employ. The report shall be made within 30 calendar days from the effective date of the suspension or termination. Failure to make a report to the Board as required under this section shall constitute a violation of Business and Professions Code Section 2878.1.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 2859, 2878, 2878.1 and 2878.5, Business and Professions Code.
HISTORY

1. New section filed 9-11-2007; operative 10-11-2007 (Register 2007, No. 37).
§2521. Substantial Relationship Criteria.
Note     •     History

For the purposes of denial, suspension, or revocation of a license pursuant to Division 1.5 (commencing with Section 475) of the Business and Professions Code, a crime or act shall be considered to be substantially related to the qualifications, functions or duties of a licensed vocational nurse if to a substantial degree it evidences present or potential unfitness of a licensed vocational nurse to perform the functions authorized by his license in a manner consistent with the public health, safety, or welfare. Such crimes or acts shall include but not be limited to those involving the following:
(a) Procuring a license by fraud, misrepresentation, or mistake.
(b) A conviction of practicing medicine without a license in violation of Chapter 5 of Division 2 of the Business and Professions Code.
(c) Violating or attempting to violate, directly or indirectly, or assisting in or abetting the violation of, or conspiring to violate any provision or term of Chapter 6.5, Division 2 of the Business and Professions Code.
(d) Aiding or assisting, or agreeing to aid or assist any person or persons, whether a licensed physician or not, in the performance of or arranging for a violation of any of the provisions of Article 13, Chapter 5, Division 2 of the Business and Professions Code.
(e) Conviction of a crime involving fiscal dishonesty.
(f) Any crime or act involving the sale, gift, administration, or furnishing of “narcotics or dangerous drugs or dangerous devices” as defined in Section 4022 of the Business and Professions Code.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 475, 480, 490, 2875, 2876, 2878, 2878.5 and 2878.6, Business and Professions Code.
HISTORY

1. New section filed 4-1-75; effective thirtieth day thereafter (Register 75, No. 14).
2. Renumbering from Section 2536 filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36).
3. Amendment of subsection (f) filed 5-31-2000; operative 6-30-2000 (Register 2000, No. 22).
§2522. Rehabilitation Criteria.
Note     •     History

When considering a) the denial of a license under Section 480 of the Business and Professions Code, b) the suspension or revocation of a license on the ground that a licensee has been convicted of a crime, or c) a petition for reinstatement of a license under Section 2787.7 of the Business and Professions Code, the Board in evaluating the rehabilitation of an individual and his or her present eligibility for a license, will consider the following criteria:
(1) Nature and severity of the act(s), offense(s), or crime(s) under consideration. 
(2) Actual or potential harm to the public. 
(3) Actual or potential harm to any patient. 
(4) Overall disciplinary record. 
(5) Overall criminal actions taken by any federal, state or local agency or court. 
(6) Prior warnings on record or prior remediation. 
(7) Number and/or variety of current violations. 
(8) Mitigation evidence. 
(9) In case of a criminal conviction, compliance with terms of sentence and/or court-ordered probation. 
(10) Time passed since the act(s) or offense(s) occurred. 
(11) If applicable, evidence of proceedings to dismiss a conviction pursuant to Penal Code section 1203.4. 
(12) Cooperation with the Board and other law enforcement or regulatory agencies. 
(13) Other rehabilitation evidence. 
NOTE

Authority cited: Sections 482 and 2854, Business and Professions Code. Reference: Sections 480, 482, 488, 490, 492, 2876, 2878 and 2878.7, Business and Professions Code. 
HISTORY

1. Amendment of section heading and section and new Note filed 9-29-2008; operative 10-29-2008 (Register 2008, No. 40).
§2522.5. Rehabilitation Criteria for Suspensions or Revocations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 4530 and 4531, Business and Professions Code.
HISTORY

1. New section filed 4-1-75; effective thirtieth day thereafter (Register 75, No. 14).
2. Renumbering from Section 2537.5 filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36).
3. Amendment of subsection (b) filed 3-4-78; effective thirtieth day thereafter (Register 78, No. 9).
4. Repealer filed 9-29-2008; operative 10-29-2008 (Register 2008, No. 40).
§2523. Citations and Fines--Content and Service.
Note     •     History

(a) The executive officer of the Board or his/her designee, in lieu of filing an accusation against any licensee, may issue a citation which may contain an administrative fine and/or order of abatement against that licensee for any violation of law which would be grounds for discipline or of any regulation adopted by the Board pursuant thereto.
(b) The executive officer of the Board or his or her designee may issue a citation which may contain an administrative fine against any employer of a licensed vocational nurse who fails to report a suspension or termination for cause of that licensee as specified in Section 2878.1 of the Business and Professions Code. For purposes of this article, “cited person” includes a cited employer.
(c) Each citation shall be in writing, shall indicate the classification of the citation, and shall describe with particularity the nature and facts of each violation specified in the citation, including a reference to the statute or regulation alleged to have been violated.
(d) For licensee citations, the citation may contain an assessment of an administrative fine, an order of abatement fixing a reasonable time for abatement of the violation or both.
(e) The citation shall inform the cited person of the right to an informal conference concerning the matter and of the right to an administrative hearing.
(f) The citation shall be served upon the cited person personally or by certified and regular mail.
NOTE

Authority cited: Sections 125.9, 148 and 2854, Business and Professions Code. Reference: Sections 125.9, 148, 2878 and 2878.1, Business and Professions Code.
HISTORY

1. New section filed 7-27-95; operative 8-26-95 (Register 95, No. 30).
2. Amendment of subsection (a), new subsection (b), subsection relettering, amendment of newly designated subsection (d) and amendment of Note filed 9-11-2007; operative 10-11-2007 (Register 2007, No. 37).
§2523.1. Exceptions. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 125.9, 148 and 2854, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 7-27-95; operative 8-26-95 (Register 95, No. 30).
2. Repealer filed 9-11-2007; operative 10-11-2007 (Register 2007, No. 37).
§2523.2. Violation Classifications.
Note     •     History

(a) There shall be three classes of violations:
(1) Class “A”;
(2) Class “B”; and
(3) Class “C.”
(b) In determining the violation class for licensee violations, the following factors shall be considered:
(1) Nature and severity of the violation.
(2) Length of time that has passed since the date of the violation.
(3) Consequences of the violation, including potential or actual patient harm.
(4) History of previous violations of the same or similar nature.
(5) Evidence that the violation was willful.
(c) The fine for each Class “A” violation shall not exceed $10,000 per violation. A Class “A” violation is the failure of an employer to report to the Board, as specified in Section 2520.5, the suspension or termination for cause of a licensed vocational nurse.
(d) The fine for each Class “B” violation shall be no less than $1,001 nor more than $2,500. A Class “B” violation includes:
(1) A violation that results in or could have resulted in patient harm and where there is no evidence that revocation or other disciplinary action is required to ensure consumer safety. Such violations include but are not limited to patient abandonment and falsifying nursing notes.
(2) Any violation that is neither directly or potentially detrimental to patients nor directly or potentially impacts their care. Such violations include, but are not limited to, a violation committed for personal and/or financial gain, or fraud.
(3) A minor or technical violation that continues for six months or more in duration; or
(4) A minor or technical violation with one or more Class “C” citations.
(e) The fine for each Class “C” violation shall not exceed $1,000. A Class “C” violation is a minor or technical violation that is neither directly or potentially detrimental to patients nor directly or potentially impacts their care and which continues for less than six months duration. Such violations include but are not limited to practicing with an expired license, precharting, charting errors, or verbal abuse.
(f) Notwithstanding the administrative fine amounts specified in subsections (d) and (e), a Class B or Class C citation may include a fine of no more than $5,000 if one or more of the following circumstances apply:
(1) The cited person has a history of two or more prior citations of the same or similar violations.
(2) The citation involves a violation that has a substantial risk to the health and safety of another person.
(3) The citation involves multiple violations that demonstrate a willful disregard of the law.
(4) The citation involves a violation perpetuated against an elder, disabled, or dependent person.
NOTE

Authority cited: Sections 125.9, 148 and 2854, Business and Professions Code. Reference: Sections 125.9, 148, 2878 and 2878.1, Business and Professions Code.
HISTORY

1. New section filed 7-27-95; operative 8-26-95 (Register 95, No. 30).
2. Amendment of section and Note filed 9-11-2007; operative 10-11-2007 (Register 2007, No. 37).
§2523.3. Citations for Unlicensed Practice.
Note     •     History

The executive officer of the board or his/her designee may issue citations, in accordance with Section 148 of the Code, against any person (as defined in section 302 of the Code) who is performing or who has performed services for which licensure is required under the Vocational Nursing Practice Act or regulations adopted pursuant thereto. Each citation issued under this section shall contain an order of abatement. The sanction authorized under this section shall be separate from and in addition to any other civil or criminal remedies.
NOTE

Authority cited: Sections 125.9, 148 and 2854, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 7-27-95; operative 8-26-95 (Register 95, No. 30).
§2523.4. Criteria to be Considered in Assessing a Fine.
Note     •     History

In any citation which includes a fine, the following factors shall be considered in determining the amount of the fine to be assessed:
(a) Gravity of the violation.
(b) History of previous violations of the same or a similar nature.
(c) The good or bad faith exhibited by the cited person.
(d) Evidence that the violation was willful.
(e) The extent to which the cited person cooperated with the board's investigation.
(f) The extent to which the cited person has remediated any knowledge and/or skills deficiencies which could have injured a patient.
(g) Any other mitigating or aggravating factors.
NOTE

Authority cited: Sections 125.9, 148 and 2854, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 7-27-95; operative 8-26-95 (Register 95, No. 30).
§2523.5. Contested Citations.
Note     •     History

(a) The cited person may, within 14 calendar days after service of the citation, submit a written request for an informal citation review with the executive officer or his/her designee.
(b) The executive officer or his/her designee shall, within 30 calendar days from receipt of the written request, hold an informal conference with the cited person and his/her legal counsel or authorized representative, if desired.
(c) The executive officer or his/her designee may affirm, modify or dismiss the citation, including any fine or order of abatement, at the conclusion of the informal conference. A written decision stating the reasons for the decision shall be mailed to the cited person and his/her legal counsel, if any, within 14 calendar days from the date of the informal conference.
(d) If the citation is dismissed during the informal conference, any request for an administrative hearing shall be deemed withdrawn. If the citation is affirmed or modified, the cited person may request an administrative hearing within 30 days of the date of the issuance of the written informal conference decision. The request for an administrative hearing shall be in writing.
(e) The failure of a cited person to appear for a scheduled informal citation review conference shall be deemed a withdrawal of any request for an administrative hearing if the Board sends written notice to the cited person of that consequence and the cited person does not inform the Board otherwise, in writing, within 10 calendar days of the notice.
(f) In addition to the appeal rights in subsections (a) through (e) above, the cited person may request an administrative hearing provided for in subdivision (b)(4) of Section 125.9 of the Code within 30 days of the date of issuance of the citation or assessment.
NOTE

Authority cited: Sections 125.9, 148 and 2854, Business and Professions Code. Reference: Sections 125.9, 148, 2878 and 2878.1, Business and Professions Code.
HISTORY

1. New section filed 7-27-95; operative 8-26-95 (Register 95, No. 30).
2. Amendment of section and Note filed 9-11-2007; operative 10-11-2007 (Register 2007, No. 37).
§2523.6. Compliance with Citation/Order of Abatement.
Note     •     History

(a) Orders of abatement may be extended for good cause. If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his/her control after the exercise of reasonable diligence, then he/she may request from the executive officer or his/her designee an extension of time within which to complete the correction. Such a request shall be in writing and shall be made within the time set forth for abatement.
(b) If a citation is not contested, or if the order is appealed and the cited person does not prevail, failure to abate the violation or to pay the assessed fine within the time allowed shall constitute a violation and a failure to comply with the citation or order of abatement.
(c) Failure to timely comply with an order of abatement or pay an assessed fine may result in further action being taken by the Board which may include discipline against a licensee, or other appropriate judicial relief being taken against the person cited.
(d) If a fine issued to a licensee is not paid after a citation has become final, the fine shall be added to the cited person's license renewal fee. A license shall not be renewed without payment of the renewal fee and fine.
NOTE

Authority cited: Sections 125.9, 148 and 2854, Business and Professions Code. Reference: Sections 125.9, 148, 2878 and 2878.1, Business and Professions Code.
HISTORY

1. New section filed 7-27-95; operative 8-26-95 (Register 95, No. 30).
2. Amendment of section and Note filed 9-11-2007; operative 10-11-2007 (Register 2007, No. 37).
§2523.7. Notification to Other Boards and Agencies.
Note     •     History

The issuance and disposition of a citation shall be reported to other boards of vocational nursing, registered nursing and other regulatory agencies.
NOTE

Authority cited: Sections 125.9, 148 and 2854, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 7-27-95; operative 8-26-95 (Register 95, No. 30).
§2524. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.) the Board shall consider the disciplinary guidelines entitled “Disciplinary Guidelines”, (Rev. 6/19/07), which are hereby incorporated by reference. Deviation from these guidelines, including the standard conditions of probation, is appropriate where the Board, in its sole discretion, determines that the facts of the particular case warrant such a deviation -- for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Section 2854, Business and Professions Code; and Section 11425.50(e), Government Code. Reference: Sections 2875, 2876 and 2878, Business and Professions Code; and Section 11425.50(e), Government Code.
HISTORY

1. New section and appendix A filed 10-23-96; operative 11-22-96 (Register 96, No. 43).
2. Amendment of section and repealer of appendix A filed 5-31-2000; operative 6-30-2000 (Register 2000, No. 22).
3. Editorial correction relocating article 5 heading from section 2524 to section 2525 (Register 2006, No. 15).
4. Editorial correction implementing repealer of appendix A and amending History 2 (Register 2007, No. 37).
5. Amendment filed 9-29-2008; operative 10-29-2008 (Register 2008, No. 40).
§2524.1. Consumer Complaint Disclosure.
Note     •     History

In reaching a decision on the disclosure of a consumer complaint under the Public Records Act (Government Code Section 6250 et seq.), the Board shall follow its “Consumer Complaint Disclosure Policy” which specifies the following: 
(a) Public Access to Information -- It is the policy of the Board of Vocational Nursing and Psychiatric Technicians (hereafter “Board”) that information concerning individuals licensed by this agency be available to members of the public. Among the principal functions of the Board is the investigation of complaints against its licensees to determine whether there is cause for disciplinary action. Information regarding actions taken by the Board in the disposition of such complaints is readily accessible to the consuming public. 
(b) Complaint Information System -- The Board maintains a system designed to provide information regarding complaints and disciplinary actions against its licensees and information regarding their license status.
(c) Information to be Provided Regarding Complaints -- In disclosing the existence of a consumer complaint, the Board will do so in a manner that will not reveal the identity of the complainant. The Board shall disclose details of a consumer complaint if the complaint is substantiated through investigation and/or an Accusation or Statement of Issues is filed. The Board shall disclose the following consumer complaint information to the public, upon written request: 
(1) The number of complaints which have been found by the Board to be violations of the licensing law or regulations; and 
(2) With respect to each complaint, the following information: 
(A) Its date of receipt; 
(B) A summary of the violation(s); 
(C) Its disposition, by indicating whether the complaint: 
(1) Has been or will be referred to formal disciplinary action. 
(2) Has been found to involve a minor violation not in itself meriting disciplinary action; 
(3) Has been disposed of through any action taken, formal or informal.
(3) Comparative data considered by the Board to be informative to consumers, which could include the average number of complaints received against licensees in a given region, locality or area of practice. 
(4) A general disclaimer, if any, as the Board may deem appropriate. 
(d) A consumer complaint may not be disclosed if one of the following conditions exists: 
(1) The complaint is deemed without merit. 
(2) Board jurisdiction cannot be established. 
(3) The complaint is unrelated to professional conduct. 
(4) The complaint involves a non-consumer matter. 
(5) Disclosure is prohibited by statute or regulation. 
(6) Disclosure might endanger or injure the complainant. 
(7) Disclosure might compromise the investigation and/or prosecution. 
(e) Information to be Provided Regarding Disciplinary Actions -- The Board maintains records showing the disciplinary history of all current license holders and will provide to the public, upon request, whether a current license holder has ever been disciplined and, if so, when and for what offense. A copy of documents related to that action including the accusation, proposed decision, stipulation and/or final decision will be provided to the public upon written request. 
NOTE

Authority cited: Section 2854, Business and Professions Code; and Section 6253.4, Government Code. Reference: Sections 2875, 2876, 2878, 2878.1 and 2878.5, Business and Professions Code; and Sections 6252, 6253, 6253.2, 6253.4, 6254, 6255, 6260, 11503 and 11504, Government Code.
HISTORY

1. New section filed 3-2-2006; operative 4-1-2006 (Register 2006, No. 9).
Article 5. Schools of Vocational Nursing
§2525. Accredited Schools of Nursing. Definition.
History

(See Section 2502(c) of this chapter.)
HISTORY

1. Renumbering from Section 2550 filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36).
2. Editorial correction relocating article 5 heading from section 2524 to section 2525 (Register 2006, No. 15).
§2526. Procedure for Accreditation.
Note     •     History

(a) The institution shall apply to the Board for accreditation. Written documentation shall be prepared by the director and shall include:
(1) Philosophy of the program.
(2) Conceptual framework.
(3) Terminal objectives to indicate expected student outcomes upon successful completion of the program.
(4) Curriculum objectives.
(5) Course outlines.
(6) Course objectives.
(7) Instructional Plan.
(8) Evaluation methodology for curriculum.
(9) Faculty who meet the qualifications set forth in Section 2529.
(10) Clinical Facilities.
(11) Evaluation methodology for clinical facilities.
(12) Admission criteria.
(13) Screening and selection criteria.
(14) Number of students.
(A) A school may admit alternate students in each new class to replace students who may drop out.
(B) The number of alternate students admitted may not exceed 10% of the school's Board-approved number of students per class.
(C) Prior to admission, alternate students must be informed in writing of their alternate status and that they may be dropped from the program.
(D) Alternate students may participate in classes until the commencement of scheduled clinical experience at approved clinical facilities.
(E) Upon commencement of clinical experience at approved clinical facilities, the actual number of students in the class may not exceed the number of students approved by the Board for that particular class.
(15) Evaluation methodology for student progress.
(16) List of resources for provision of counseling and tutoring services for students.
(17) Student policies:
(A) Credit granting.
(B) Attendance.
(C) Grievance.
(18) Organizational chart.
(19) Proposed starting date.
(20) Evidence of program resources to include, but not be limited to:
(A) Description of the geographic area and community to be served by the proposed program;
(B) Clinical affiliations available for student clinical experience; and
(C) Existing nursing programs with which clinical affiliations are shared.
(b) An institution may commence a new vocational nursing program upon Board approval.
(c) A Board representative shall make a survey visit prior to graduation of the initial class. A program shall not commence another class without prior Board approval.
(d) Accreditation will be granted by the Board when a vocational nursing program demonstrates that it meets all requirements as set forth in this chapter and in chapter 6.5. Division 2 of the Business and Professions Code.
(e) The accreditation period shall be for a term of four years unless the Board grants an extension.
(1) An extension may be granted when the program demonstrates to the satisfaction of the Board that it is in full compliance with all requirements as set forth in this chapter and in chapter 6.5, Division 2 of the Business and Professions Code.
(2) The extension may be granted for a period not to exceed four years.
(f) Six months prior to the date of accreditation expiration, a program may apply for continued accreditation based upon submission of documentation satisfactory to the Board. A subsequent survey visit may be conducted by a Board representative.
(g) A material misrepresentation of fact by a vocational nursing program in any information submitted to the Board is cause for denial or revocation of accreditation or provisional accreditation.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 2866, 2880, 2881 and 2883, Business and Professions Code.
HISTORY

1. Amendment and renumbering from section 2551 filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36). For prior history, see Register 75, No. 28.
2. Amendment of subsection (c)(4)(B) filed 7-29-76; effective thirtieth day thereafter (Register 76, No. 31).
3. Amendment of subsection (a), repealer of subsections (a)1.-(b), new subsections (a)1.-(e) filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
4. Editorial correction deleting duplicate section (Register 92, No. 18).
5. Amendment filed 6-1-2000; operative 6-30-2000 pursuant to Government Code section 11349.3(a) (Register 2000, No. 22).
6. Repealer of subsections (a)(14)-(a)(14)(B), new subsections (a)(14)-(a)(14)(E) and amendment of Note filed 12-29-2004; operative 1-28-2005 (Register 2004, No. 53).
7. New subsection (a)(16), subsection renumbering and amendment of newly designated subsection (a)(20) filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2526.1. Provisional Accreditation.
Note     •     History

(a) Provisional accreditation means a program has not met all requirements as set forth in this chapter and in Chapter 6.5, Division 2 of the Business and Professions Code.
(b) Provisional accreditation shall be granted for a period  determined by the Board.
(c) The Board may place any program on provisional accreditation when that program does not meet all requirements as set forth in this chapter and in Section 2526. If the program has not met all requirements at the end of the initial provisional accreditation period, provisional accreditation may be extended if the program demonstrates to the satisfaction of the Board a good faith effort to correct all deficiencies.
(d) Any program holding provisional accreditation may not admit “new” classes beyond the established pattern of admission previously approved by the Board. The admission pattern is defined by the number of students per class and the frequency of admissions for the six class admissions that immediately precede the Board action to consider provisional accreditation.
(e) A program placed on provisional accreditation shall receive written notification from the Board. The notification to the program shall include specific areas of noncompliance and requirements for correction. A program's failure to correct delineated areas of noncompliance is cause for revocation of provisional accreditation.
(f) A material misrepresentation of fact by a vocational nursing program in any information submitted to the Board is cause for revocation of provisional accreditation.
(g) A program whose provisional accreditation has been revoked shall be removed from the Board's list of accredited programs. The status of students as potential applicants for licensure will be determined by the Board.
(h) A program that is removed from the Board's list of accredited programs subsequent to Board action based on the program's non-compliance with applicable regulations shall not reapply to establish a vocational nursing program for a minimum period of one calendar year.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 2880, 2881 and 2883, Business and Professions Code.
HISTORY

1. New section filed 6-1-2000; operative 6-30-2000 pursuant to Government Code section 11349.3(a) (Register 2000, No. 22).
2. Amendment filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2527. Reports.
Note     •     History

(a) The Board shall require such reports by schools and conduct such investigations as necessary to determine whether or not accreditation will be continued.
(b) A school shall report to the Board within ten days of the termination of a faculty member.
(c) A material misrepresentation of fact by a vocational nursing program in any information submitted to the Board is caused for denial or revocation of accreditation or provisional accreditation.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 2881 and 2883, Business and Professions Code.
HISTORY

1. Amendment filed 7-11-75; effective thirtieth day thereafter (Register 75, No. 28).
2. Renumbering from section 2552 filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36).
3. Amendment filed 11-16-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 47).
4. New subsection (c) filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
5. Editorial correction deleting duplicate section (Register 92, No. 18).
6. Amendment of subsection (c) filed 6-1-2000; operative 6-30-2000 pursuant to Government Code section 11349.3(a) (Register 2000, No. 22).
§2528. Faculty, Report of Changes. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 2881 and 2882, Business and Professions Code.
HISTORY

1. Amendment filed 7-11-75; effective thirtieth day thereafter (Register 75, No. 28).
2. Renumbering from Section 2553 filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36).
3. Repealer of subsection (b) filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
4. Repealer filed 12-29-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 1).
§2529. Faculty Qualifications.
Note     •     History

(a) A school shall submit qualifications of the proposed faculty members for approval by the Board prior to employment.
(b) Each vocational nursing program shall have one faculty member, designated as director  who meets the requirements of subsection (c)(1) herein, who shall actively administer the program. The director is responsible for compliance with all regulations in Chapter 1, Article 5 (commencing with Section 2525 et seq.).
(c) Requirements for specific faculty positions are as follows:
(1) Director: A director of a vocational nursing program shall:
(A) Hold a current California active license as a Registered Nurse; and
(B) Hold a baccalaureate degree from an accredited school; and
(C) Have a minimum of three years experience as a registered nurse; one year shall be in teaching or clinical supervision, or a combination thereof, in a state accredited or approved registered nursing or vocational or practical nursing, or psychiatric technician school within the last five years; or a minimum of three years experience in nursing administration or nursing education within the last five years; and
(D) Have completed a course or courses offered by an accredited school with instruction in administration, teaching, and curriculum development.
(2) Assistant Director: An assistant director of a vocational nursing program shall:
(A) Hold a current California active license as a Registered Nurse; and
(B) Hold a baccalaureate degree from an accredited school; and
(C) Have a minimum of three years experience as a registered nurse; one year shall be in teaching or clinical supervision, or a combination thereof, in a state accredited or approved registered nursing or vocational or practical nursing, or psychiatric technician school within the last five years; or have a minimum of three years experience in nursing administration or nursing education within the last five years; and
(D) Have completed a course or courses offered by an accredited school with instruction (1) in teaching, (2) curriculum development, and (3) administration.
(3) Instructor: An instructor in a vocational nursing program shall have or be currently attending a course offered by an accredited school in teaching; and shall meet the requirements of Subsection A or B, below:
(A) Registered Nurse:
1. Hold a current California active license as a Registered Nurse; and
2. Hold a baccalaureate degree from an accredited school; or a valid teaching credential; or have completed a minimum of one year full-time teaching experience in a state accredited or approved registered nursing or vocational or practical nursing, or psychiatric technician school within the last five years; or met community college or state university teaching requirements in California; and
3. Have a minimum of two years experience as a registered nurse or licensed vocational nurse within the last five years.
(B) Licensed Vocational Nurse:
1. Hold a current California active license as a Vocational Nurse; and
2. Hold a baccalaureate degree from an accredited school; or a valid teaching credential; or have completed a minimum of one year full-time teaching experience in a state accredited or approved registered nursing or vocational or practical nursing, or psychiatric technician school within the last five years; or met community college or state university teaching requirements in California; and
3. Have a minimum of two years experience as a vocational nurse within the last five years.
(4) Additional Faculty: Persons who have the qualifications to teach in a community college or a state university in California or hold a baccalaureate degree in the field related to the curriculum content taught, or meet the requirements for vocational education credential may teach curriculum content as specified in Section 2533(e).
(5) Teacher Assistant: A teacher assistant in a vocational nursing program shall:
(A) Hold a current California active license as a Vocational Nurse or Registered Nurse; and
(B) Have a minimum of two years of experience as a licensed vocational nurse or registered nurse within the last five years.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 2881 and 2883, Business and Professions Code.
HISTORY

1. Amendment of subsection (c) filed 4-12-89; operative 5-12-89 (Register 89, No. 23). For prior history, see Register 87, No. 6.
2. Amendment filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
3. Amendment of subsections (b), (c)(1)(D), (c)(2)(D) and (c)(4) filed 11-20-97; operative 12-20-97 (Register 97, No. 47).
4. Amendment of subsection (c)(4) filed 12-29-2004; operative 1-28-2005 (Register 2004, No. 53).
§2530. General Requirements.
Note     •     History

(a) The program shall have sufficient resources, faculty, clinical facilities, library, staff and support services, physical space, skills laboratory and equipment to achieve the program's objectives.
(b) Regular faculty meetings shall be held. Minutes shall be available to the Board's representative.
(c) Clinical faculty shall have no other responsibilities during the hours assigned to the instruction of students.
(d) Each teacher assistant shall work under the direction of an approved instructor. No more than one teacher assistant may be assigned to each instructor. Each teacher assistant shall assist the instructor in skills lab and clinical teaching only. The instructor to whom the teacher assistant is assigned shall be available to provide direction to the teacher assistant as needed.
(e) Each instructor shall have a daily lesson plan which correlates the theory and practice offered to the student. A copy of this plan shall be available to the director.
(f) The program's instructional plan shall be available to all faculty.
(g) Each school shall have on file proof that each enrolled student has completed a general education course of study through the 12th grade or evidence of completion of the equivalent thereof. Equivalency is determined by the Department of Education in any of the United States or by a nationally-recognized regional accrediting body.
(h) Each school shall have an attendance policy approved by the Board. The policy shall include but not be limited to, criteria for attendance and the specific course objectives for which make-up time is required. Acceptable methods for make-up include:
(1) Theory: case studies, independent study, written examination, attendance at seminars or workshops, auto-tutorial laboratory, and research reports.
(2) Clinical: performance evaluation in skills laboratory or additional time in the clinical area with clients/patients.
(i) The school shall evaluate student performance to determine the need for remediation or removal from the program.
(j) Each school shall advise students, in writing, of the following:
(1) Right to contact the Board of program concerns.
(2) Credit for previous education and experience.
(3) School's grievance policy.
(4) List of Board approved clinical facilities.
(k) The program shall have prior Board approval to increase the number of students per class and/or increase the frequency of admission of classes. Criteria to evaluate a school's request to increase the number of students per class and/or increase the frequency of class admissions include but are not limited to:
(1) Sufficient program resources as specified in section 2530(a).
(2) Adequacy of clinical experience as specified in section 2534.
(3) Licensure examination pass rates as specified in section 2530(l).
(l) The program shall maintain a yearly average minimum pass rate on the licensure examination that does not fall below 10 percentage points of the state average pass rate for first time candidates of accredited vocational nursing schools for the same period.
(1) Failure to maintain the required yearly average minimum pass rate for two years or eight consecutive quarters may be cause to place a program on provisional accreditation.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 2866, 2881 and 2882, Business and Professions Code.
HISTORY

1. New section filed 10-4-61; effective thirtieth day thereafter (Register 61, No. 20).
2. New subsections (f) and (g) filed 12-17-70; effective thirtieth day thereafter (Register 70, No. 51).
3. Amendment filed 7-11-75; effective thirtieth day thereafter (Register 75, No. 28).
4. Amendment and renumbering from section 2554.1 filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36).
5. Amendment of subsection (i) filed 4-10-80; effective thirtieth day thereafter (Register 80, No. 15).
6. New subsection (j) filed 4-22-81; effective thirtieth day thereafter (Register 81, No. 17).
7. Amendment filed 11-16-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 47).
8. Amendment filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
9. Amendment of subsections (a) and (d), repealer of subsection (j)(3) and subsection renumbering, and new subsections (k)-(k)(2) filed 7-24-96; operative 8-23-96 (Register 96, No. 30).
10. Amendment of subsection (h) and new subsections (h)(1), (h)(2), (k)(3) and (l)-(l)(2) filed 6-1-2000; operative 6-30-2000 pursuant to Government Code section 11349.3(a) (Register 2000, No. 22).
11. Amendment of subsection (g), repealer of subsection (l)(1) and subsection renumbering filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2531. Curriculum. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2882, Business and Professions Code.
HISTORY

1. New section filed 6-9-59; effective thirtieth day thereafter (Register 59, No. 9).
2. Amendment filed 12-17-70; effective thirtieth day thereafter (Register 70, No. 51).
3. Amendment and renumbering from Section 2554.5 filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36).
4. Amendment filed 10-7-77; effective thirtieth day thereafter (Register 77, No. 41).
5. Repealer filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2532. Curriculum Hours.
Note     •     History

(a) The course in vocational nursing shall consist of not less than 1530 hours or 50 semester units, and may be given on either a full-time or part-time basis. One hour of instruction for purposes of computing the total hours of instruction or for calculating semester units as specified in this section shall consist of not less than 50 minutes of actual class time.
(b) The minimum hours required shall be as follows: Theory Hours--576, which shall include a minimum of 54 hours in pharmacology Clinical Hours--954
(c) The school week shall not exceed 40 hours per week.
(d) School days that consist of class attendance only or a combination of class attendance and clinical experience shall not exceed eight hours in length.
(e) Students may be assigned to shifts of up to and including 12-hour length for clinical experience, only.
(f) Students may be granted holidays and vacation days equivalent to those granted by community colleges.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 2881, 2882 and 2883, Business and Professions Code.
HISTORY

1. Renumbering of Section 2556.5 filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36). For prior history see Register 72, No. 21.
2. Amendment of subsection (b) filed 2-18-81; effective thirtieth day thereafter (Register 81, No. 8).
3. Amendment of subsection (b) filed 4-22-81; effective thirtieth day thereafter (Register 81, No. 17).
4. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
5. Amendment of subsection (a) filed 4-8-86; effective thirtieth day thereafter (Register 86, No. 15).
6. Amendment of subsection (c), repealer of subsection (d), new subsections (d)-(f) and amendment of Note filed 12-29-2004; operative 1-28-2005 (Register 2004, No. 53).
§2533. Curriculum Content.
Note     •     History

(a) Vocational nurse programs shall include theory and correlated clinical experience.
(b) The curriculum shall develop the knowledge, skills, and abilities necessary to care for patients of all ages in current health care settings.
(c) Curriculum content shall be taught in a sequence that results in students' progressive mastery of knowledge, skills, and abilities.
(d) The curriculum content shall include:
(1) Anatomy and physiology
(2) Nutrition
(3) Psychology
(4) Normal growth and development
(5) Nursing fundamentals
(6) Nursing process
(7) Communication, both verbal and written, including communication with patients who have psychological disorders
(8) Patient education
(9) Pharmacology which shall include:
(A) Knowledge of commonly used drugs and their action
(B) Computation of dosages
(C) Preparation of medications
(D) Principles of administration
(10) Medical-surgical nursing
(11) Communicable diseases, which shall include but not be limited to Human Immunodeficiency Virus (HIV)
(12) Gerontological nursing
(13) Rehabilitation nursing
(14) Maternity nursing
(15) Pediatric nursing
(16) Leadership
(17) Supervision
(18) Ethics and unethical conduct
(19) Critical thinking
(20) Culturally congruent care
(21) End-of-life care
(e) The following related courses may be taught by additional faculty. Additional faculty are persons who have qualifications to teach in a community college or a state university in California or hold a baccalaureate degree in the field related to the curriculum content taught, or meet the requirement for a vocational credential. 

	 Maximum Hours of Instruction
Courses	by Other Professionals Accepted by the Board

Anatomy and physiology	 54
Psychology	 54
Pharmacology	 54
Nutrition	 54
Normal Growth and Development	 54

(f) All curricular changes that significantly alter the program philosophy, conceptual framework, content, objectives, or other written documentation as required in Section 2526, shall be approved by the Board prior to implementation. Proposed curricular changes must be submitted to the Board in final form by the fifteenth day of the second month preceding the month of the Board meeting at which the changes will be considered. Revisions should include:
(1) Explanation of changes;
(2) Rationale for proposed revision;
(3) Description of revised curriculum materials; and
(4) Changes to behavioral objectives, if applicable.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 2881.1, 2882 and 2883, Business and Professions Code.
HISTORY

1. Amendment filed 2-2-76 as an emergency; effective upon filing (Register 76, No. 6). For prior history, see Register 75, No. 36.
2. Reinstatement of section as it existed prior to emergency amendment filed 2-2-76, by operation of section 11422.1(b), Gov. Code (Register 76, No. 23).
3. New subsection (b)(4) filed 10-7-77; effective thirtieth day thereafter (Register 77, No. 41).
4. Amendment of subsection (d) filed 9-27-79; effective thirtieth day thereafter (Register 79, No. 39).
5. Amendment of subsection (f) filed 4-10-80; effective thirtieth day thereafter (Register 80, No. 15).
6. Amendment filed 11-16-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 47).
7. Amendment of subsection (a)(8) and new subsections (a)(8)(A)-(a)(8)(D) filed 4-12-89; operative 5-12-89 (Register 89, No. 23).
8. Amendment filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
9. New subsection (c), subsection relettering, and amendment of newly designated subsection (e) filed 11-20-97; operative 12-20-97 (Register 97, No. 47).
10. Amendment of subsection (f) and new subsections (f)(1)-(f)(4) filed 6-1-2000; operative 6-30-2000 pursuant to Government Code section 11349.3(a) (Register 2000, No. 22).
11. Amendment of subsection (e) and amendment of Note filed 12-29-2004; operative 1-28-2005 (Register 2004, No. 53).
12. Amendment of subsection (d)(7), new subsections (d)(18)-(21) and amendment of subsection (e) filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2534. Clinical Experience.
Note     •     History

(a) Schools shall apply on a form provided by the Board for approval of each clinical facility prior to use.
(b) Schools shall have clinical facilities adequate as to number, type, and variety of patients treated, to provide clinical experience for all students in the areas specified by Section 2533. There must be available for student assignment, an adequate daily census of patients to afford a variety of clinical experiences consistent with competency-based objectives and theory being taught. Clinical objectives which students are expected to master shall be posted on patient care units utilized for clinical experience.
(c) Schools are responsible for the continuous review of clinical facilities to determine if the student's clinical objectives for each facility are being met.
(d) For supervision of clinical experience, there shall be a maximum of 15 students for each instructor.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 2873, 2881, 2882 and 2883, Business and Professions Code.
HISTORY

1. Amendment filed 12-17-70; effective thirtieth day thereafter (Register 70, No. 51). For prior history, see Register 68, No. 22.
2. Renumbering from Section 2557 filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36).
3. Amendment of subsection (b) filed 2-2-76 as an emergency; effective upon filing (Register 76, No. 6).
4. Reinstatement of subsection (b) as it existed prior to emergency amendment filed 2-2-76, by operation of Section 11422.1(b), Gov. C. (Register 76, No. 23).
5. Amendment of subsection (b) filed 4-10-80; effective thirtieth day thereafter (Register 80, No. 15).
6. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
7. Amendment of subsection (b) filed 11-20-97; operative 12-20-97 (Register 97, No. 47).
8. Repealer of subsection (e) filed 12-29-2004; operative 1-28-2005 (Register 2004, No. 53).
§2534.1. Clinical Preceptorships.
Note     •     History

(a) With prior Board approval, each vocational nursing program may offer an optional clinical preceptorship during the last nine weeks of the program.
(b) Preceptorship means an optional clinical experience for selected vocational nursing students, which is conducted in the last nine (9) weeks of the vocational nursing program.
(c) Preceptor means a registered nurse or a licensed vocational nurse on staff at the clinical facility in which the preceptorship will occur who is specially selected and prepared to work with a student during the preceptorship and who shall be responsible for on-site direction of the student's preceptorship.
(d) The program director or designee shall be responsible for the overall management of the preceptorship and final student outcomes.
(e) General Requirements
(1) The preceptorship may be conducted in any health care setting (including acute, subacute, clinic or a combination of settings) wherein the specific clinical objectives can be met.
(2) The goal of the preceptorship shall be the facilitation of students' maximal application of newly acquired knowledge, skills, and abilities in a realistic setting that simulates actual job performance.
(3) Preceptorships shall not be used for clinical make-up time or remediation.
(4) Prior to implementation of the preceptorship, the director shall apply for Board approval and specify the clinical objectives to be accomplished by the student in the preceptorship facility.
(5) The total length of a student's preceptorship shall not exceed 160 hours.
(6) The total hours per week required of a student for theory and preceptorship attendance shall not exceed 40 hours.
(7) The total hours per day required of a student for theory and preceptorship attendance shall not exceed eight (8) hours.
(8) The preceptorship shall be conducted within the last nine (9) weeks of the program or when presentation of new theory and correlated clinical content has been completed, whichever occurs later.
(9) The maximum instructor-to-preceptorship student ratio is 1:15.
(10) The maximum preceptor-to-student ratio is 1:1.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 2881 and 2882, Business and Professions Code.
HISTORY

1. New section filed 6-1-2000; operative 6-30-2000 pursuant to Government Code section 11349.3(a) (Register 2000, No. 22).
§2535. Credit for Previous Education and Experience.
Note     •     History

Each school shall have a policy, approved by the Board for giving credit toward the curriculum requirements.
(a) Transfer credit shall be given for related previous education completed within the last five years. This includes the following courses:
(1) Accredited vocational or practical nursing courses.
(2) Accredited registered nursing courses.
(3) Accredited psychiatric technician courses.
(4) Armed services nursing courses.
(5) Certified nurse assistant courses.
(6) Other courses the school determines are equivalent to courses in the program.
(b) Competency-based credit shall be granted for knowledge and/or skills acquired through experience. Credit shall be determined by written and/or practical examinations.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2881.1, Business and Professions Code.
HISTORY

1. New subsection (a)(6) filed 5-18-79; effective thirtieth day thereafter (Register 79, No. 20). For prior history, see Register 77, No. 41; 75, No. 36; 70, No. 37.
2. New subsection (c) filed 4-10-80; effective thirtieth day thereafter (Register 80, No. 15).
3. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2536. Transcript of Records. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 2881, 2882 and 2883, Business and Professions Code.
HISTORY

1. Amendment filed 12-10-64; effective thirtieth day thereafter (Register 64, No. 24).
2. Amendment filed 12-17-70; effective thirtieth day thereafter (Register 70, No. 51).
3. Renumbering from Section 2558 filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36).
4. Repealer filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
Article 6. Revenue
§2537. Fees.
Note     •     History

The following fees are established:
(a) The fee to be paid upon the filing of an application is one hundred fifty dollars ($150).
(b) The re-examination application fee (for any examination after the first) is one hundred fifty dollars ($150).
(c) The biennial renewal fee is one hundred twenty dollars ($120). For licenses that expire on or after July 1, 2009, the biennial renewal fee shall be one hundred fifty dollars ($150). In addition, an assessment of five dollars ($5) shall be collected and credited to the Vocational Nurse Education Fund, pursuant to section 2895.5 of the Code. If a license is renewed more than 30 days after its expiration, the renewal fee for the current cycle shall be the renewal fee in effect on the date the renewal fee is paid.
(d) The delinquency fee is sixty dollars ($60). For licenses that expire on or after July 1, 2009, the delinquency fee shall be seventy-five dollars ($75).
(e) The initial license fee is one hundred twenty dollars ($120). Effective July 1, 2009, the initial license fee shall be one hundred fifty dollars ($150).
(f) The interim permit fee is forty dollars ($40).
(g) The duplicate license fee is twenty-five dollars ($25).
(h) The endorsement fee is seventy-five dollars ($75).
(i) The penalty fee for submitting insufficient funds or fictitious check, draft, or money order on any bank or depository for payment of any fee to the Board is twenty five dollars ($25).
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 2867.5, 2892.1, 2895, 2895.1 and 2895.5, Business and Professions Code; and Section 6157, Government Code.
HISTORY

1. Amendment of subsection (a) filed 5-18-84; designated effective 1-1-85 (Register 84, No. 20). For prior history, see Register 83, No. 47.
2. Amendment of subsections (a), (b) and (d) filed 1-22-86; designated effective 4-1-86 (Register 86, No. 4).
3. Amendment filed 8-28-87; operative 8-28-87 (Register 87, No. 35).
4. Amendment of subsections (a), (b) and (e) filed 9-27-89; operative 10-27-89 (Register 89, No. 40.)
5. Repealer of subsections (a)-(f), new subsections (a)-(i) and amendment of Note filed 6-14-2006; operative 1-1-2007 (Register 2006, No. 24).
6. Amendment of subsections (c)-(e) filed 1-9-2009 as an emergency; operative 1-9-2009 (Register 2009, No. 2). A Certificate of Compliance must be transmitted to OAL by 7-8-2009 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as 1-9-2009 order, including further amendment of section and amendment of Note, transmitted to OAL 6-30-2009 and filed 8-11-2009 (Register 2009, No. 33).
8. Amendment of subsections (a), (b) and (i) filed 8-12-2010; operative 10-1-2010 (Register 2010, No. 33).
§2537.1. Provider's Fees.
Note     •     History

Pursuant to Section 2892.6 of the Code, the following fees for applications for approval of continuing education courses are established:
(a) The fee to be paid upon filing of an application for a continuing education provider is two hundred dollars ($200).
(b) The biennial renewal fee is two hundred dollars ($200).
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2892.6, Business and Professions Code.
HISTORY

1. New section filed 3-29-79; effective thirtieth day thereafter (Register 79, No. 13).
2. Amendment filed 9-8-81; effective thirtieth day thereafter (Register 81, No. 37).
3. Repealer of subsections (a)-(c) and new subsections (a) and (b) filed 6-14-2006; operative 1-1-2007 (Register 2006, No. 24).
§2538. Waiver of Initial License Fee. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 2892 and 2895, Business and Professions Code.
HISTORY

1. Renumbering from Section 2559.1 filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36).
2. Repealer filed 9-8-81; effective thirtieth day thereafter (Register 81, No. 37).
Article 7. Continuing Education
§2540. Definitions. [Repealed]
Note     •     History

NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 2854 and 2892.5, Business and Professions Code.
HISTORY

1. New Article 7 (2540, 2540.1-2540.5) filed 9-30-75; effective thirtieth day thereafter (Register 75, No. 40).
2. Repealer filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2540.1. Hour Requirements.
Note     •     History

(a) Each licensee renewing a license under Section 2892 of the code shall submit proof of having completed, during the preceding two years, thirty (30) hours of continuing education acceptable to the Board.
(b) This section shall not apply to the first license renewal following the initial issuance of a license.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2892.5, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 10-7-77; effective thirtieth day thereafter (Register 77, No. 41).
2. Amendment of subsections (a) and (c) filed 2-18-81; effective thirtieth day thereafter (Register 81, No. 8.)
3. Amendment filed 9-8-81; effective thirtieth day thereafter (Register 81, No. 37).
4. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2540.2. Continuing Education Courses.
Note     •     History

(a) The Board will accept each hour of theory or course-related clinical experience as one (1) hour of continuing education.
(b) Continuing education courses approved by nursing licensing agencies of this or of other states, or nursing organizations of this or other states, or courses considered comparable by the Board will be accepted.
(c) Courses which are prerequisite to or part of a registered nursing program, or college/university courses related to the Licensed Vocational Nurse scope of practice will be accepted.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2892.5, Business and Professions Code.
HISTORY

1. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2540.3. Course Provider Approval.
Note     •     History

(a) An individual applying for approval as a continuing education course provider must: 
(1) Complete and submit an application form supplied by the Board entitled, “Application to be a Continuing Education Course Provider for Licensed Vocational Nurses” (Form 55A-40; 09/05), hereby incorporated by reference.
(2) The content of all courses of continuing education must be relevant to the practice of nursing and must: 
(A) Be related to the scientific knowledge and/or technical, manual skills required for the practice of vocational nursing, or 
(B) Be related to direct and/or indirect patient/client care. 
(C) Learning experiences are expected to enhance the knowledge of the vocational nurse at a level above that required for licensure.
(3) Submit one course offering for Board review prior to course provider approval. Include the following information for the course submitted for review:
(A) Identifying information for the name, location and contact of the provider. 
(B) A description of the subject matter of the course as it relates to recent developments in the vocational nursing field or in any special area of vocational nursing practice, including course title;
(C) The course objectives;
(D) Method(s) of instruction; 
(E) Total number of hours in the course and the course location;
(F) Methods of evaluation:
1. for instructor evaluation of student achievement of course objectives; and
2. for student evaluation of course content and course instructor.
(G) Course instructor's qualifications, as specified in Section 2540.4.
(b) The Board will issue approval to the provider. A provider will not be approved for more than a two-year period. Following approval by the Board within each two-year period, the provider may offer an unlimited number of continuing education courses.
(c) An approved provider shall have a written and published policy, available on request, which provides information on:
(1) refunds in cases of non-attendance
(2) time period for return of fees
(3) notification if course is canceled
(d) The approved provider is required to accept full responsibility for each and every course, including but not limited to recordkeeping, advertising course content, issuance of certificates and instructor qualifications.
(e) Approved providers shall keep the following records for a period of four years:
(1) course outlines of each course given
(2) record of dates and places each course is given
(3) instructor curriculum vitae or resumes
(4) names and license numbers of licensed vocational nurses and/or psychiatric technicians who take any course offered by the approved provider and a record of any certificate issued to them.
(f) Provider approval is non-transferable.
(g) Approved providers must notify the Board within 30 days of any changes in information that was submitted on the most recent approved application to the board.
(h) Approval of a licensed vocational nurse continuing education course provider may be withdrawn if the Board later discovers misrepresentation in an advertisement or in any information required by the Board in accordance with this Article.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2892.5, Business and Professions Code.
HISTORY

1. Amendment of subsections (a)(4) and (c) filed 3-3-78; effective thirtieth day thereafter (Register 78, No. 9).
2. Amendment of subsection (a) filed 4-22-81; effective thirtieth day thereafter (Register 81, No. 17).
3. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
4. Amendment of section heading and section filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2540.4. Course Instructor Qualifications.
Note     •     History

Instructors of continuing education courses shall meet two of the following:
(a) Completion within two years preceding course approval of specialized training in the subject matter of the course;
(b) Completion of academic studies related to the subject matter of the course within two years of course approval;
(c) Experience teaching a course with similar subject matter content within the previous two years;
(d) Six months of work experience in the subject matter of the course within the previous three years; or
(e) Experience in developing academic courses within two years preceding course approval.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2892.5, Business and Professions Code.
HISTORY

1. Amendment filed 3-3-78; effective thirtieth day thereafter (Register 78, No. 9).
2. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
3. Amendment of section heading, first paragraph and subsection (d) filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2540.5. Course Completion Certificates and Reporting.
Note     •     History

(a) At the completion of the course the provider shall issue a certificate to each licensee.
(b) The licensee shall record on the license renewal form the date each course was completed, provider/course number, course title, and total hours of the course.
(c) Licensees are required to maintain a record of continuing education courses taken during the last four (4) years.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2892.5, Business and Professions Code.
HISTORY

1. Amendment of subsection (b) filed 3-3-78; effective thirtieth day thereafter (Register 78, No. 9).
2. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2540.6. Inactive Licenses.
Note     •     History

(a) A license will be placed on inactive status when the renewal fee is paid and continuing education requirements have not been met.
(b) To reactivate an inactive license the licensee must submit proof of thirty hours of continuing education taken during the preceding two years and have furnished a full set of fingerprints as required by section 2517.5.
NOTE

Authority cited: Sections 2841.1 and 2854, Business and Professions Code. Reference: Sections 700, 701, 703, 704, 2854, 2875, 2878 and 2892.5, Business and Professions Code; and Section 11105, Penal Code.
HISTORY

1. Amendment filed 10-7-77; effective thirtieth day thereafter (Register 77, No. 41).
2. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
3. Amendment of subsection (b) and Note filed 1-9-2009 as an emergency; operative 1-9-2009 (Register 2009, No. 2). A Certificate of Compliance must be transmitted to OAL by 7-8-2009 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as 1-9-2009 order, including further amendment of section, transmitted to OAL 6-30-2009 and filed 8-11-2009 (Register 2009, No. 33).
§2540.7. Exemption from Continuing Education Requirements.
Note     •     History

(a) At the time of making application for renewal, an applicant for exemption from the continuing education requirements shall make such application on a form prescribed by the Board.
(b) The applicant must show evidence satisfactory to the Board, that during the two-year period immediately prior to the expiration date of the applicant's license, the licensee:
(1) Has been residing in another country for a period of one year or longer reasonably preventing completion of continuing education requirements; or
(2) Has been absent from California because of military or missionary service for a period of one year or longer preventing completion of continuing education requirements; or
(3) Should be exempt from the continuing education requirements for reasons of health or other good cause which includes:
(A) Total physical and/or mental disability for one year or more and the ability to return to work, as verified by a licensed physician and surgeon or licensed clinical psychologist.
(B) Total physical and/or mental disability for one year or longer of an immediate family member for whom the licensee has total responsibility, as verified by a licensed physician and surgeon or licensed clinical psychologist.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2892.5, Business and Professions Code.
HISTORY

1. New section filed 5-18-79; effective thirtieth day thereafter (Register 79, No. 20).
2. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
3. Editorial correction of subsections (a) and (b) (Register 84, No. 2).
Article 8. Intravenous Therapy
§2542. Definition.
Note     •     History

As used in this Article:
(a) “Intravenous fluids” means fluid solutions of electrolytes, nutrients, vitamins, blood and blood products.
(b) “Superimpose” means to connect a container of intravenous fluid to tubing through which another container of intravenous fluid has just been administered.
(c) “Primary infusion line” means the line which provides a direct infusion between the container and the peripheral vein.
(d) “Secondary infusion line” means a line which provides infusion through a lateral access into a primary infusion line.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Sections 135 and 2860.5, Business and Professions Code.
HISTORY

1. New article 8 (sections 2542-2542.5) filed 12-4-75; effective thirtieth day thereafter (Register 75, No. 49).
2. New subsections (c) and (d) filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
3. Amendment of section heading, section and Note filed 1-29-2003; operative 2-28-2003 (Register 2003, No. 5).
4. Change without regulatory effect repealing 1-29-2003 amendments filed 11-30-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 48).
§2542.1. Intravenous Therapy.
Note     •     History

The Board will consider a licensed vocational nurse as competent to start and superimpose intravenous fluids via primary or secondary infusion lines who has completed one of the following:
(a) A course in intravenous therapy approved by the Board, as defined in Section 2542.3.
(b) Submitted certification, satisfactory to the Board, by one of the persons specified in Section 2542.4, that the licensee has been instructed in the subject areas specified in Section 2542.3 and that the licensee has the knowledge, skills and abilities to safely practice venipuncture. For further limitations, see Business and Professions Code section 2860.5.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2860.5, Business and Professions Code.
HISTORY

1. Amendment of subsection (b)(3) filed 10-7-77; effective thirtieth day thereafter (Register 77, No. 41).
2. Amendment of subsection (b)(3) filed 1-11-79; effective thirtieth day thereafter (Register 79, No. 2).
3. Amendment of subsection (b) filed 4-22-81; effective thirtieth day thereafter (Register 81, No. 17).
4. Amendment filed 11-16-83; effective upon filing pursuant to Government Code section 11346.2 (d) (Register 83, No. 47)
5. Amendment of first paragraph and subsection (b) filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
6. Repealer and new section filed 1-29-2003; operative 2-28-2003 (Register 2003, No. 5).
7. Change without regulatory effect repealing 1-29-2003 amendments filed 11-30-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 48).
§2542.2. Procedure for Certification Course Approval.
Note     •     History

(a) A person or institution applying for approval of a certification course in intravenous therapy must complete and submit an application form supplied by the Board entitled, “Application to be a Certification Course Provider in Intravenous Therapy for Licensed Vocational Nurses” (Form 55ED-6; 09/05), hereby incorporated by reference.
(b) A course of instruction must be approved by the Board before it is offered by the provider. 
(c) A course will not be approved for more than a two-year period. 
(d) Approval of a licensed vocational nurse intravenous therapy certification course may be withdrawn if the Board later discovers misrepresentation in an advertisement or in any information required by the Board in accordance with this Article.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2860.5, Business and Professions Code.
HISTORY

1. Amendment of subsection (c) filed 1-11-79; effective thirtieth day thereafter (Register 79, No. 2)
2. Amendment of subsections (a) and (b) filed 4-22-81; effective thirtieth day thereafter (Register 81, No. 17).
3. Amendment of section heading and section filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2542.3. Approval of Course Content.
Note     •     History

(a) A course in intravenous therapy shall be taught by an instructor approved as provided in Section 2542.4; shall have a maximum of 15 students for each instructor for clinical experience; and shall be at least 30 hours in length, including 24 hours theory and 6 hours clinical experience, including at least 3 individually supervised successful venipunctures by each student on live human subjects. The theory shall include, but not be limited to the following:
(1) The requirements contained in Section 2860.5(c) of the code necessary for a nurse to start and superimpose intravenous fluids;
(2) Psychological preparation of the patient; 
(3) Universal precautions for infection control; and
(4) Intravenous therapy;
(A) Indications for intravenous therapy 
(B) Types of venipuncture devices
(C) Types of delivery systems
(D) Types of intravenous fluids 
(E) Preparation and immobilization of the venipuncture site
(F) Observation of the patient 
(G) Regulation of the fluid flow
(H) Local and systemic reactions
(b) Intravenous therapy clinical experience must include: 
(1) Preparation of equipment; 
(2) Safety factors; 
(3) Choice of vein;
(4) Choice of device for intravenous therapy; 
(5) Techniques of venipuncture;
(6) Universal precautions for infection control.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2860.5, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 7-29-76; effective thirtieth day thereafter (Register 76, No. 31).
2. Amendment of subsections (a), (b)(4) and (b)(5) filed 1-11-79; effective thirtieth day thereafter (Register 79, No. 2)
3. Amendment filed 11-16-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 47).
4. Reorganizing and renumbering of subsections (a)(2)-(10) and (b)(1)-(4) and new subsections (a)(5) and (a)(9) filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
5. New subsection (b)(6) filed 7-24-96; operative 8-23-96 (Register 96, No. 30).
6. Amendment of section heading and section filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2542.4. Approval of Course Instructors.
Note     •     History

To be approved by the Board, a certification course must be taught by one of the following persons:
(a) A physician and surgeon licensed by the Medical Board of California or the Osteopathic Medical Board of California who within the previous five years:
(1) Has had a minimum of six months of experience starting and superimposing intravenous fluids in an “organized health care system,” as defined in Section 2860.5(c)(2) of the Code; or 
(2) Has had experience teaching courses in intravenous therapy.
(b) A nurse licensed by the California Board of Registered Nursing who within the previous five years: 
(1) Has had a minimum of six months of experience starting and superimposing intravenous fluids in an “organized health care system,” as defined in Section 2860.5(c)(2) of the Code; or 
(2) Has had experience teaching courses in intravenous therapy; or
(3) Has met the requirements for faculty of a Registered Nursing or Vocational Nursing program.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2860.5, Business and Professions Code.
HISTORY

1. Amendment of subsections (b)(4) and (b)(5) filed 7-29-76; effective thirtieth day thereafter (Register 76, No. 31).
2. Amendment of subsection (b)(4) filed 10-7-77; effective thirtieth day thereafter (Register 77, No. 41).
3. Amendment of subsection (a) filed 3-3-78; effective thirtieth day thereafter (Register 78, No. 9).
4. Amendment filed 1-11-79; effective thirtieth day thereafter (Register 79, No. 2).
5. Amendment filed 12-29-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 1).
6. Change without regulatory effect amending subsection (a) filed 1-14-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 3).
7. Amendment filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2542.5. Reports to Board.
Note     •     History

(a) The certification course provider in intravenous therapy for licensed vocational nurses must submit to the Board a copy of the certificate issued to the licensee, entitled, “Certificate of Completion Intravenous Therapy For Licensed Vocational Nurses” (Form 55ED-7; 09/05), hereby incorporated by reference, which shall include:
(1) Course Title;
(2) Date of course completion;
(3) Licensee's name, address, telephone number and vocational nurse license number; 
(4) Code number issued by the Board; and 
(5) Number of course hours, specified as theory and clinical hours.
(b) The certification course provider shall maintain a list of all licensed vocational nurses who have completed the intravenous therapy certification course within the preceding four years.
(c) A licensed vocational nurse is deemed to be Board-certified in intravenous therapy upon written notification from the Board.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2860.5, Business and Professions Code.
HISTORY

1. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
2. Amendment filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
Article 9. Blood Withdrawal
§2544. Blood Withdrawal.
Note     •     History

A licensed vocational nurse may withdraw blood from a patient when directed by a licensed physician. In addition, the licensed vocational nurse must have: 
(a) Satisfactorily completed a course in blood withdrawal approved by the Board, as defined in Section 2544.2; or 
(b) Submitted certification, satisfactory to the Board, by one of the persons specified in Section 2544.3, that the licensee has been instructed in the subject areas specified in Section 2544.2 and that the licensee has the knowledge, skills and abilities to safely practice blood withdrawal. 
NOTE

Authority cited: Section 2584, Business and Professions Code. Reference: Section 2860.5, Business and Professions Code.
HISTORY

1. Article 9 (Sections 2544-2544.4), filed 9-2-75; effective thirtieth day thereafter (Register 75, No. 36).
2. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
3. Amendment filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2544.1. Procedure for Certification Course Approval.
Note     •     History

(a) A person or institution applying for approval of a certification course in blood withdrawal must complete and submit an application form supplied by the Board entitled, “Application to be a Certification Course Provider in Blood Withdrawal for Licensed Vocational Nurses” (Form 55ED-1; 09/05), hereby incorporated by reference.
(b) A course of instruction must be approved by the Board before it is offered by the provider. 
(c) A course will not be approved for more than a two-year period.
(d) Approval of a licensed vocational nurse blood withdrawal certification course may be withdrawn if the Board later discovers misrepresentation in an advertisement or in any information required by the Board in accordance with this Article.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2860.5, Business and Professions Code.
HISTORY

1. Amendment filed 4-22-81; effective thirtieth day thereafter (Register 81, No. 17).
2. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
3. Amendment of section heading and section filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2544.2. Approval of Course Content.
Note     •     History

(a) A course in blood withdrawal for licensed vocational nurses shall be taught by an instructor approved as provided in Section 2544.3; shall have a maximum of 15 students for each instructor for clinical experience; and shall be at least six hours in length, including 3 hours theory and 3 hours clinical experience, including at least 3 individually supervised venipunctures on live human subjects and at least 3 individually supervised skin punctures on live human subjects. Arterial punctures are optional. The theory shall include, but not be limited to, the following:
(1) The requirements contained in Section 2860.5(b) of the Code necessary for a nurse to perform blood withdrawal;
(2) Psychological preparation of the patient;
(3) Universal precautions for infection control;
(4) Blood withdrawal;
(A) Methods of blood withdrawal;
1. Skin puncture;
2. Venipuncture; and
3. Arterial puncture (optional).
(B) Selection of appropriate method; 
(C) Safety measures; 
(D) Possible complications; and
(E) Preparation of withdrawal sites. 
(b) Blood withdrawal clinical experience must include:
(1) Preparation of equipment for blood withdrawal;
(2) Safety factors;
(3) Choice of withdrawal site;
(4) Choice of artery (optional);
(5) Choice of device for blood withdrawal;
(6) Techniques of venipuncture;
(7) Techniques of arterial puncture (optional);
(8) Skin puncture practice must include instruction in:
(A) Preparation of site; and
(B) Preparation of equipment.
(9) Universal precautions for infection control. 
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2860.5, Business and Professions Code.
HISTORY

1. Amendment and new subsection (c) filed 1-11-79; effective thirtieth day thereafter (Register 79, No. 2).
2. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
3. New subsection (a)(7) and subsection renumbering filed 7-24-96; operative 8-23-96 (Register 96, No. 30).
4. Amendment of section heading and section filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2544.3. Approval of Course Instructors.
Note     •     History

To be approved by the Board, a certification course must be taught by one of the following persons:
(a) A physician and surgeon licensed by the Medical Board of California or the Osteopathic Medical Board of California who within the previous five years:
(1) Has had a minimum of six months of experience, including blood withdrawal and/or starting and superimposing intravenous fluids in an “organized health care system,” as defined in Section 2860.5(c)(2) of the Code; or 
(2) Has had experience teaching courses in blood withdrawal and/or intravenous therapy.
(b) A nurse licensed by the California Board of Registered Nursing who within the last five years: 
(1) Has had a minimum of six months of experience, including blood withdrawal and/or starting and superimposing intravenous fluids in an “organized health care system,” as defined in Section 2860.5(c)(2) of the Code; or 
(2) Has had experience teaching courses in blood withdrawal and/or intravenous therapy; or
(3) Has met the requirements for faculty of a Registered Nurse, Vocational Nurse or Psychiatric Technician program.
(c) A clinical laboratory scientist (technologist), licensed by the California Department of Health Services who within the previous five years: 
(1) Has had a minimum of six months of experience performing blood withdrawal in an “organized health care system,” as defined in Section 2860.5(b) of the Code; or 
(2) Has had experience teaching courses in blood withdrawal. 
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2860.5, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 3-3-78; effective thirtieth day thereafter (Register 78, No. 9).
2. Amendment of subsection (b) filed 1-11-79; effective thirtieth day thereafter (Register 79, No. 2).
3. Amendment filed 12-29-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 1).
4. Change without regulatory effect amending subsection (a) filed 1-14-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 3).
5. Amendment filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2544.4. Reports to Board.
Note     •     History

(a) The certification course provider in blood withdrawal for licensed vocational nurses must submit to the Board a copy of the certificate issued to the licensee, entitled, “Certificate of Completion Blood Withdrawal For Licensed Vocational Nurses” (Form 55ED-2; 09/05), hereby incorporated by reference, which shall include:
(1) Course title; 
(2) Date of course completion; 
(3) Licensee's name, address, telephone number and vocational nurse license number; 
(4) Code number issued by the Board; and 
(5) Number of course hours, specified as theory and clinical hours.
(b) The certification course provider shall maintain a list of all licensed vocational nurses who have completed the blood withdrawal certification course within the preceding four years.
(c) A licensed vocational nurse is deemed to be Board-certified in blood withdrawal upon written notification from the Board.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2860.5, Business and Professions Code.
HISTORY

1. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
2. Amendment filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
Article 10. Intravenous Therapy/Blood Withdrawal
§2547. Definition.
Note     •     History

As used in this Article:
(a) “Intravenous fluids” means fluid solutions of electrolytes, nutrients, vitamins, blood and blood products.
(b) “Superimpose” means to connect a container of intravenous fluid to tubing through which another container of intravenous fluid has just been administered.
(c) “Primary infusion line” means the line which provides a direct infusion between the container and the peripheral vein.
(d) “Secondary infusion line” means a line which provides infusion through a lateral access into a primary infusion line.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2860.5, Business and Professions Code.
HISTORY

1. New article 10 (sections 2547-2547.5) filed 1-11-79; effective thirtieth day thereafter (Register 79, No. 2).
2. New subsections (c) and (d) filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
3. Amendment of section heading and section filed 1-29-2003; operative 2-28-2003 (Register 2003, No. 5).
4. Change without regulatory effect repealing 1-29-2003 amendments filed 11-30-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 48).
§2547.1. Intravenous Therapy/Blood Withdrawal.
Note     •     History

The Board will consider a licensed vocational nurse as competent to start and superimpose intravenous fluids via primary or secondary infusion lines and perform blood withdrawal who has completed one of the following:
(a) A course of instruction in intravenous therapy and blood withdrawal approved by the Board.
(b) Submitted certification, satisfactory to the Board, by one of the persons specified in Section 2547.4, that the licensee has been instructed in the subject areas specified in Section 2547.3 and that the licensee is knowledgeable and competent in the practice of venipuncture and blood withdrawal.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2860.5, Business and Professions Code.
HISTORY

1. Amendment of subsection (b) filed 4-22-81; effective thirtieth day thereafter (Register 81, No. 17).
2. Amendment filed 11-16-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 47).
3. Amendment of first paragraph filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
4. Repealer and new section filed 1-29-2003; operative 2-28-2003 (Register 2003, No. 5).
5. Change without regulatory effect repealing 1-29-2003 amendments filed 11-30-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 48).
§2547.2. Procedure for Certification Course Approval.
Note     •     History

(a) A person or institution applying for approval of a certification course in intravenous therapy and blood withdrawal must complete and submit an application form supplied by the Board entitled “Application to be a Certification Course Provider in Intravenous Therapy/Blood Withdrawal for Licensed Vocational Nurses” (Form 55ED-11; 09/05), hereby incorporated by reference.
(b) A course of instruction must be approved by the Board before it is offered by the provider. 
(c) A course will not be approved for more than a two-year period. 
(d) Approval of a licensed vocational nurse intravenous therapy and blood withdrawal certification course may be withdrawn if the Board later discovers misrepresentation in an advertisement or in any information required by the Board in accordance with this Article.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2860.5, Business and Professions Code.
HISTORY

1. Amendment of subsections (a) and (b) filed 4-22-81; effective thirtieth day thereafter (Register 81, No. 17).
2. Amendment of section heading and section filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2547.3. Approval of Course Content.
Note     •     History

(a) A course in intravenous therapy and blood withdrawal shall be taught by an instructor approved as provided in Section 2547.4; shall have a maximum of 15 students for each instructor for clinical experience; and shall be at least 36 hours in length, including 27 hours theory and 9 hours clinical experience, including at least 3 individually supervised successful venipunctures and 3 individually supervised skin punctures by each student on live human subjects. Arterial punctures are optional. The theory shall include, but not be limited to, the following:
(1) The requirements contained in Section 2860.5(b) and (c) of the Code necessary for a nurse to start and superimpose intravenous fluids and perform blood withdrawal;
(2) Psychological preparation of the patient;
(3) Universal precautions for infection control;
(4) Intravenous Therapy;
(A) Indications for intravenous therapy;
(B) Types of venipuncture devices;
(C) Types of delivery systems;
(D) Types of intravenous fluids;
(E) Preparation and immobilization of the venipuncture site;
(F) Observation of the patient;
(G) Regulation of the fluid flow; and
(H) Local and systemic reactions;
(5) Blood Withdrawal;
(A) Methods of blood withdrawal:
1. Venipuncture;
2. Skin puncture; and
3. Arterial puncture (optional). 
(B) Selection of appropriate method;
(C) Safety measures;
(D) Possible complications; and
(E) Preparation of withdrawal sites.
(b) Intravenous therapy and blood withdrawal clinical experience must include: 
(1) Preparation of equipment for intravenous therapy and blood withdrawal; 
(2) Safety factors; 
(3) Choice of vein;
(4) Choice of artery (optional); 
(5) Choice of device for intravenous therapy and blood withdrawal;
(6) Techniques of venipuncture; 
(7) Techniques of arterial puncture (optional);
(8) Skin puncture practice must include instruction in: 
(A) Preparation of site; and
(B) Preparation of equipment.
(9) Universal precautions for infection control.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2860.5, Business and Professions Code.
HISTORY

1. Amendment filed 11-16-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 47).
2. Amendment of subsections (a), (a)(2)(A) and (a)(2)(F), new subsections (a)(3), (a)(4)(C) and (a)(4)(G) including renumbering or relettering, and reorganizing and renumbering of subsections (b)(1)-(7) filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
3. Editorial correction of subsection (a)(4)(A) (Register 96, No. 30).
4. Amendment of subsections (a)(5)(A)(2), repealer of second subsection (b)(4), renumbering of second subsection (b)(5) to (b)(6), amendment of newly designated subsection (b)(6)(B), and new subsection (b)(7) filed 7-24-96; operative 8-23-96 (Register 96, No. 30).
5. Amendment of section heading and section filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2547.4. Approval of Course Instructors.
Note     •     History

To be approved by the Board, a certification course must be taught by one of the following persons: 
(a) A physician and surgeon licensed by the Medical Board of California or the Osteopathic Medical Board of California who within the previous five years: 
(1) Has had a minimum of six months of experience performing blood withdrawal and starting and superimposing intravenous fluids in an “organized health care system,” as defined in Section 2860.5(c)(2) of the Code; or 
(2) Has had experience teaching courses in intravenous therapy and blood withdrawal. 
(b) A nurse licensed by the California Board of Registered Nursing who within the previous five years: 
(1) Has had a minimum of six months of experience performing blood withdrawal and starting and superimposing intravenous fluids in an “organized health care system,” as defined in Section 2860.5(c)(2) of the Code; or 
(2) Has had experience teaching courses in intravenous therapy and blood withdrawal; or 
(3) Has met the requirements for faculty of a Registered Nurse, Vocational Nurse or Psychiatric Technician program.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2860.5, Business and Professions Code.
HISTORY

1. Amendment filed 12-29-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 1).
2. Change without regulatory effect amending subsection (a) filed 1-14-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 3).
3. Amendment filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2547.5. Reports to Board.
Note     •     History

(a) The certification course provider in intravenous therapy and blood withdrawal for licensed vocational nurses must submit to the Board a copy of the certificate issued to the licensee, entitled, “Certificate of Completion Intravenous Therapy/Blood Withdrawal For Licensed Vocational Nurses” (Form 55ED-12; 09/05), hereby incorporated by reference, which shall include: 
(1) Course title; 
(2) Date of course completion; 
(3) Licensee's name, address, telephone number and vocational nurse license number; 
(4) Code number issued by the Board; and 
(5) Number of course hours, specified as theory and clinical hours.
(b) The certification course provider shall maintain a list of all licensed vocational nurses who have completed the intravenous therapy and blood withdrawal certification course within the preceding four years.
(c) A licensed vocational nurse is deemed to be Board-certified in intravenous therapy and blood withdrawal upon written notification from the Board.
NOTE

Authority cited: Section 2854, Business and Professions Code. Reference: Section 2860.5, Business and Professions Code.
HISTORY

1. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
2. Amendment filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2555. Curriculum Plan. [Repealed]
History

HISTORY

1. Amendment filed 9-4-53; effective thirtieth day thereafter (Register 53, No. 15).
2. Repealer filed 12-17-70; effective thirtieth day thereafter (Register 70, No. 51).
§2556. Basic Curriculum. [Repealed]
History

HISTORY

1. Repealer filed 12-17-70; effective thirtieth day thereafter (Register 70, No. 51).
Chapter 2. Psychiatric Technicians
Article 1. General Provisions
§2560. Location of Offices. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4501, Business and Professions Code.
HISTORY

1. New subchapter 2 (2561-2566, 2570, 2575 and 2590) filed 1-21-60; effective 30th day thereafter (Register 60, No. 2).
2. Amendment filed 12-13-68; effective thirtieth day thereafter (Register 68, No. 47).
3. Amendment filed 11-10-72; effective thirtieth day thereafter (Register 72, No. 46).
4. Repealer filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2561. Tenses, Gender, and Number. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 14.1, Business and Professions Code.
HISTORY

1. Repealer filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2562. Definitions.
Note     •     History

As used in this chapter, unless the context otherwise requires:
(a) “Board” means the Board of Vocational Nursing and Psychiatric Technicians of the State of California.
(b) “Code” means the Business and Professions Code.
(c) “Accredited school for psychiatric technicians,” “accredited school,” and “school” means a school for the training of psychiatric technicians which has been accredited by the Board pursuant to Sections 4530-4532 of the code (the Psychiatric Technicians Law), and whose graduates, if otherwise qualified, are eligible to apply for a license to practice as a psychiatric technician.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 101, 4501 and 4511, Business and Professions Code.
HISTORY

1. Amendment filed 12-13-68; effective thirtieth day after filing (Register 68, No. 47).
2. New subsection (d) filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
3. Change without regulatory effect amending subsection (a) and Note filed 1-14-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 3).
4. Repealer of subsection (d) filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2563. Delegation of Certain Functions.
Note     •     History

The power and discretion conferred by law upon the Board to receive and file accusations; issue notices of hearings, statements to respondent and statements of issues; receive and file notices of defense; determine the time and place of hearings under Section 11508 of the Government Code; issue subpoenas and subpoenas duces tecum; set and calendar cases for hearing and perform other functions necessary to the businesslike dispatch of the business of the Board in connection with proceedings under the provisions of Section 11500 through 11528 of the Government Code, prior to the hearing of such proceedings; and the certification and delivery or mailing of copies of decisions under Section 11518 of said code are hereby delegated to and conferred upon the executive officer, or, in the absence of the executive officer from the office of the Board, the assistant executive officer.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4503, Business and Professions Code.
HISTORY

1. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2564. Filing of Addresses.
Note     •     History

All persons holding a license from the Board shall file their current mailing address with the Board at its office in Sacramento, and shall immediately notify the Board of any and all changes of mailing address, within 30 days after the change, giving both their old and new addresses and license number.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 136 and 4545, Business and Professions Code.
HISTORY

1. Amendment filed 12-13-68; effective thirtieth day after filing (Register 68, No. 47).
2. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
3. Change without regulatory effect amending section and Note filed 1-14-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 3).
§2564.1. Response to Board Inquiry.
Note     •     History

If the board or its designee asks a licensee to provide criminal history information, a licensee shall respond to that request within 30 days. The licensee shall make available all documents and other records requested and shall respond with accurate information.
NOTE

Authority cited: Sections 4501.1, 4503 and 4504, Business and Professions Code. Reference: Sections 125.9, 144, 4503, 4510, 4511, 4521, 4521.2 and 4523, Business and Professions Code; and Section 11105, Penal Code. 
HISTORY

1. New section filed 1-9-2009 as an emergency; operative 1-9-2009 (Register 2009, No. 2). A Certificate of Compliance must be transmitted to OAL by 7-8-2009 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as 1-9-2009 order transmitted to OAL 6-30-2009 and filed 8-11-2009 (Register 2009, No. 33).
Article 2. Application for License
§2565. Form.
History

Applications for licensure shall be made upon the form prescribed and provided by the Board, accompanied by such evidence, statements, or documents as therein required.
HISTORY

1. Amendment filed 12-13-68; effective thirtieth day after filing (Register 68, No. 47).
2. Editorial correction (Register 84, No. 2).
§2566. Place of Filing.
Note     •     History

Applications for licensure shall be filed with the Board's principal office in Sacramento.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4501, Business and Professions Code.
HISTORY

1. Amendment filed 12-13-68; effective thirtieth day after filing (Register 68, No. 47).
2. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2567. Permit Processing Times.
Note     •     History

“Permit” as defined by the Permit Reform Act of 1981 means any license, certificate, registration, permit or any other form of authorization required by a state agency to engage in a particular activity or act. Processing times for the board's various permits are set forth below. The actual processing times apply to those persons who apply by the specified filing deadlines (if applicable) and who take and pass the first available examination.

		Maximum Period of time	
		in which the board will notify	Maximum Period of time
		applicant in writing that the	after the filing of a
		application is complete and	complete application	Actual Processing Time
		accepted for filing or that the	in which the Board	Based on Prior Two Years 
		application is deficient and what	will notify applicant	Minimum/Median/
	Permit	specific information is required	of a permit decision.	Maximum

	Initial License	90 days	365 days	15	30	385 days
	Interim Permit	30 days	60 days	30	45	60 days
	Renewals-License	60 days	90 days	30	45	60 days
	Continuing
	Education (CE) Providers	30 days	30 days	1	15	30 days
	Blood Withdrawal Certificate	30 days	60 days	1	15	30 days
	Blood Withdrawal Course	30 days	60 days	1	15	30 days
	Provider (Initial)
	Blood Withdrawal Course	30 days	60 days	1	15	30 days
	Provider (Renewal)
	
NOTE

Authority cited: Section 2854, Business & Professions Code and Section 15376, Government Code. Reference: Sections 15375 and 15376, Government Code.
HISTORY

1. New section filed 5-3-91; operative 6-2-91 (Register 91, No. 24).
2. Amendment filed 12-11-92; operative 1-11-93 (Register 92, No. 50).
3. Amendment filed 1-19-99; operative 1-19-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 4).
Article 3. Examinations
§2570. Scope of Examinations.
Note     •     History

Examinations shall be designed to test the minimal competency of the applicant to safely practice as a psychiatric technician and to protect the health and safety of the consumer.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4510, Business and Professions Code.
HISTORY

1. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2570.1. Failure to Take Assigned Examination.
Note     •     History

An applicant who fails to take an assigned examination shall be removed from the eligible list of applicants. To be scheduled for a subsequent examination the applicant shall notify the Board and shall pay the reexamination fee as prescribed by Section 2590 of this Chapter.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4548, Business and Professions Code.
HISTORY

1. New section filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
2. Amendment filed 4-12-89; operative 5-12-89 (Register 89, No. 23).
§2571. Abandonment of Application.
Note     •     History

(a) An application shall be deemed to have been abandoned and the application fee forfeited when:
(1) The applicant fails to complete the application within two years after it is originally submitted;
(2) The applicant fails to complete the application within two years after the last notification of deficiency; or
(3) The applicant without good cause fails to take the examination within one year after being scheduled.
(b) An application submitted subsequent to the abandonment of a former application shall be treated as a new application.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 4512 and 4515, Business and Professions Code.
HISTORY

1. New section filed 11-12-71; effective thirtieth day thereafter (Register 71, No. 46).
2. Amendment filed 9-27-79; effective thirtieth day thereafter (Register 79, No. 39).
3. Amendment of subsection (a) filed 4-8-86; effective thirtieth day thereafter (Register 86, No. 15).
§2572. Examination Procedure.
Note     •     History

No one except as authorized by the Board shall solicit, accept, or compile information regarding the contents of written examination questions, either before, during, or after the administration of any examination.
(a) Applications and all required supporting documentation and fees must be received by the Board prior to the applicant being scheduled for examination.
(b) Psychiatric technician programs shall file a transcript of record for each student who completes the course on a form provided by the Board. 
(c) Schools shall submit in duplicate a list of all students whose applications for examination are submitted to the Board by the school.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 4511, 4512, 4513 and 4548, Business and Professions Code.
HISTORY

1. New section filed 7-31-74; effective thirtieth day thereafter (Register 74, No. 31).
2. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
3. Editorial correction of subsection (a) (Register 84, No. 2).
4. Amendment of subsections (a) and (b) filed 7-24-96; operative 8-23-96 (Register 96, No. 30).
Article 4. Licenses
§2574. Eligibility for Licensure. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4511, Business and Professions Code.
HISTORY

1. New section filed 11-12-71; effective thirtieth day thereafter (Register 71, No. 46).
2. Repealer filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2575. Equivalent Study and Training.
Note     •     History

Persons applying for licensure in accordance with Section 4511 of the code must meet one of the following:
(a) Persons applying for licensure based on civilian paid clinical experience and prior education must meet the following requirements:
(1) Successful completion of 576 hours of theory and 954 hours of supervised clinical experience, taught by an individual who meets the requirements of section 2584(c)(3), within the ten years prior to the date of application. Any or all of the supervised clinical experience may be satisfied by paid inpatient bedside work experience. Paid inpatient bedside work experience is the performance of direct patient care functions provided throughout the patient's stay that encompass the breadth and depth of experience equivalent to that performed by the psychiatric technician. The hours of theory and clinical experience shall include a minimum of each of the following: 
(A) 54 hours of theory in pharmacology, covering the content described in Section 2587(d)(9). 
(B) 126 hours of theory and 270 hours of supervised clinical experience in nursing science, covering the content described in Section 2587(d)(7), and including communication skills, both verbal and written. 
(C) 108 hours of theory and 270 hours of supervised clinical experience in mental disorders, covering the content described in Section 2587(d)(11), and including communication skills, both verbal and written. 
(D) 108 hours of theory and 270 hours of supervised clinical experience in developmental disabilities, covering the content described in Section 2587(d)(10), and including communication skills, both verbal and written. 
(b) Persons applying for licensure based on completion of an armed forces course involving neuropsychiatric nursing and an armed forces or civilian course from an accredited school in the care of the developmentally disabled client must meet the following requirements.
(1) One year of verified full time paid work experience, including at least six months in a military clinical facility caring for clients with mental disorders and at least six months in a military or civilian clinical facility caring for clients with developmental disabilities. Military or civilian service evaluations showing the dates of service, wards assigned and duties performed for each assignment shall be required.
(2) Transcripts or certificate showing completion of an armed forces course involving neuropsychiatric nursing and an armed forces or civilian course from an accredited school in the care of the developmentally disabled client shall also be required.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 4511 and 4515, Business and Professions Code.
HISTORY

1. Amendment of section and NOTE filed 9-15-77; effective thirtieth day thereafter (Register 77, No. 38). For prior history, see Register 71, No. 46.
2. Amendment filed 3-3-78; effective thirtieth day thereafter (Register 78, No. 9).
3. Amendment of subsection (a)(1)(D) and new subsection (a)(1)(E) filed 1-11-79; effective thirtieth day thereafter (Register 79, No. 2).
4. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
5. Amendment of subsection (a)(3) and (c) filed 4-8-86; effective thirtieth day thereafter (Register 86, No. 15).
6. Amendment of subsection (c) filed 11-20-97; operative 12-20-97 (Register 97, No. 47).
7. Amendment of subsection (b) and new subsections (b)(1) and (b)(2) filed 6-1-2000; operative 6-30-2000 pursuant to Government Code section 11349.3(a) (Register 2000, No. 22).
8. Amendment filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2575.5. Fingerprint and Disclosure Requirements for Renewal of License.
Note     •     History

(a) As a condition of renewal for a license that expires on or after April 1, 2009, a licensee who was initially licensed prior to January 1, 1998, or for whom an electronic record of the submission of fingerprints no longer exists, shall furnish to the Department of Justice a full set of fingerprints for the purpose of conducting a criminal history record check and to undergo a state and federal level criminal offender record information search conducted through the Department of Justice. 
(1) The licensee shall pay any costs for furnishing the fingerprints and conducting the searches. 
(2) A licensee shall certify when applying for renewal whether his or her fingerprints have been furnished to the Department of Justice in compliance with this section. 
(3) This requirement is waived if the license is renewed in an inactive status, or if the licensee is actively serving in the military outside the country. 
(4) A licensee shall retain, for at least three years from the renewal date, either a receipt showing the electronic transmission of his or her fingerprints to the Department of Justice or a receipt evidencing that the licensee's fingerprints were taken.
(b) As a condition of renewal, an applicant for renewal shall disclose whether, since the licensee last applied for renewal, he or she has been convicted of any violation of the law in this or any other state, the United States, or other country, omitting traffic infractions under $300 not involving alcohol, dangerous drugs, or controlled substances. 
(c) As a condition of renewal, a licensee shall disclose whether, since the licensee last applied for renewal, he or she has been denied a license or had a license disciplined by another licensing authority of this state, of another state, of any agency of the federal government, or of another country.
(d) Failure to comply with the requirements of this section renders any application for renewal incomplete and the license will not be renewed until the licensee demonstrates compliance with all requirements.
(e) Failure to furnish a full set of fingerprints to the Department of Justice as required by this section on or before the date required for renewal of a license is grounds for discipline by the Board. 
NOTE

Authority cited: Sections 4501.1 and 4504, Business and Professions Code. Reference: Sections 118, 141, 144, 4503, 4515, 4521, 4521.6, 4544 and 4545, Business and Professions Code; and Section 11105, Penal Code. 
HISTORY

1. New section filed 1-9-2009 as an emergency; operative 1-9-2009 (Register 2009, No. 2). A Certificate of Compliance must be transmitted to OAL by 7-8-2009 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as 1-9-2009 order, including amendment of section and Note, transmitted to OAL 6-30-2009 and filed 8-11-2009 (Register 2009, No. 33).
§2576. Renewal of License. Eligibility for Renewal After License Has Expired.
Note     •     History

Any person who has been issued an equivalent license in another state during the period since the expiration of a license in California, or can otherwise establish to the satisfaction of the Board, that they are qualified to engage in practice as a licensed psychiatric technician, shall be exempted from such examination requirements.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 4515 and 4545, Business and Professions Code.
HISTORY

1. New section filed 12-28-61; effective thirtieth day thereafter (Register 61, No. 26).
2. Amendment filed 12-13-68; effective thirtieth day thereafter (Register 68, No. 47).
3. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2576.5. Scope of Psychiatric Technician Practice.
Note     •     History

The licensed psychiatric technician performs services requiring technical and manual skills which include the following:
(a) Uses and practices basic assessment (data collection), participates in planning, executes interventions in accordance with the care plan or treatment plan, and contributes to evaluation of individualized interventions related to the care plan or treatment plan.
(b) Provides direct patient/client care by which the licensee:
(1) Performs basic nursing services as defined in subdivision (a);
(2) Administers medications;
(3) Applies communication skills for the purpose of patient/client care and education; and
(4) Contributes to the development and implementation of a teaching plan related to self-care for the patient/client.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 101.6, 108, 4502, 4503, 4517, 4520 and 4521(a), Business and Professions Code; and Section 11215, Health and Safety Code.
HISTORY

1. New section filed 9-19-96; operative 10-19-96 (Register 96, No. 38).
§2576.6. Performance Standards.
Note     •     History

(a) A licensed psychiatric technician shall safeguard patients'/clients' health and safety by actions that include but are not limited to the following:
(1) Reporting to the Board acts specified in Section 4521 of the Business and Professions Code;
(2) Documenting patient/client care in accordance with standards of the profession; and
(3) Performing services in accordance with Section 125.6 of the Business and Professions Code.
(b) A licensed psychiatric technician shall adhere to standards of the profession and shall incorporate ethical and behavioral standards of professional practice which include but are not limited to the following:
(1) Maintaining current knowledge and skills for safe and competent practice;
(2) Maintaining patient/client confidentiality;
(3) Maintaining professional boundaries with the patient/client;
(4) Abstaining from chemical/substance abuse; and
(5) Cooperating with the Board during investigations as required by Section 4521.2 of the Business and Professions Code.
(c) A violation of this section constitutes unprofessional conduct for purposes of initiating disciplinary action.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 101.6, 108, 4502, 4503, 4517, 4520, 4521 and 4521.2(a), Business and Professions Code; Section 11166, Penal Code; and Section 15630(a), Welfare and Institutions Code.
HISTORY

1. New section filed 9-19-96; operative 10-19-96 (Register 96, No. 38).
2. Amendment of subsections (a)-(a)(1) and (b)(3)-(4), new subsection (b)(5) and amendment of Note filed 9-11-2007; operative 10-11-2007 (Register 2007, No. 37).
§2576.7. Private Duty Patient Care.
Note     •     History

Private duty patient care is care provided to patients with mental disorders or developmental disabilities and may be performed in any setting, including, but not limited to, acute care, long term care, or the patient's home. For purposes of licensure equivalency eligibility, the Board will accept only private duty patient care that has occurred in acute or long term care facilities. Private duty patient care is contracted directly between the psychiatric technician (PT) and patient or entity acting on the patient's behalf. A PT must provide private duty patient care under the direction of a registered nurse who directs nursing care, the patient's physician who directs medical care, or be responsible to the director of the service in which the duties are performed. The director may be a licensed physician and surgeon, psychiatrist, psychologist, rehabilitation therapist, social worker, registered nurse, or other professional personnel. The registered nurse, physician or director of the service must be responsible for direction to the private duty PT regarding the respective nursing and medical procedures. The direction provided must be available at least by telephone.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4502, Business and Professions Code.
HISTORY

1. New section filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2577. Gross Negligence.
Note     •     History

As set forth in Section 4521 of the code, gross negligence is deemed unprofessional conduct and is grounds for disciplinary action. As used in Section 4521 “gross negligence” means a substantial departure from the standard of care which, under similar circumstances, would have ordinarily been exercised by a competent licensed psychiatric technician, and which has or could have resulted in harm to the consumer. An exercise of so slight a degree of care as to justify the belief that there was a conscious disregard or indifference for the health, safety, or welfare of the consumer shall be considered a substantial departure from the above standard care.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4521, Business and Professions Code.
HISTORY

1. New section filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2577.1. Incompetence.
Note     •     History

As set forth in Section 4521 of the code, incompetence is deemed unprofessional conduct and is grounds for disciplinary action. As used in Section 4521, “incompetence” means the lack of possession of and the failure to exercise that degree of learning, skill, care and experience ordinarily possessed and exercised by responsible licensed psychiatric technicians. 
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4521, Business and Professions Code.
HISTORY

1. New section filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2577.2. Child Abuse Reporting.
Note     •     History

Pursuant to Penal Code Section 11166, psychiatric technicians are mandated to report known or suspected child abuse cases to a child protective agency. Failure to make a child abuse report as required shall constitute unprofessional conduct within the meaning of Business and Professions Code Section 4521(a).
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4521(a), Business and Professions Code; and Section 11166, Penal Code.
HISTORY

1. New section filed 4-8-86; effective thirtieth day thereafter (Register 86, No. 15).
§2577.3. Elder Abuse Reporting.
Note     •     History

Pursuant to Welfare and Institutions Code Section 9381, psychiatric technicians are mandated to report any known or suspected instance of elder physical abuse to an elder protective agency. Failure to make an elder physical abuse report as required shall constitute unprofessional conduct within the meaning of Business and Professions Code Section 4521(a).
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4521(a), Business and Professions Code; and Section 9381, Welfare and Institutions Code.
HISTORY

1. New section filed 4-8-86; effective thirtieth day thereafter (Register 86, No. 15).
§2577.4. Dependent Adult Abuse Reporting.
Note     •     History

Pursuant to Welfare and Institutions Code Section 15630(a), psychiatric technicians are mandated to report any known or suspected instance of dependent adult physical abuse to an adult protective agency. Failure to make a dependent adult physical abuse report as required shall constitute unprofessional conduct within the meaning of Business and Professions Code Section 4521(a).
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4521(a), Business and Professions Code; and Section 15630(a), Welfare and Institutions Code.
HISTORY

1. New section filed 2-4-87; effective thirtieth day thereafter (Register 87, No. 6).
§2577.5. Licensee Mandatory Reporting.
Note     •     History

A psychiatric technician shall report, in writing, to the Board the commission of any act by another person that is prohibited by Business and Professions Code Sections 4521 and 4521.2. The report shall be made to the Board within 30 calendar days from the date the licensee knows that a violation occurred. Failure to make a report to the Board as required by this section shall constitute unprofessional conduct within the meaning of Business and Professions Code Section 4521.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 101.6, 108, 4502, 4503, 4520, 4521 and 4521.2(a), Business and Professions Code; Section 11166, Penal Code; and Section 15630(a), Welfare and Institutions Code.
HISTORY

1. New section filed 9-11-2007; operative 10-11-2007 (Register 2007, No. 37).
§2577.6. Employer Mandatory Reporting.
Note     •     History

Employers of psychiatric technicians shall report, in writing, to the Board the suspension or termination for cause (as defined in Business and Professions Code Section 4521.2(c)) of any psychiatric technician in its employ. The report shall be made within 30 calendar days from the effective date of the suspension or termination. Failure to make a report to the Board as required by this section shall constitute a violation of Business and Professions Code Section 4521.2.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 101.6, 108, 4502, 4503, 4520, 4521 and 4521.2(b), Business and Professions Code.
HISTORY

1. New section filed 9-11-2007; operative 10-11-2007 (Register 2007, No. 37).
§2578. Substantial Relationship Criteria.
Note     •     History

For the purposes of denial, suspension, or revocation of a license pursuant to Division 1.5 (commencing with Section 475) of the Business and Professions Code, a crime or act shall be considered to be substantially related to the qualifications, functions or duties of a licensed psychiatric technician if to a substantial degree it evidences present or potential unfitness of a licensed psychiatric technician to perform the functions authorized by his license in a manner consistent with the public health, safety, or welfare. Such crimes or acts shall include but not be limited to those involving the following:
(a) Procuring a license by fraud, misrepresentation, or mistake.
(b) A conviction of practicing medicine without a license in violation of Chapter 5 of Division 2 of the Business and Professions Code.
(c) Violating or attempting to violate, directly or indirectly, or assisting in or abetting the violation of, or conspiring to violate any provision or term of Chapter 10, Division 2 of the Business and Professions Code.
(d) Aiding or assisting, or agreeing to aid or assist any person or persons, whether a licensed physician or not, in the performance of or arranging for a violation of any of the provisions of Article 13, Chapter 5, Division 2 of the Business and Professions Code.
(e) Conviction of a crime involving fiscal dishonesty.
(f) Any crime or act involving the sale, gift, administration, or furnishing of “narcotics or dangerous drugs or dangerous devices” as defined in Section 4022 of the Business and Professions Code.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 475, 480, 490, 4520, 4521 and 4523, Business and Professions Code.
HISTORY

1. New section filed 4-10-75; effective thirtieth day thereafter (Register 75, No. 15).
2. Amendment of subsection (f) filed 5-31-2000; operative 6-30-2000 (Register 2000, No. 22).
§2579. Rehabilitation Criteria.
Note     •     History

When considering a) the denial of a license under Section 480 of the Business and Professions Code, b) the suspension or revocation of a license on the ground that a licensee has been convicted of a crime, or c) a petition for reinstatement of a license under Section 4524 of the Business and Professions Code, the Board, in evaluating the rehabilitation of an individual and his or her present eligibility for a license, will consider the following criteria:
(1) Nature and severity of the act(s), offense(s), or crime(s) under consideration. 
(2) Actual or potential harm to the public. 
(3) Actual or potential harm to any patient. 
(4) Overall disciplinary record. 
(5) Overall criminal actions taken by any federal, state or local agency or court. 
(6) Prior warnings on record or prior remediation. 
(7) Number and/or variety of current violations. 
(8) Mitigation evidence. 
(9) In case of a criminal conviction, compliance with terms of sentence and/or court-ordered probation. 
(10) Time passed since the act(s) or offense(s) occurred. 
(11) If applicable, evidence of proceedings to dismiss a conviction pursuant to Penal Code section 1203.4. 
(12) Cooperation with the Board and other law enforcement or regulatory agencies. 
(13) Other rehabilitation evidence. 
NOTE

Authority cited: Sections 482 and 4504, Business and Professions Code. Reference: Sections 480, 482, 488, 490, 492, 4521, 4521.1 and 4524, Business and Professions Code.
HISTORY

1. New section filed 3-6-73; effective thirtieth day thereafter (Register 73, No. 10).
2. Amendment filed 4-10-75; effective thirtieth day thereafter (Register 75, No. 15).
3. Amendment of section heading, section and Note filed 9-29-2008; operative 10-29-2008 (Register 2008, No. 40).
§2579.1. Rehabilitation Criteria for Suspensions or Revocations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 475, 480, 490, 4520, 4521 and 4523, Business and Professions Code.
HISTORY

1. Change without regulatory effect renumbering former section 2579.5 to section 2579.1 filed 6-7-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 23).
2. Repealer filed 9-29-2008; operative 10-29-2008 (Register 2008, No. 40).
§2579.2. Citations and Fines--Content and Service.
Note     •     History

(a) The executive officer of the Board or his/her designee, in lieu of filing an accusation against any licensee, may issue a citation which may contain an administrative fine and/or order of abatement against that licensee for any violation of law which would be grounds for discipline or of any regulation adopted by the Board pursuant thereto.
(b) The executive officer of the Board or his or her designee may issue a citation which may contain an administrative fine against any employer of a psychiatric technician who fails to report a suspension or termination for cause of that licensee as specified in Section 4521.2 of the Business and Professions Code. For purposes of this article, “cited person” includes a cited employer.
(c) Each citation shall be in writing, shall indicate the classification of the citation, and shall describe with particularity the nature and facts of each violation specified in the citation, including a reference to the statute or regulation alleged to have been violated.
(d) For licensee citations, the citation may contain an assessment of an administrative fine, an order of abatement fixing a reasonable time for abatement of the violation or both.
(e) The citation shall inform the cited person of the right to an informal conference concerning the matter and of the right to an administrative hearing.
(f) The citation shall be served upon the cited person personally or by certified and regular mail.
NOTE

Authority cited: Sections 125.9, 148 and 4504, Business and Professions Code. Reference: Sections 125.9, 148, 4521 and 4521.2, Business and Professions Code.
HISTORY

1. New section filed 7-27-95; operative 8-26-95 (Register 95, No. 30).
2. Amendment of subsection (a), new subsection (b), subsection relettering, amendment of newly designated subsection (d) and amendment of Note filed 9-11-2007; operative 10-11-2007 (Register 2007, No. 37).
§2579.3. Exceptions. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 125.9, 148 and 4504, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 7-27-95; operative 8-26-95 (Register 95, No. 30).
2. Repealer filed 9-11-2007; operative 10-11-2007 (Register 2007, No. 37).
§2579.4. Violation Classifications.
Note     •     History

(a) There shall be three classes of violations:
(1) Class “A”;
(2) Class “B”; and
(3) Class “C.”
(b) In determining the violation class for licensee violations, the following factors shall be considered:
(1) Nature and severity of the violation.
(2) Length of time that has passed since the date of the violation.
(3) Consequences of the violation, including potential or actual patient harm.
(4) History of previous violations of the same or similar nature.
(5) Evidence that the violation was willful.
(c) The fine for each Class “A” violation shall not exceed $10,000 per violation. A Class “A” violation is the failure of an employer to report to the Board, as specified in Section 2577.6, the suspension or termination for cause of a psychiatric technician.
(d) The fine for each Class “B” violation shall be not less than $1,001 nor more than $2,500. A Class “B” violation includes:
(1) A violation that results in or could have resulted in patient harm and where there is no evidence that revocation or other disciplinary action is required to ensure consumer safety. Such violations include but are not limited to patient abandonment and falsifying nursing notes.
(2) Any violation that is neither directly or potentially detrimental to patients nor directly or potentially impacts their care. Such violations include, but are not limited to, a violation committed for personal and/or financial gain.
(3) A minor or technical violation that continues for six months or more in duration; or
(4) A minor or technical violation with one or more Class “C” citations.
(e) The fine for each Class “C” violation shall not exceed $1,000. A Class “C” violation is a minor or technical violation that is neither directly or potentially detrimental to patients nor directly or potentially impacts their care and which continues for less than six months duration. Such violations include but are not limited to practicing with an expired license, precharting, charting errors, or verbal abuse.
(f) Notwithstanding the administrative fine amounts specified in subsections (d) and (e), a Class B or Class C citation may include a fine of no more than $5,000 if one or more of the following circumstances apply:
(1) The cited person has a history of two or more prior citations of the same or similar violations.
(2) The citation involves a violation that has a substantial risk to the health and safety of another person.
(3) The citation involves multiple violations that demonstrate a willful disregard of the law.
(4) The citation involves a violation perpetrated against an elder, disabled or dependent person.
NOTE

Authority cited: Sections 125.9, 148 and 4504, Business and Professions Code. Reference: Sections 125.9, 148, 4521 and 4521.2, Business and Professions Code.
HISTORY

1. New section filed 7-27-95; operative 8-26-95 (Register 95, No. 30).
2. Amendment of section and Note filed 9-11-2007; operative 10-11-2007 (Register 2007, No. 37).
§2579.5. Citations for Unlicensed Practice.
Note     •     History

The executive officer of the board or his/her designee may issue citations, in accordance with Section 148 of the Code, against any person (as defined in section 302 of the Code) who is performing or who has performed services for which licensure is required under the Psychiatric Technician Law or regulations adopted pursuant thereto. Each citation issued under this section shall contain an order of abatement. The sanction authorized under this section shall be separate from and in addition to any other civil or criminal remedies.
NOTE

Authority cited: Sections 125.9, 148 and 4504, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 4-10-75; effective thirtieth day thereafter (Register 75, No. 15).
2. Editorial correction (Register 84, No. 2).
3. Change without regulatory effect renumbering former section 2579.5 to section 2579.1 filed 6-7-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 23).
4. New section filed 7-27-95; operative 8-26-95 (Register 95, No. 30).
5. Change without regulatory effect amending section filed 1-14-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 3).
§2579.6. Criteria to be Considered in Assessing a Fine.
Note     •     History

In any citation which includes a fine, the following factors shall be considered in determining the amount of the fine to be assessed:
(a) Gravity of the violation.
(b) History of previous violations of the same or a similar nature.
(c) The good or bad faith exhibited by the cited person.
(d) Evidence that the violation was willful.
(e) The extent to which the cited person cooperated with the board's investigation.
(f) The extent to which the cited person has remediated any knowledge and/or skills deficiencies which could have injured a patient.
(g) Any other mitigating or aggravating factors.
NOTE

Authority cited: Sections 125.9, 148 and 4504, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 7-27-95; operative 8-26-95 (Register 95, No. 30).
§2579.7. Contested Citations.
Note     •     History

(a) The cited person may, within 14 calendar days after service of the citation, submit a written request for an informal citation review with the executive officer or his/her designee.
(b) The executive officer or his/her designee shall, within 30 calendar days from receipt of the written request, hold an informal conference with the cited person and his/her legal counsel or authorized representative, if desired.
(c) The executive officer or his/her designee may affirm, modify or dismiss the citation, including any fine or order of abatement, at the conclusion of the informal conference. A written decision stating the reasons for the decision shall be mailed to the cited person and his/her legal counsel, if any, within 14 calendar days from the date of the informal conference.
(d) If the citation is dismissed during the informal conference, any request for an administrative hearing shall be deemed withdrawn. If the citation is affirmed or modified, the cited person may request an administrative hearing within 30 days of the date of issuance of the written informal conference decision. The request for an administrative hearing shall be in writing.
(e) The failure of a cited person to appear for a scheduled informal citation review conference shall be deemed a withdrawal of any request for an administrative hearing if the Board sends written notice to the cited person of that consequence and the cited person does not inform the Board otherwise, in writing, within 10 calendar days of the notice.
(f) In addition to the appeal rights in subsections (a) through (e) above, the cited person may request an administrative hearing provided for in subdivision (b)(4) of Section 125.9 of the Code within 30 days of the date of issuance of the citation or assessment.
NOTE

Authority cited: Sections 125.9, 148 and 4504, Business and Professions Code. Reference: Sections 125.9, 148, 4521 and 4521.2, Business and Professions Code.
HISTORY

1. New section filed 7-27-95; operative 8-26-95 (Register 95, No. 30).
2. Amendment of section and Note filed 9-11-2007; operative 10-11-2007 (Register 2007, No. 37).
§2579.8. Compliance with Citation/Order of Abatement.
Note     •     History

(a) Orders of abatement may be extended for good cause. If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his/her control after the exercise of reasonable diligence, then he/she may request from the executive officer or his/her designee an extension of time within which to complete the correction. Such a request shall be in writing and shall be made within the time set forth for the abatement.
(b) If a citation is not contested, or if the order is appealed and the cited person does not prevail, failure to abate the violation or to pay the assessed fine within the time allowed shall constitute a violation and a failure to comply with the citation or order of abatement.
(c) Failure to timely comply with an order of abatement or pay an assessed fine may result in further action being taken by the Board, which may include discipline against a licensee or other appropriate judicial relief being taken against the person cited.
(d) If a fine issued to a licensee is not paid after a citation has become final, the fine shall be added to the cited person's license renewal fee. A license shall not be renewed without payment of the renewal fee and fine.
NOTE

Authority cited: Sections 125.9, 148 and 4504, Business and Professions Code. Reference: Sections 125.9, 148, 4521 and 4521.2, Business and Professions Code.
HISTORY

1. New section filed 7-27-95; operative 8-26-95 (Register 95, No. 30).
2. Amendment of section and Note filed 9-11-2007; operative 10-11-2007 (Register 2007, No. 37).
§2579.9. Notification to Other Boards and Agencies.
Note     •     History

The issuance and disposition of a citation shall be reported to other regulatory agencies.
NOTE

Authority cited: Sections 125.9, 148 and 4520, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 7-27-95; operative 8-26-95 (Register 95, No. 30).
§2579.10. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.) the Board shall consider the disciplinary guidelines entitled “Disciplinary Guidelines”, (Rev. 6/19/07), which are hereby incorporated by reference. Deviation from these guidelines, including the standard conditions of probation, is appropriate where the Board, in its sole discretion, determines that the facts of the particular case warrant such a deviation -- for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Section 4504, Business and Professions Code; and Section 11425.50(e), Government Code. Reference: Sections 4520 and 4521, Business and Professions Code; and Section 11425.50(e), Government Code.
HISTORY

1. New section filed 10-23-96; operative 11-22-96 (Register 96, No. 43).
2. Amendment filed 5-31-2000; operative 6-30-2000 (Register 2000, No. 22).
3. Amendment filed 9-29-2008; operative 10-29-2008 (Register 2008, No. 40).
§2579.11. Consumer Complaint Disclosure.
Note     •     History

In reaching a decision on the disclosure of a consumer complaint under the Public Records Act (Government Code Section 6250 et seq.), the Board shall follow its “Consumer Complaint Disclosure Policy” which specifies the following: 
(a) Public Access to Information -- It is the policy of the Board of Vocational Nursing and Psychiatric Technicians (hereafter “Board”) that information concerning the conduct of individuals licensed by this agency be available to members of the public. Among the principal functions of the Board is the investigation of complaints against its licensees to determine whether there is cause for disciplinary action. Information regarding actions taken by the Board in the disposition of such complaints is readily accessible to the consuming public. 
(b) Complaint Information System -- The Board maintains a system designed to provide information regarding complaints and disciplinary actions against its licensees and information regarding their license status.
(c) Information to be Provided Regarding Complaints -- In disclosing the existence of a consumer complaint, the Board will do so in a manner that will not reveal the identity of the complainant. The Board shall disclose details of a consumer complaint only if the complaint is substantiated through investigation and/or an Accusation or Statement of Issues is filed. The Board shall disclose the following consumer complaint information to the public, upon written request: 
(1) The number of complaints which have been found by the Board to be violations of the licensing law or regulations; and 
(2) With respect to each complaint, the following information: 
(A) Its date of receipt; 
(B) A summary of the violation(s); 
(C) Its disposition, by indicating whether the complaint: 
(1) Has been or will be referred to formal disciplinary action. 
(2) Has been found to involve a minor violation not in itself meriting disciplinary action; 
(3) Has been disposed of through any action taken, formal or informal. 
(3) Comparative data considered by the Board to be informative to consumers, which may could include the average number of complaints received against licensees in a given region, locality or area of practice. 
(4) A general disclaimer, if any, as the Board may deem appropriate. 
(d) A consumer complaint may not be disclosed if one of the following conditions exists: 
(1) The complaint is deemed without merit. 
(2) Board jurisdiction cannot be established. 
(3) The complaint is unrelated to professional conduct. 
(4) The complaint involves a non-consumer matter. 
(5) Disclosure is prohibited by statute or regulation. 
(6) Disclosure might endanger or injure the complainant. 
(7) Disclosure might compromise the investigation and/or prosecution. 
(e) Information to be Provided Regarding Disciplinary Actions -- The Board maintains records showing the disciplinary history of all current license holders and will provide to the public, upon request, whether a current license holder has ever been disciplined and, if so, when and for what offense. A copy of documents related to that action including the accusation, proposed decision, stipulation and/or final decision will be provided to the public upon written request. 
NOTE

Authority cited: Section 4504, Business and Professions Code; and Section 6253.4, Government Code. Reference: Sections 4520, 4521 and 4521.2, Business and Professions Code; and Sections 6252, 6253, 6253.2, 6253.4, 6255, 6260, 11503 and 11504, Government Code.
HISTORY

1. New section filed 3-2-2006; operative 4-1-2006 (Register 2006, No. 9).
Article 5. Schools for Preparation of Psychiatric Technicians
§2580. Accredited Schools for Preparation of Psychiatric Technicians. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 4530, 4531 and 4532, Business and Professions Code.
HISTORY

1. New Article 5 (Sections 2581 through 2589) filed 12-28-61; effective thirtieth day thereafter (Register 61, No. 26).
2. Repealer filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2581. Procedure for Accreditation.
Note     •     History

(a) The institution shall apply to the Board for accreditation. Written documentation shall be prepared by the director and shall include:
(1) Philosophy of the program.
(2) Conceptual framework.
(3) Terminal objectives to indicate expected student outcomes upon successful completion of the program.
(4) Curriculum objectives.
(5) Course outlines.
(6) Course objectives.
(7) Instructional Plan.
(8) Evaluation methodology for curriculum.
(9) Faculty who meet the qualifications set forth in Section 2584.
(10) Clinical facilities.
(11) Evaluation methodology for clinical facilities.
(12) Admission criteria.
(13) Screening and selection criteria.
(14) Number of students.
(A) A school may admit alternate students in each new class to replace students who drop out.
(B) The number of alternate students admitted may not exceed 10% of the school's Board-approved number of students per class.
(C) Prior to admission, alternate students must be informed in writing of their alternate status and that they may be dropped from the program.
(D) Alternate students may participate in classes until the commencement of scheduled clinical experience at approved clinical facilities.
(E) Upon commencement of clinical experience at approved clinical facilities, the actual number of students in the class may not exceed the number of students approved by the Board for that particular class.
(15) Evaluation methodology for student progress.
(16) Resources for provision of counseling and tutoring services for students.
(17) Student policies:
(A) Credit granting.
(B) Attendance.
(C) Grievance.
(18) Organizational chart.
(19) Proposed starting date.
(20) Evidence of program resources to include, but not be limited to:
(A) Description of the geographic area and community to be served by the proposed program;
(B) Clinical affiliations available for student clinical experience; and
(C) Existing nursing and psychiatric technician programs with which clinical affiliations are shared.
(b) An institution may commence a new psychiatric technician program upon Board approval.
(c) A Board representative shall make a survey visit prior to graduation of the initial class. A program shall not commence another class without prior Board approval.
(d) Accreditation will be granted by the Board when a psychiatric technician program demonstrates that it meets all requirements as set forth in this chapter and in Chapter 10, Division 2, of the Business and Professions Code.
(e) The accreditation period shall be for a term of four years unless the Board grants an extension.
(1) An extension may be granted when the program demonstrates to the satisfaction of the Board that it is in full compliance with all requirements as set forth in this chapter and in Chapter 10, Division 2 of the Business and Professions Code.
(2) The extension may be granted for a period not to exceed four years.
(f) Six months prior to the date of accreditation expiration, a program may apply for continued accreditation based upon submission of documentation satisfactory to the Board. A subsequent survey visit may be conducted by a Board representative.
(g) A material misrepresentation of fact by a psychiatric technician program in any information submitted to the Board is cause for denial or revocation of accreditation or provisional accreditation.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 4511, 4515, 4530, 4531 and 4532, Business and Professions Code.
HISTORY

1. Amendment of subsection (d) and new subsection (e) filed 12-17-70; effective thirtieth day thereafter (Register 70, No. 51).
2. Amendment filed 4-22-77; effective thirtieth day thereafter (Register 77, No. 17).
3. Amendment filed 11-16-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 47).
4. Repealer and new section filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
5. Amendment filed 6-1-2000; operative 6-30-2000 pursuant to Government Code section 11349.3(a) (Register 2000, No. 22).
6. Repealer of subsections (a)(14)-(a)(14)(B), new subsections (a)(14)-(a)(14)(E) and amendment of Note filed 12-29-2004; operative 1-28-2005 (Register 2004, No. 53).
7. New subsection (a)(16), subsection renumbering and amendment of newly designated subsection (a)(20) filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2581.1. Provisional Accreditation.
Note     •     History

(a) Provisional accreditation means a program has not met all requirements as set forth in this chapter and in Chapter 10, Division 2 of the Business and Professions Code.
(b) Provisional accreditation shall be granted for a period determined by the Board.
(c) The Board may place any program on provisional accreditation when that program does not meet all requirements as set forth in this chapter and in Section 2581. If the program has not met all requirements at the end of the initial provisional accreditation period, provisional accreditation may be extended if the program demonstrates to the satisfaction of the Board a good faith effort to correct all deficiencies.
(d) Any program holding provisional accreditation may not admit “new” classes beyond the established pattern of admissions previously approved by the Board. The admission pattern is defined by the by the number of students per class and the frequency of admissions for the six class admissions that immediately precede the Board action to consider provisional accreditation.
(e) A program placed on provisional accreditation shall receive written notification from the Board. The notification to the program shall include specific areas of noncompliance and requirements for correction. A program's failure to correct delineated areas of noncompliance is cause for revocation of provisional accreditation.
(f) A material misrepresentation of fact by a psychiatric technician program in any information submitted to the Board is cause for revocation of provisional accreditation.
(g) A program whose provisional accreditation has been revoked shall be removed from the Board's list of accredited programs. The status of students as potential applicants for licensure will be determined by the Board.
(h) A program that is removed from the Board's list of accredited programs subsequent to Board action based on the program's non-compliance with applicable regulations shall not reapply to establish a psychiatric technician program for a minimum period of one calendar year.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 4511, 4515 and 4532, Business and Professions Code.
HISTORY

1. New section filed 6-1-2000; operative 6-30-2000 pursuant to Government Code section 11349.3(a) (Register 2000, No. 22).
2. Amendment filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2582. Reports.
Note     •     History

(a) The Board shall require such reports by schools and conduct such investigations as necessary to determine whether or not accreditation will be continued.
(b) A school shall report to the Board within ten days of the termination of a faculty member.
(c) A material misrepresentation of fact by a psychiatric technician program in any information submitted to the Board is cause for denial or revocation of accreditation or provisional accreditation.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 4511 and 4515, Business and Professions Code.
HISTORY

1. Amendment filed 4-22-77; effective thirtieth day thereafter (Register 77, No. 17).
2. Amendment filed 11-16-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 47).
3. New subsection (c) filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
4. Amendment of subsection (d) filed 6-1-2000; operative 6-30-2000 pursuant to Government Code section 11349.3(a) (Register 2000, No. 22).
§2583. Faculty. Report of Changes. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4531, Business and Professions Code.
HISTORY

1. Amendment filed 4-22-77; effective thirtieth day thereafter (Register 77, No. 17).
2. Repealer filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2584. Faculty Qualifications.
Note     •     History

(a) A school shall submit qualifications of the proposed faculty members for approval by the Board prior to employment.
(b) Each psychiatric technician program shall have one faculty member, designated as director who meets the requirements of subsection (c)(1) herein who shall actively administer the program. The director is responsible for compliance with all regulations in Chapter 2, Article 5 (commencing with Section 2580 et seq.).
(c) Requirements for specific faculty positions are as follows:
(1) Director: A director of a psychiatric technician program shall have completed a course or courses offered by an accredited school with instruction in administration, teaching, and curriculum development and shall meet the qualifications of subsection (A) or (B) below:
(A) Registered Nurse
1. Hold a current California active license as a Registered Nurse; and
2. Hold a baccalaureate degree from an accredited school; and
3. Have a minimum of 3 years experience as a registered nurse; one year shall be in teaching or clinical supervision, or a combination thereof, in a state accredited or approved registered nursing or vocational or practical nursing, or psychiatric technician school within the last five years; or a minimum of three years experience in nursing administration or nursing education within the last five years.
(B) Licensed Psychiatric Technician
1. Hold a current California active license as a psychiatric technician; and
2. Hold a baccalaureate degree from an accredited school; and
3. Have a minimum of three (3) years experience as a psychiatric technician; one (1) year shall be in teaching or clinical supervision, or a combination thereof, in a state accredited or approved psychiatric technician school within the last five (5) years; or have a minimum of three (3) years experience in mental health administration or education within the last five (5) years.
(2) Assistant Director: An assistant director of a psychiatric technician program shall have completed a course or courses offered by an accredited school with instruction in (1) teaching, (2) curriculum development, and (3) administration, and shall meet the qualifications of subsection (A) or (B) below:
(A) Registered Nurse
1. Hold a current California active license as a Registered Nurse; and
2. Hold a baccalaureate degree from an accredited school; and
3. Have a minimum of 3 years experience as a registered nurse; one year shall be in teaching or clinical supervision, or a combination thereof, in a state accredited or approved registered nursing or vocational or practical nursing, or psychiatric technician school within the last five years; or have a minimum of three years experience in nursing administration or nursing education within the last five years.
(B) Licensed Psychiatric Technician
1. Hold a current California active license as a Psychiatric Technician; and
2. Hold a baccalaureate degree from an accredited school; and
3. Have a minimum of 3 years experience as a licensed psychiatric technician; one year shall be in teaching or clinical supervision, or a combination thereof, in a state accredited or approved psychiatric technician school within the last five years; or have a minimum of three years experience in mental health administration or education within the last five years.
(3) Instructor: An instructor in a psychiatric technician program shall have had or be currently attending a course in teaching and shall meet the requirements of subsection (A) or (B) below:
(A) Registered Nurse
1. Hold a current California active license as a Registered Nurse; and
2. Hold a baccalaureate degree from an accredited school; or a valid teaching credential; or have completed a minimum of one year full-time teaching experience in a state accredited or approved registered nursing or vocational or practical nursing, or psychiatric technician school within the last five years; or met community college or state university teaching requirements in California; and
3. Have a minimum of 2 years experience as a registered nurse or licensed psychiatric technician within the last 5 years.
(B) Licensed Psychiatric Technician
1. Hold a current active California license as a psychiatric technician; and
2. Hold a baccalaureate degree from an accredited school; or a valid teaching credential; or have completed a minimum of one year full-time teaching experience in a state accredited or approved registered nursing or vocational or practical nursing, or psychiatric technician school within the last five years; or met community college or state university teaching requirements in California; and
3. Have a minimum of two years experience as a psychiatric technician within the last five years.
(4) Additional Faculty: Persons who have the qualifications to teach in a community college or a state university in California, or hold a baccalaureate degree in the field related to the curriculum content taught, or meet the requirements for vocational education credential may teach curriculum content as specified in Section 2587(e).
(5) Teacher Assistant: A teacher assistant in a psychiatric technician program shall:
(A) Hold a current active California license as a psychiatric technician or registered nurse; and
(B) Have a minimum of two years of experience as a psychiatric technician or registered nurse in the care of mentally disordered or developmentally disabled clients within the last five years.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 4531 and 4532, Business and Professions Code.
HISTORY

1. Amendment of subsection (c)(1)(C) filed 11-12-71; effective thirtieth day thereafter (Register 71, No. 46). For prior history, see Register 71, No. 11.
2. Amendment filed 2-20-76; effective thirtieth day thereafter (Register 76, No. 8).
3. Amendment filed 9-15-77; effective thirtieth day thereafter (Register 77, No. 38).
4. Amendment filed 11-16-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 47).
5. Amendment of subsection (c) filed 4-8-86; effective thirtieth day thereafter (Register 86, No. 15).
6. Amendment of subsection (c) filed 2-4-87; effective thirtieth day thereafter (Register 87, No. 6).
7. Amendment of subsection (c) filed 4-12-89; operative 5-12-89 (Register 89, No. 23).
8. Amendment filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
9. Amendment of subsection (c)(1)(B)3. filed 7-24-96; operative 8-23-96 (Register 96, No. 30).
10. Amendment of subsections (b), (c)(1) and (c)(2) filed 11-20-97; operative 12-20-97 (Register 97, No. 47).
11. Amendment of subsections (c)(4)-(c)(5)(B) and amendment of Note filed 12-29-2004; operative 1-28-2005 (Register 2004, No. 53).
§2585. General Requirements.
Note     •     History

(a) The program shall have sufficient resources, faculty, clinical facilities, library, staff and support services, physical space, skills laboratory, and equipment to achieve the program's objectives.
(b) Regular faculty meetings shall be held. Minutes shall be available to the Board's representative.
(c) Clinical faculty shall have no other responsibilities during the hours they are assigned to the clinical instruction of students.
(d) Each teacher assistant shall work under the direction of an approved instructor. No more than one teacher assistant may be assigned to each instructor. Each teacher assistant shall assist the instructor in skills lab and clinical teaching only. The instructor to whom the teacher assistant is assigned shall be available to provide direction to the teacher assistant as needed.
(e) Each instructor shall have a daily lesson plan which correlates the theory and practice offered to the student. A copy of this plan shall be available to the director.
(f) The program's instructional plan shall be available to all faculty.
(g) Each school shall have on file proof that each enrolled student has completed a general education course of study through the 12th grade or evidence of completion of the equivalent thereof. Equivalency is determined by the Department of Education in any of the United States or by a nationally recognized regional accrediting body.
(h) Each school shall have an attendance policy approved by the Board. The policy shall include  but not be limited to, criteria for attendance and the specific course objectives for which make-up time is required. Acceptable methods for make-up include:
(1) Theory: case studies, independent study, written examination, attendance at seminars or workshops, auto-tutorial laboratory, and research reports.
(2) Clinical: performance evaluation in skills laboratory or additional time in the clinical area with clients/patients.
(i) The school shall evaluate student performance to determine the need for remediation or removal from the program.
(j) Each school shall advise students, in writing, of the following:
(1) Right to contact the Board of program concerns.
(2) Credit for previous education and experience.
(3) School's grievance policy.
(4) List of Board approved clinical facilities.
(k) The program shall have prior Board approval to increase the number of students per class and/or increase the frequency of admission of classes. Criteria to evaluate a school's request to increase the number of students per class and/or increase the frequency of class admissions include but are not limited to:
(1) Sufficient program resources as specified in section 2585(a);
(2) Adequacy of clinical experience as specified in section 2588.
(3) Licensure examination pass rates as specified in section 2585(l).
(l) The program shall maintain a yearly average minimum pass rate on the licensure examination that does not fall below 10 percentage points of the state average pass rate for first time candidates of accredited psychiatric technician schools for the same period.
(1) Failure to maintain the required yearly average minimum pass rate for two years or eight consecutive quarters may be cause to place a program on provisional accreditation.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 4511 and 4515, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) and new subsections (f) and (g) filed 12-17-70; effective thirtieth day thereafter (Register 70, No. 51).
2. New subsection (h) filed 1-11-79; effective thirtieth day thereafter (Register 79, No. 2).
3. Amendment of subsection (h) filed 9-27-79; effective thirtieth day thereafter (Register 79, No. 39).
4. Amendment of subsections (g) and (h) filed 4-10-80; effective thirtieth day thereafter (Register 80, No. 15).
5. Amendment of subsection (f) filed 9-8-81; effective thirtieth day thereafter (Register 81, No. 37).
6. Amendment filed 11-16-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 47).
7. Amendment filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
8. Amendment of subsections (a) and (d), repealer of subsection (j)(3) and subsection renumbering, and new subsections (k)-(k)(2) filed 7-24-96; operative 8-23-96 (Register 96, No. 30).
9. Amendment of subsection (h) and new subsections (h)(1), (h)(2), (k)(3) and (l)-(l)(2) filed 6-1-2000; operative 6-30-2000 pursuant to Government Code section 11349.3(a) (Register 2000, No. 22).
10. Amendment of subsection (g), repealer of subsection (l)(1), subsection renumbering and amendment of newly designated subsection (l)(1) filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2585.1. Credit for Previous Education and Experience.
Note     •     History

Each school shall have a policy, approved by the Board, for giving credit toward the curriculum requirements.
(a) Transfer credit shall be given for related previous education completed within the last five years. This includes the following courses:
(1) Accredited vocational or practical nursing courses.
(2) Accredited registered nursing courses.
(3) Accredited psychiatric technician courses.
(4) Armed services nursing courses.
(5) Certified nurse assistant courses.
(6) Other courses the school determines are equivalent to courses in the program.
(b) Competency-based credit shall be granted for knowledge and/or skills acquired through experience. Credit shall be determined by written and/or practical examinations.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 4511 and 4511.2, Business and Professions Code.
HISTORY

1. New section filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
§2586. Curriculum Hours.
Note     •     History

(a) The course for preparation of psychiatric technicians shall consist of not less than 1530 hours or 50 semester units. The course may be offered on a full or part time basis. One hour of instruction for purposes of computing the total hours of instruction or for calculating semester units as specified in this section shall consist of not less than 50 minutes of actual class time.
(b) The course shall consist of not less than 576 hours of theory and 954 hours of supervised clinical experience. The hours of theory and clinical experience shall include a minimum of each of the following:

	Theory Hours 	Clinical Hours
Pharmacology	 54
Nursing science	126	270
Mental disorders	108	270
Developmental disabilities 	108	270
(c) The school week shall not exceed 40 hours per week.
(d) School days that consist of class attendance only or a combination of class attendance and clinical experience shall not exceed eight hours in length.
(e) Students may be assigned to shifts of up to and including 12-hour length for clinical experience, only.
(f) Students may be granted holidays and vacation days equivalent to those granted by community colleges.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 4531 and 4532, Business and Professions Code.
HISTORY

1. Amendment of subsections (b) and (c) filed 12-17-70; effective thirtieth day thereafter (Register 70, No. 51).
2. Amendment of subsection (c) filed 7-21-72; effective thirtieth day thereafter (Register 72, No. 30).
3. Amendment of subsection (b) filed 4-22-77; effective thirtieth day thereafter (Register 77, No. 17).
4. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
5. Amendment of subsections (a) and (b) filed 4-8-86; effective thirtieth day thereafter (Register 86, No. 15).
6. Amendment of subsection (c), repealer of subsection (d), new subsections (d)-(f) and amendment of Note filed 12-29-2004; operative 1-28-2005 (Register 2004, No. 53).
§2587. Curriculum Content.
Note     •     History

(a) Psychiatric technician programs shall include theory and correlated clinical experience.
(b) The curriculum shall develop the knowledge, skills, and abilities necessary to care for patients of all ages in current health care settings.
(c) Curriculum content shall be taught in a sequence that results in students' progressive mastery of knowledge, skills, and abilities.
(d) The curriculum content shall include:
(1) Anatomy and physiology
(2) Nutrition
(3) Psychology
(4) Normal growth and development
(5) Nursing process
(6) Communication, both verbal and written
(7) Nursing science, which shall include:
(A) Nursing fundamentals
(B) Medical/surgical nursing
(C) Communicable diseases, which shall include but not be limited to Human Immunodeficiency Virus (HIV)
(D) Gerontological nursing
(8) Patient education
(9) Pharmacology, which shall include:
(A) Knowledge of commonly used drugs and their actions
(B) Computation of dosages
(C) Preparation of medications
(D) Principles of administration
(10) Classifications, treatment programs, and interventions for developmental disabilities.
(11) Classifications, treatment programs, and interventions for mental disorders, which shall include addictive behaviors and eating disorders.
(12) Leadership
(13) Supervision
(14) Ethics and unethical conduct
(15) Critical thinking
(16) Culturally congruent care
(17) End-of-life care
(e) The following related courses may be taught by additional faculty. Additional faculty are persons who have qualification to teach in a community college or a state university in California or hold a baccalaureate degree in the field related to the curriculum content taught, or meet the requirement for a vocational credential. 

	 Maximum Hours of  Instruction by
   Courses 	Other Professionals Accepted by the Board
Anatomy and physiology 	 54
Psychology 	 54
Pharmacology 	 54
Nutrition 	 54
Normal Growth and Development. 	 54
(f) All curricular changes that significantly alter the program philosophy, conceptual framework, content, objectives, or other written documentation as required in Section 2581, shall be approved by the Board prior to implementation. Proposed curricular changes must be submitted to the Board in final form by the fifteenth day of the second month preceding the month of the Board meeting at which the changes will be considered. Revisions should include:
(1) Explanation of changes;
(2) Rationale for proposed revision;
(3) Description of revised curriculum materials; and
(4) Changes to behavioral objectives, if applicable.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 4511, 4515, 4531 and 4532, Business and Professions Code.
HISTORY

1. Amendment of subsection (b) and (c)(1) filed 4-22-77; effective thirtieth day thereafter (Register 77, No. 17). For prior history, see Register 76, No. 23.
2. Amendment of subsection (c)(1) filed 9-27-79; effective thirtieth day thereafter (Register 79, No. 39).
3. Amendment of subsection (c)(3) and new subsection (d) filed 4-10-80; effective thirtieth day thereafter (Register 80, No. 15).
4. Amendment filed 11-16-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 47).
5. Amendment of subsection (d) filed 4-8-86; effective thirtieth day thereafter (Register 86, No. 15).
6. New subsection (i) filed 4-12-89; operative 5-12-89 (Register 89, No. 23).
7. Amendment filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
8. New subsection (c), subsection relettering, and amendment of newly designated subsection (e) filed 11-20-97; operative 12-20-97 (Register 97, No. 47).
9. Amendment of subsection (f) and new subsections (f)(1)-(f)(4) filed 6-1-2000; operative 6-30-2000 pursuant to Government Code section 11349.3(a) (Register 2000, No. 22).
10. Amendment of subsection (e) and amendment of Note filed 12-29-2004; operative 1-28-2005 (Register 2004, No. 53).
11. Amendment of subsection (d)(6) and new subsections (d)(14)-(17) filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2588. Clinical Experience.
Note     •     History

(a) Schools shall apply on a form provided by the Board for approval of each clinical facility prior to use.
(b) Schools shall have clinical facilities adequate as to number, type, and variety of patients treated, to provide clinical experience for all students in the areas specified by Section 2587. There must be available for student assignment, an adequate daily census of patients to afford a variety of clinical experience consistent with competency-based objectives and theory being taught. Clinical objectives which students are expected to master shall be posted in client care areas utilized for clinical experience.
(c) For supervision of clinical experience, there shall be a maximum of 15 students for each instructor.
(d) Schools are responsible for the continuous review of clinical facilities to determine if the students' clinical objectives for each facility are being met.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 4511, 4531 and 4532, Business and Professions Code.
HISTORY

1. Amendment of subsections (b) and (d) and repealer of subsection (e) filed 12-17-70; effective thirtieth day thereafter (Register 70, No. 51).
2. Amendment of subsection (b) filed 2-2-76 as an emergency; effective upon filing (Register 76, No. 6).
3. Reinstatement of subsection (b) as it existed prior to emergency amendment filed 2-2-76, by operation of Section 11422.1(b), Gov. C. (Register 76, No. 23).
4. Amendment of subsection (b) filed 4-10-80; effective thirtieth day thereafter (Register 80, No. 15).
5. Amendment filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
6. Amendment of subsection (b) filed 11-20-97; operative 12-20-97 (Register 97, No. 47).
7. Repealer of subsection (e) and amendment of Note filed 12-29-2004; operative 1-28-2005 (Register 2004, No. 53).
§2588.1. Clinical Preceptorships.
Note     •     History

(a) With prior Board approval, each psychiatric technician program may offer an optional clinical preceptorship during the last nine weeks of the program.
(b) Preceptorship means an optional clinical experience for selected  psychiatric technician students, which is conducted in the last nine (9) weeks of the psychiatric technician program.
(c) Preceptor means a registered nurse or a psychiatric technician on staff at the clinical facility in which the preceptorship will occur who is specially selected and prepared to work with a student during the preceptorship and who shall be responsible for on-site direction of the student's preceptorship.
(d) The program director or designee shall be responsible for the overall management of the preceptorship and final student outcomes.
(e) General Requirements
(1) The preceptorship may be conducted in any health care setting (including acute, subacute, clinic or a combination of settings) wherein the specific clinical objectives can be met.
(2) The goal of the preceptorship shall be the facilitation of students' maximal application of newly acquired knowledge, skills, and abilities in a realistic setting that simulates actual job performance.
(3) Preceptorships shall not be used for clinical make-up time or remediation.
(4) Prior to implementation of the preceptorship, the director shall apply for Board approval and specify the clinical objectives to be accomplished by the student in the preceptorship facility.
(5) The total length of a student's preceptorship shall not exceed 160 hours.
(6) The total hours per week required of a student for theory and preceptorship attendance shall not exceed 40 hours.
(7) The total hours per day required of a student for theory and preceptorship attendance shall not exceed eight (8) hours.
(8) The preceptorship shall be conducted within the last nine (9) weeks of the program or when presentation of new theory and correlated clinical content has been completed, whichever occurs later.
(9) The maximum instructor-to-preceptorship student ratio is 1:15.
(10) The maximum preceptor-to-student ratio is 1:1.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 4511, 4531 and 4532, Business and Professions Code.
HISTORY

1. New section filed 6-1-2000; operative 6-30-2000 pursuant to Government Code section 11349.3(a) (Register 2000, No. 22).
2. Amendment of subsection (c) and amendment of Note filed 12-29-2004; operative 1-28-2005 (Register 2004, No. 53).
§2589. Transcript of Records. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 4511 and 4513, Business and Professions Code.
HISTORY

1. Amendment filed 12-17-70; effective thirtieth day thereafter (Register 70, No. 51).
2. Repealer filed 11-16-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
Article 6. Revenue
§2590. Fees.
Note     •     History

The following fees are established: 
(a) The fee to be paid upon the filing of an application is one hundred fifty dollars ($150).
(b) The re-examination application fee (for any examination after the first) is one hundred fifty dollars ($150).
(c) For a license that expires on or after July 1, 2009, the biennial renewal fee is three hundred dollars ($300). If the license is renewed more than 30 days after its expiration, the renewal fee for the current cycle shall be the renewal fee in effect on the date the renewal fee is paid.
(d) For a license that expires on or after July 1, 2009, the delinquency fee is one hundred fifty dollars ($150).
(e) Effective July 1, 2009, the initial license fee is three hundred dollars ($300).
(f) The interim permit fee is twenty dollars ($20).
(g) The duplicate license fee is twenty dollars ($20).
(h) The endorsement fee is twenty dollars ($20).
(i) The post-licensure certification in blood withdrawal fee is twenty dollars ($20).
(j) The biennial fee for renewal for a provider of an approved continuing education course or a course to meet the certification requirements for blood withdrawal is one hundred fifty dollars ($150).
(k) The penalty fee for submitting insufficient funds or fictitious check, draft, or money order on any bank or depository for payment of any fee to the Board is twenty five dollars ($25). 
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Sections 152.6, 4544, 4545 and 4548, Business and Professions Code; and Section 6157, Government Code.
HISTORY

1. Amendment of subsection (b) filed 10-19-77 as an emergency; effective upon filing (Register 77, No. 43). For prior history, see Register 74, No. 31.
2. Amendment of subsection (b) refiled 3-27-78 as an emergency; effective upon filing (Register 78, No. 13).
3. Certificate of Compliance filed 5-9-78 (Register 78, No. 19).
4. Amendment of subsection (b), and new subsection (c) filed 5-18-79; effective thirtieth day thereafter (Register 79, No. 20).
5. Amendment filed 11-16-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 47).
6. Amendment filed 4-7-87; effective upon filing pursuant to Government Code section 11346.2(d) (Register 87, No. 15).
7. Amendment filed 5-12-92; operative 5-12-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 20).
8. Repealer and new section filed 1-9-2009 as an emergency; operative 1-9-2009 (Register 2009, No. 2). A Certificate of Compliance must be transmitted to OAL by 7-8-2009 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as 1-9-2009 order, including amendment of section and Note, transmitted to OAL 6-30-2009 and filed 8-11-2009 (Register 2009, No. 33).
10. Amendment of subsections (a), (b) and (k) filed 8-12-2010; operative 10-1-2010 (Register 2010, No. 33).
§2590.1. Provider Fees.
Note     •     History

Pursuant to Section 4518 of the Code the application fee for approval as a continuing education provider is one hundred fifty dollars ($150) every two years.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4518, Business and Professions Code.
HISTORY

1. New section filed 5-12-92; operative 5-12-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 20).
§2591. Waiver of Initial Certificate Fee. [Repealed]
History

HISTORY

1. Amendment filed 12-28-61; effective thirtieth day thereafter (Register 61, No. 26).
2. Repealer filed 9-27-65; effective thirtieth day thereafter (Register 65, No. 18).
Article 7. Continuing Education
§2592.1. Hour Requirements.
Note     •     History

(a) Each licensee renewing a license under Section 4544 of the code shall submit proof of having completed, during the preceding two years, thirty (30) hours of continuing education acceptable to the Board.
(b) This section shall not apply to the first license renewal following initial issuance of a license.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4517, Business and Professions Code.
HISTORY

1. New section filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
§2592.2. Continuing Education Courses.
Note     •     History

(a) The Board will accept each hour of theory or course related clinical experience as one (1) hour of continuing education.
(b) Continuing education courses approved by psychiatric technician or nursing licensing agencies of this or of other states, or psychiatric technician or nursing organizations of this or other states, or courses considered comparable by the Board will be accepted.
(c) Courses which are prerequisite to or part of a registered nursing or vocational nursing program, or college and university courses related to the psychiatric technician scope of practice will be accepted.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4517, Business and Professions Code.
HISTORY

1. New section filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
§2592.3. Course Provider Approval.
Note     •     History

(a) An individual applying for approval as a continuing education course provider must:
(1) Complete and submit an application form supplied by the Board entitled, “Application to be a Continuing Education Course Provider for Psychiatric Technicians” (Form 56A-40; 09/05), hereby incorporated by reference.
(2) The content of all courses of continuing education must be relevant to the practice of psychiatric technicians and must: 
(A) be related to the scientific knowledge and/or technical, manual skills required for the practice of psychiatric technicians, or 
(B) be related to direct and/or indirect patient/client care. 
(C) Learning experiences are expected to enhance the knowledge of the psychiatric technician at a level above that required for licensure. 
(3) The Board will review one course offering when considering course provider approval. Include the following information for the course submitted for review:
(A) Identifying information for the name, location and contact of the provider.
(B) A description of the subject matter of the course as it relates to recent developments in the psychiatric technician field or in any special area of psychiatric technician practice:
(C) The course objectives;
(D) Method(s) of instruction;
(E) Total number of hours in the course and the course location;
(F) Methods of evaluation:
1. for instructor evaluation of student achievement of course objectives; and
2. for student evaluation of course content and course instructor.
(G) Course instructor's qualifications, as specified in Section 2592.4.
(b) The Board will issue approval to the provider. A provider will not be approved for more than a two-year period. Following approval by the Board within each two-year period, the provider may offer an unlimited number of continuing education courses.
(c) An approved provider shall have a written and published policy, available on request, which provides information on:
(1) refunds in cases of non-attendance
(2) time period for return of fees
(3) notification if course is canceled
(d) The approved provider is required to accept full responsibility for each and every course, including but not limited to recordkeeping, advertising course content, issuance of certificates and instructor qualifications.
(e) Approved providers shall keep the following records for a period of four years:
(1) course outlines of each course given
(2) record of dates and places each course is given
(3) instructor curriculum vitae or resumes
(4) names and license numbers of licensed vocational nurses and/or psychiatric technicians who take any course offered by the approved provider and a record of any certificate issued to them.
(f) Provider approval is non-transferable.
(g) Approved providers must notify the board within 30 days of any changes in information that was submitted on the most recent approved application to the board.
(h) Approval of a psychiatric technician continuing education course provider may be withdrawn if the Board later discovers misrepresentation in an advertisement or in any information required by the Board in accordance with this Article.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4517, Business and Professions Code.
HISTORY

1. New section filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
2. Amendment of section heading and repealer and new section filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2592.4. Course Instructor Qualifications.
Note     •     History

Instructors of continuing education courses shall meet two of the following:
(a) Completion of specialized training in the subject matter of the course within two years preceding course approval;
(b) Completion of academic studies related to the subject matter of the course within two years preceding course approval;
(c) Teaching experience in a course with similar subject matter content within the previous two years;
(d) Six months of work experience in the subject matter of the course within the previous three years; or
(e) Experience in the development of academic courses within two years preceding course approval.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4517, Business and Professions Code.
HISTORY

1. New section filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
2. Amendment of section heading, first paragraph and subsection (d) filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2592.5. Course Completion Certificates and Reporting.
Note     •     History

(a) At the completion of the course, the provider shall issue a certificate to each licensee.
(b) At the time of license renewal, the licensee shall provide a written statement indicating (1) the date each course was completed; (2) provider and course number; (3) course title; and (4) total hours of the course.
(c) Licensees are required to maintain a record of continuing education courses taken during the last four (4) years.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4517, Business and Professions Code.
HISTORY

1. New section filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
§2592.6. Inactive Licenses.
Note     •     History

(a) A license will be placed on inactive status when the renewal fee is paid and continuing education requirements have not been met.
(b) To reactivate an inactive license the licensee must submit proof of thirty hours of continuing education taken during the preceding two years and have furnished a full set of fingerprints as required by section 2575.5.
NOTE

Authority cited: Sections 4501.1 and 4504, Business and Professions Code. Reference: Sections 144, 700, 701, 703, 704, 4503, 4517 and 4521, Business and Professions Code; and Section 11105, Penal Code.
HISTORY

1. New section filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
2. Amendment of subsection (b) and Note filed 1-9-2009 as an emergency; operative 1-9-2009 (Register 2009, No. 2). A Certificate of Compliance must be transmitted to OAL by 7-8-2009 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as 1-9-2009 order, including further amendment of section, transmitted to OAL 6-30-2009 and filed 8-11-2009 (Register 2009, No. 33).
§2592.7. Exemption from Continuing Education  Requirements.
Note     •     History

(a) At the time of making application for renewal, an applicant for exemption from the continuing education requirements shall make written application to the Board.
(b) The applicant must show evidence satisfactory to the Board, that during the two-year period immediately prior to the expiration date of the applicant's license, the licensee:
(1) Has been residing in another country for a period of one year or longer reasonably preventing completion of continuing education requirements; or
(2) Has been absent from California because of military or missionary service for a period of one year or longer preventing completion of continuing education requirements; or
(3) Should be exempt from the continuing education requirements for reasons of health or other good cause which includes;
(A) Total physical or mental disability for one year or more and the ability to return to work, as verified by a licensed physician and surgeon or licensed clinical psychologist.
(B) Total physical or mental disability for one year or longer of an immediate family member for whom the licensee has total responsibility, as verified by a licensed physician and surgeon or licensed clinical psychologist.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4517, Business and Professions Code.
HISTORY

1. New section filed 3-24-92; operative 4-23-92 (Register 92, No. 13).
2. Editorial correction of section heading (Register 97, No. 24).
Article 8. Blood Withdrawal
§2593. Blood Withdrawal.
Note     •     History

A licensed psychiatric technician applying for certification by the Board to withdraw peripheral venous blood from a patient with a mental illness or developmental disability shall complete and submit an application form supplied by the Board entitled “Application to be Certified in Blood Withdrawal for Psychiatric Technicians” (Form 56C-1; 09/05) hereby incorporated by reference. Applicants may qualify for certification in one of the following ways:
(a) Written verification as submitted to the Board by one of the persons specified in Section 2593.3 that the licensed psychiatric technician is competent in the performance of blood withdrawal procedures according to the subject areas specified in Section 2593.2. Written verification shall be provided on a form entitled “Blood Withdrawal Verification for Psychiatric Technicians” (Form 56C-2; 09/05) hereby incorporated by reference.
(b) Satisfactory completion of a course in blood withdrawal, as defined in Section 2593.2 and taught by an approved course provider as specified in Section 2593.3.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4502.2, Business and Professions Code.
HISTORY

1. New article 8 (sections 2593-2593.4) and section filed 1-19-99; operative 1-19-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 4).
2. Amendment filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2593.1. Procedure for Certification Course Approval.
Note     •     History

(a) A person or institution applying for approval of a certification course in blood withdrawal must complete an application form supplied by the Board entitled “Application to be a Certification Course Provider in Blood Withdrawal for Psychiatric Technicians” (Form 56C-3; 09/05) hereby incorporated by reference. 
(b) A blood withdrawal course of instruction must be approved by the Board before it is offered by the provider.
(c) A course will not be approved for more than a two-year period.
(d) Approval of a psychiatric technician blood withdrawal certification course may be withdrawn if the Board later discovers misrepresentation in an advertisement or in any information required by the Board in accordance with this Article.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4502.2, Business and Professions Code.
HISTORY

1. New section filed 1-19-99; operative 1-19-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 4).
2. Amendment of section heading and section filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2593.2. Approval of Course Content.
Note     •     History

(a) A certification course in blood withdrawal for psychiatric technicians shall be taught by an instructor approved as provided in Section 2593.3; shall have a maximum of 15 students for each instructor for clinical experience; and shall be at least sixteen hours in length, including 10 hours theory and 6 hours clinical experience, including at least 5 individually supervised venipunctures on live human subjects and at least 3 individually supervised capillary blood withdrawals on live human subjects. 
(1) The theory shall include, but not be limited to, the following:
(A) The requirements contained in Section 4502.2 of the Code necessary for a psychiatric technician to perform blood withdrawal;
(B) Psychological preparation of the patient;
(C) Universal precautions for infection control;
(D) Blood withdrawal;
(E) Anatomy and physiology pertinent to peripheral venous blood withdrawal.
(F) Specimen handling:
1. Container and preservative selection;
2. Amount of specimen required;
3. Test requirements, including, but not limited to, acceptable time periods from specimen collection to laboratory processing, temperature requirements, and effect of container motion; and
4. Patient and specimen container identification techniques.
(G) Selection of appropriate equipment:
1. Lancet;
2. Syringe;
3. Vacuum tube;
4. Needle (The term “needle” does not include the equipment, methods and procedures used outside of peripheral venous blood withdrawal.); and
5. Safety measures related to equipment.
(H) Methods of blood withdrawal:
1. Capillary blood withdrawal; and
2. Venipuncture.
(I) Withdrawal site:
1. Selection;
2. Preparation;
3. Technique (including safety measures to protect patients and staff); and
4. Post-procedure care.
(J) Sterile technique.
(K) Universal and standard precautions for infection control.
(L) Possible complications.
(M) Psychological preparation of the patient.
(b) Blood withdrawal clinical experience must include:
(1) Preparation of equipment for blood withdrawal;
(2) Safety factors;
(3) Choice of withdrawal site;
(4) Choice of device for blood withdrawal;
(5) Techniques of venipuncture;
(6) Skin puncture practice must include instruction in:
(A) Preparation of site; and
(B) Preparation of equipment.
(7) Universal precautions for infection control. 
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4502.2, Business and Professions Code.
HISTORY

1. New section filed 1-19-99; operative 1-19-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 4).
2. Amendment filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2593.3. Approval of Course Instructors.
Note     •     History

To be approved by the Board, a certification course in peripheral venous blood withdrawal for licensed psychiatric technicians must be taught by one of the following persons:
(a) A physician and surgeon licensed by the Medical Board of California or the Osteopathic Medical Board of California who within the previous five years: 
(1) Has had a minimum of 6 months of experience, including blood withdrawal and/or starting and superimposing intravenous fluids in an “organized health care system”; or
(2) Has had experience teaching courses in blood withdrawal and/or intravenous therapy.
(b) A nurse licensed by the California Board of Registered Nursing who within the previous five years:
(1) Has had a minimum of 6 months of experience, including blood withdrawal and/or starting and superimposing intravenous fluids in an “organized health care system”; or
(2) Has had experience teaching courses in blood withdrawal and/or intravenous therapy; or
(3) Has met the requirements for faculty of a Registered Nurse, Vocational Nurse or Psychiatric Technician program.
(c) A clinical laboratory scientist (technologist), licensed by the California Department of Health Services who within the previous five years:
(1) Has had a minimum of 6 months of experience in blood withdrawal in an “organized health care system”; or
(2) Has had experience teaching courses in blood withdrawal.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4502.2, Business and Professions Code.
HISTORY

1. New section filed 1-19-99; operative 1-19-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 4).
2. Amendment of section heading and section filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
§2593.4. Reports to the Board that the Licensee is Eligible for Board-Certification.
Note     •     History

(a) The certification course provider in blood withdrawal for licensed psychiatric technicians must submit to the Board verification of course completion by filling out section 11 and 12 on Board form entitled, “Application to be Certified in Blood Withdrawal for Psychiatric Technicians” (Form 56C-1; 09/05), hereby incorporated by reference. 
(b) The certification course provider shall maintain a list of all psychiatric technician licensees who have completed the blood withdrawal certification course within the preceding four years.
(c) A licensed psychiatric technician is deemed to be Board-certified to withdraw peripheral venous blood upon written notification from the Board.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4502.2, Business and Professions Code.
HISTORY

1. New section filed 1-19-99; operative 1-19-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 4).
2. Amendment filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
Article 9. Immunizations and Skin Tests
§2594. Immunizations and Skin Tests.
Note     •     History

(a) A psychiatric technician, when prescribed by a physician and surgeon, may perform the activities delineated in Section 4502.3 of the Business and Professions Code provided the psychiatric technician has demonstrated competence.
(b) Clinical competence in the administration of immunizations and skin tests by psychiatric technicians shall be determined by a licensed physician and surgeon, physician's assistant, registered nurse, licensed psychiatric technician or licensed vocational nurse who is clinically competent in the performance of the aforenoted procedures.
NOTE

Authority cited: Section 4504, Business and Professions Code. Reference: Section 4502.3, Business and Professions Code.
HISTORY

1. New article 9 (section 2594) and section filed 1-19-99; operative 1-19-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 4).
Division 26. Landscape Architects Technical Committee

(Originally Printed 11-13-54)
Article 1. General Provisions
§2600. Location of Offices. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Section 5630, Business and Professions Code.
HISTORY

1. Chapter 26 (2600-2640) filed 11-1-54; effective thirtieth day thereafter (Register 54, No. 24).
2. Amendment filed 10-30-63 as procedural and organizational (Register 63, No. 20).
3. Repealer filed 2-2-83; effective thirtieth day thereafter (Register 83, No. 6).
4. Change without regulatory effect amending division heading filed 5-5-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 19).
§2601. Tenses, Gender, and Number. [Repealed]
Note     •     History

NOTE

Authority and reference cited: Section 5630, Business and Professions Code.
HISTORY

1. Repealer filed 2-2-83; effective thirtieth day thereafter (Register 83, No. 6).
§2602. Definitions.
Note     •     History

As used in this chapter, unless the context otherwise requires:
(a) “Board” means the California Architects Board.
(b) “Code” means the Business and Professions Code.
(c) “Approved school” means a school with a landscape architecture program approved by the Board.
(d) “Group practice” means a partnership, firm or corporation offering and/or engaged in the practice of landscape architecture. Landscape architectural services of the group practice must be performed by or under the direct supervision of a person who may be a partner, principal, officer, or employee of the group practice who holds a valid license to practice landscape architecture in this State. The signature, date of execution and license number of such licensed person shall appear on all instruments of service.
(e) “Individual practice” means the practice of landscape architecture by one person who holds a valid license to practice landscape architecture in this State.
(f) “Instruments of service” means finalized working drawings, contract proposals, site analyses, environmental review documents, inspection reports, cost estimates, planning studies, and specifications which have been prepared by a person who holds a valid license to practice landscape architecture in this State or which have been prepared under his or her immediate and responsible direction.
NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Sections 5559, 5620, 5642 and 5650, Business and Professions Code.
HISTORY

1. New subsections (d), (e) and (f) filed 1-22-75; effective thirtieth day thereafter (Register 75, No. 4).
2. Amendment of subsections (d)-(f) filed 2-2-83; effective thirtieth day thereafter (Register 83, No. 6).
3. Change without regulatory effect amending section filed 2-19-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 8).
4. Change without regulatory effect amending subsection (c) filed 5-1-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 18).
5. Change without regulatory effect amending section filed 5-5-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 19).
§2603. Delegation of Certain Functions.
Note     •     History

The power and discretion conferred by law upon the Board to receive and file accusations; issue notices of hearings, statements to respondent and statements of issues; receive and file notices of defense; determine the time and place of hearings under Section 11508 of the Government Code; issue subpoenas and subpoenas duces tecum; set calendar cases for hearing and perform other functions necessary to the businesslike dispatch of the Board in connection with proceedings under the provisions of Sections 11500 through 11528 of the Government Code, prior to the hearing of such proceedings; and the certification and delivery or mailing of copies of decisions under Section 11518 of said Code are hereby delegated to and conferred upon the executive officer, or in his or her absence from the office of the Board, the acting executive officer.
The power and discretion conferred by law upon the Board to evaluate and determine qualifications and approve applicants for examination under Section 5650 of the Code, and determine which applicants for reciprocity licenses are entitled to waiver of the written examination under Section 5651 of the Code is hereby delegated to and conferred upon the executive officer. 
NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Sections 5624, 5651 and 5662, Business and Professions Code.
HISTORY

1. Amendment filed 12-1-77; effective thirtieth day thereafter (Register 77, No. 49).
2. Amendment filed 2-2-83; effective thirtieth day thereafter (Register 83, No. 6).
3. Amendment filed 10-30-84; effective thirtieth day thereafter (Register 84, No. 44).
4. Change without regulatory effect amending section filed 2-19-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 8).
5. Change without regulatory effect amending section filed 5-5-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 19).
§2604. Filing of Mailing Address.
Note     •     History

Each person holding a license from the Board shall file his or her current mailing address with the Board at its office in Sacramento, California, and shall immediately notify the Board of any and all changes of mailing address, giving both his or her old and new addresses. The licensee's mailing address shall be a matter of public record. A penalty as provided in Section 5681 of the Code and Section 2649 shall be paid by a licensee who fails to notify the Board within 30 days after a change of address.
NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Sections 5657 and 5681, Business and Professions Code.
HISTORY

1. Change without regulatory effect amending section filed 5-5-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 19).
2. Amendment of section heading and section and new Note filed 3-8-2005; operative 4-7-2005 (Register 2005, No. 10).
§2605. Meeting. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 5630, 5651 and 5627, Business and Professions Code.
HISTORY

1. New section filed 12-1-58; effective thirtieth day thereafter (Register 58, No. 22).
2. Repealer filed 2-2-83; effective thirtieth day thereafter (Register 83, No. 6).
§2606. Stamp.
Note     •     History

The stamp authorized by Sections 5659 and 5673 of the Code may be purchased by the landscape architect from any convenient source, but shall be of the design illustrated here and shall be between one (1) and two (2) inches in diameter.

View Graphic
NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Sections 5659 and 5673, Business and Professions Code.
HISTORY

1. New section filed 1-22-75; effective thirtieth day thereafter (Register 75, No. 4).
2. Amendment of illustration and Note filed 6-23-93; operative 6-23-93 (Register 93, No. 26). Pursuant to Government Code section 11346.2(d).
3. Change without regulatory effect amending section heading and section filed 1-29-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 5).
4. Change without regulatory effect amending section text filed 5-5-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 19).
5. Amendment filed 6-26-2009; operative 10-1-2009 (Register 2009, No. 26).
§2607. Signature, Date of Execution, License Number. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Sections 5462, 5659 and 5673, Business and Professions Code.
HISTORY

1. New section filed 1-22-75; effective thirtieth day thereafter (Register 75, No. 4).
2. Repealer filed 2-2-83; effective thirtieth day thereafter (Register 83, No. 6).
3. Editorial correction of printing error restoring section 2607 (Register 91, No. 32).
§2608. Public Information System -- Disclosure.
Note     •     History

(a) The Board shall establish and maintain a public information system to provide members of the public with information regarding complaints and disciplinary or enforcement actions against licensed landscape architects and unlicensed persons subject to the Board's jurisdiction and Division 3, Chapter 3.5 of the Code (commencing with section 5615). Such a system shall also provide the public with information regarding the licensed status of the Board's licensees.
Information subject to the public information system shall be disclosed to members of the public, upon request, by telephone, in person, or in writing (including fax or email). Such information, when feasible and to the extent required or permitted by law, shall be made available by the Board in writing or by telephone. Requests for information shall be responded to within ten (10) days.
(b) Information to be Disclosed Regarding License Status.
The Board shall disclose the following information regarding past and current licensees:
(1) The name of the licensee, as it appears in the Board's records;
(2) The license number;
(3) The address of record;
(4) The license issue date;
(5) The license expiration date; and
(6) The license status and history.
(c) Information to be Disclosed Regarding Disciplinary or Enforcement Actions.
Unless otherwise required by law, the Board shall disclose the following information regarding disciplinary or enforcement actions taken against licensees and unlicensed persons, if applicable:
(1) Total number of disciplinary and enforcement actions taken by the Board;
(2) Brief summary of disciplinary and enforcement actions taken by the Board; Citations that have been satisfactorily resolved shall be disclosed as such;
(3) Current status of pending Accusations, Statements of Issues, and Citations filed by the Board; disclosure of pending actions shall contain a disclaimer stating that the pending administrative actions(s) against the person is/are alleged and no final legal determination has yet been made; further disclaimers or cautionary statements regarding such pending actions may also be made; and
(4) Information which is statutorily mandated to be disclosed.
(d) Information to be Disclosed Regarding Complaints.
(1) The Board shall disclose complaint information when the executive officer has determined that:
(A) The complaint information has a direct and immediate relationship to the health and safety of another person; and
(B) One or more of the following have occurred:
1. A complaint involves a dangerous act or condition caused by the subject of the complaint that has or could result in a death, bodily injury or severe consequences and disclosure may protect the consumer and/or prevent additional harm to the public;
2. A series of complaints against a party alleging a pattern of unlawful activity has been received by the Board and it has been determined that disclosure may protect the consumer and/or prevent additional harm to the public;
3. A complaint has been referred to the Attorney General for filing of an Accusation or Statement of Issues; or
4. A complaint has been referred to other law enforcement entity for prosecution.
(2) Complaint information that is determined to meet the conditions of disclosure listed in subsection (d)(1) shall be incorporated into the public information system no later than ten (10) days after the conditions of disclosure have been met.
(3) Information about a complaint shall not be disclosed if it is determined by the executive officer that any of the following apply:
(A) Disclosure is prohibited by statute or regulation;
(B) Disclosure might compromise an investigation or prosecution; or
(C) Disclosure might endanger or injure the complainant or third party.
(4) When conditions of disclosure have been met, the Board shall disclose the following information regarding complaints received against licensees and unlicensed persons, if applicable:
(A) Total number of complaints meeting conditions of disclosure;
(B) Date(s) of receipt and nature of the complaint(s);
(C) Disposition of the complaint(s), by indicating whether the matter has been:
1. Referred to formal disciplinary action;
2. Disposed of through any other action, formal or informal; or
3. Other disposition;
(D) Information which is statutorily mandated to be disclosed;
(E) Current status of criminal prosecution resulting from a complaint received by the Board;
(F) A description of the type of public information not included in the system (i.e., civil judgements, criminal convictions, unsubstantiated complaints); and
(G) Disclaimers indicating that the system does not constitute endorsement or non-endorsement of a person, and that the system may not contain all available information.
NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Sections 125.9, 129(e), 148 and 5620.1, Business and Professions Code; and Section 6253, Government Code.
HISTORY

1. New section filed 7-3-80; effective thirtieth day thereafter (Register 80, No. 27).
2. Editorial correction of printing error restoring section 2608 (Register 91, No. 32).
3. Change without regulatory effect amending first paragraph and subsections (c)(2) and (c)(3) filed 2-19-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 8).
4. Amendment of section heading, repealer and new section and amendment of Note filed 6-5-2006; operative 7-5-2006 (Register 2006, No. 23).
§2610. Application for Examination.
Note     •     History

(a) Application for examination shall be made upon the form provided by the Board, accompanied by such evidence, statements, or documents as therein required.
(b) The application shall be filed with the Board at its offices in Sacramento, California at least seventy (70) days prior to the date of the examination which the applicant wishes to take and shall be accompanied by the fee required by Section 5681 (a) of the Code. Refunds of fees to applicants who are found to be ineligible to take the examination shall be made in accordance with Section 158 of the Code.
NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Section 5651, Business and Professions Code.
HISTORY

1. Amendment filed 2-20-57; effective thirtieth day thereafter (Register 57, No. 4).
2. Amendment of subsection (b) filed 9-11-87; operative 9-11-87 pursuant to Government Code Section 11346.2(d) (Register 87, No. 37).
3. Amendment filed 8-4-98; operative 8-4-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 32).
4. Change without regulatory effect amending subsection (b) filed 5-5-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 19).
§2611. Abandonment of Application.
Note     •     History

(a) An applicant whose application for licensure is incomplete shall be deemed to have abandoned the application if he or she does not submit all required documents, data and information within one year from the date of the letter notifying the applicant that the application is incomplete. 
(b) An applicant whose application for the California Supplemental Examination has been accepted shall be deemed to have abandoned the application if he or she does not take the California Supplemental Examination within three years from the date an eligibility letter was issued. 
(c) Any application submitted subsequent to the abandonment of a former application shall be treated as a new application. 
NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Section 5650, Business and Professions Code. 
HISTORY

1. New section filed 6-26-2009; operative 10-1-2009 (Register 2009, No. 26). For prior history, see Register 2001, No. 16. 
§2612. Review of Applications. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5630, Business and Professions Code; and Section 15376, Government Code. Reference: Section 15376, Government Code.
HISTORY

1. New section filed 7-3-89; operative 8-2-89 (Register 89, No. 27).
2. Change without regulatory effect amending section filed 2-19-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 8).
3. Repealer filed 6-26-2009; operative 10-1-2009 (Register 2009, No. 26).
§2613. Processing Times. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5630, Business and Professions Code; and Section 15376, Government Code. Reference: Section 15376, Government Code.
HISTORY

1. New section filed 7-3-89; operative 8-2-89 (Register 89, No. 27).
2. Change without regulatory effect amending subsection (a) and repealing subsection (b) filed 2-19-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 8).
3. Repealer filed 6-26-2009; operative 10-1-2009 (Register 2009, No. 26).
§2614. Examination Transition Plan.
Note     •     History

(a) A candidate who has received Board credit for any section of Uniform National Examination for Landscape Architects (hereafter UNE)  shall be given credit for those sections as those sections correspond to the 1992 Landscape Architect Registration Examination (hereafter LARE) sections in accordance with the following transition chart:

View Graphic
(b)(1) A candidate who has received Board credit for any section of the 1992 LARE shall be given credit for those sections as those sections correspond to sections of the Professional Examination for Landscape Architecture (hereafter PELA) in accordance with the following transition chart:

View Graphic
(2) A candidate who is transferring credit from the UNE or 1992 LARE to the PELA and has not previously received Board credit for Section 8 (California) of the LARE shall be required to take and pass either Section 1 (Objective) or Section 4 (California) of the PELA. A candidate who has been granted transfer credit from the LARE to Section 1 of the PELA may not apply such transfer credit to fulfill his or her requirement to have passed the California Section of the PELA.
(c)(1) A candidate who has received Board credit for any section of the PELA shall be given credit for the corresponding sections of the 1997 through 1998 LARE and the California Section in accordance with the following transition chart:

View Graphic
(2) To receive Board credit for Section 2 (7) -- Analytical and Technical Aspects of Practice of the 1997 through 1998 LARE, a candidate shall either have passed Section 1 -- Objective of the PELA or have received credit for both Section 2 -- Programming and Environmental Analysis and Section 7 -- Implementation of Design Through the Construction Process of the pre-1997 LARE either by having previously passed those sections of the pre-1997 LARE or by having received transition credit from the UNE.
(d)(1) A candidate who has received credit for any section of the LARE which was administered on or before December 31, 1998 shall be given credit for the corresponding sections of the LARE administered on or after June 1999 in accordance with the following transition chart:

View Graphic
(2) A candidate shall receive credit for Section C of the LARE administered on or after June 1999 only if the candidate has passed both Sections 3 and 4 of the LARE administered on or before December 31, 1998. A candidate who has passed either Section 3 or 4 of the LARE administered on or before December 31, 1998, but not both, shall be required to pass Section C of the LARE administered on or after June 1999.
(e) Effective April 2006 the LARE was reformatted and the sections renamed. Credits and conversions provided for the June 1999 through June 2005 sections remain: 

View Graphic
NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Section 5651, Business and Professions Code.
HISTORY

1. New section filed 6-23-93; operative 6-23-93 (Register 93, No. 26). Pursuant to Government Code section 11346.2(d).
2. Amendment filed 8-29-97; operative 8-29-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 35).
3. New subsections (d)(1) and (d)(2) filed 1-26-99; operative 1-26-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 5).
4. Change without regulatory effect amending section filed 5-5-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 19).
5. Amendment of subsections (c)(1)-(2) and (d)(1)-(2) and new subsection (e) filed 6-26-2009; operative 10-1-2009 (Register 2009, No. 26).
§2615. Form of Examinations.
Note     •     History

A candidate shall be deemed eligible and may apply for the California Supplemental Examination upon passing all sections of the Landscape Architect Registration Examination. 
All candidates applying for licensure as a landscape architect shall pass all sections of the Landscape Architect Registration Examination or a written examination substantially equivalent in scope and subject matter required in California, as determined by the Board, and the California Supplemental Examination subject to the following provisions:
(a) A candidate who is licensed as a landscape architect in a U.S. jurisdiction, Canadian province, or Puerto Rico by having passed a written examination substantially equivalent in scope and subject matter required in California as determined by the Board shall be eligible for licensure upon passing the California Supplemental Examination.
(b) A candidate who is not a licensed landscape architect and who has received credit from a U.S. jurisdiction, Canadian province, or Puerto Rico for a written examination substantially equivalent in scope and subject matter required in California shall be entitled to receive credit for the corresponding sections of the Landscape Architect Registration Examination, as determined by the Board, and shall be eligible for licensure upon passing any remaining sections of the Landscape Architect Registration Examination and the California Supplemental Examination.
NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Section 5651, Business and Professions Code.
HISTORY

1. New section filed 6-23-93; operative 6-23-93 pursuant to Government Code section 11346.2(d) (Register 93, No. 26). 
2. Amendment of subsection (b) and new subsections (b)(1)-(c) filed 10-18-94; operative 11-17-94 (Register 94, No. 42).
3. Amendment filed 8-29-97; operative 8-29-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 35).
4. Change without regulatory effect amending first paragraph and subsections (a) and (c) filed 5-1-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 18).
5. Change without regulatory effect amending section filed 5-5-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 19).
6. Amendment of subsections (a) and (b) filed 3-8-2005; operative 4-7-2005 (Register 2005, No. 10).
7. Amendment filed 6-26-2009; operative 10-1-2009 (Register 2009, No. 26).
§2616. Application for Licensure Following Examination.
Note     •     History

(a) A candidate, having passed all sections of the Landscape Architect Registration Examination and the California Supplemental Examination, shall apply for a landscape architects license within five years after the date of mailing of examination results.
(b) A candidate who fails to apply for a license in accordance with subsection (a) shall not be issued a license unless the candidate reapplies for a license and meets the following requirements:
(1) No fact, circumstance, or condition exists which would justify denial under Business and Professions Code Section 480,
(2) The candidate pays all of the fees which would be required of the candidate if the candidate were then applying for the license for the first time, and
(3) The candidate takes and passes the examination which would be required of all candidates applying for the first time, or is subject to waiver of the examination pursuant to Business and Professions Code Section 5651(b).
NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Sections 5650, 5651 and 5652, Business and Professions Code.
HISTORY

1. New section filed 5-17-2001; operative 6-16-2001 (Register 2001, No. 20).
2. Change without regulatory effect amending subsections (b)(1) and (b)(3) filed 5-5-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 19).
3. Amendment of subsections (a) and (b)(3) filed 6-26-2009; operative 10-1-2009 (Register 2009, No. 26).
§2620. Education and Training Credits--Operative on January 1, 1997.
Note     •     History

The Board's evaluation of a candidate's training and educational experience is based on the following table:

			Training
			and/or
		Education	Practice
		Max Credit	Max Credit
	Experience Description	Allowed	Allowed

	(a) Experience Equivalent:

(1)	Degree in landscape architecture					from an approved school.	4 years

			Training
			and/or
		Education	Practice
		Max Credit	Max Credit
	Experience Description	Allowed	Allowed

(2)	Degree in landscape architecture					from a non-approved school.	3 years

(3)	Extension certificate in					landscape architecture from an					approved school.	2 years

(4)	Associate degree  in landscape					architecture from a city/community					college which consists of at least					a 2-year curriculum.	1 year

(5)	Extension certificate as					specified in subdivision (a)(3) and a 					degree from a university or college					which consists of a 4-year curriculum.	4 years

(6)	Associate degree from a college 					specified in subdivision (a)(4) and 					an extension certificate as 					specified in subdivision					(a)(3) of this section.	3 years

(7)	Self-employment as, or employment by, 					a landscape architect licensed in the 					jurisdiction where the experience occurred 					shall be granted credit on a 100% basis.		5 years

(8)	Self-employment as, or employment by, 					a licensed architect or a registered civil 					engineer in the jurisdiction where the 					experience occurred shall be granted					credit on a 100% basis.		1 year

(9)	Self-employment as a California licensed					landscape contractor or a licensed					landscape contractor in another jurisdiction					where the scope of practice for landscape					contracting is equivalent to that allowed in					this State pursuant to Business and					Professions Code Section 7027.5 and Cal.					Code Regs., Title 16, Section 832.27 shall 					be granted credit on a 100% basis.		4  years
(b) Educational Credits.
(1) Candidates shall possess at least one year of educational credit to be eligible for the examination.
(2) A degree from a school with a landscape architecture program shall be defined as one of the following:
(A) Bachelor of Landscape Architecture.
(B) Bachelor of Science in landscape architecture.
(C) Bachelor of Arts in landscape architecture.
(D) Masters degree in landscape architecture.
The maximum credit which may be granted for a degree or combination of degrees from an approved school shall be four years of educational credit.
A degree from a school with a landscape architecture program shall be deemed to be approved by the Board if the landscape architectural curriculum has been approved by the Landscape Architectural Accreditation Board (LAAB) as specified in its publication: “Accreditation Standards for Programs in Landscape Architecture” dated February 26, 1990 or the Board determines that the program has a curriculum equivalent to a curriculum having LAAB accreditation.
(3) No credit shall be granted for academic units obtained without earning a degree or certificate under categories of subdivisions (a)(1), (2), (3) or (4) of this section.
(4) A candidate enrolled in a degree program where credit earned is based on work experience courses (e.g., internship or co-op program) shall not receive more than the maximum credit allowed for degrees under subdivisions (a)(1), (2) or (3) of this section.
(5) Except as specified in subdivision (a)(5) and (6) of this section, candidates with multiple degrees shall not be able to accumulate credit for more than one degree.
(6) The Board shall not grant more than four years of credit for any degree or certificate or any combination thereof for qualifying educational experience.
(c) Training Credits
(1)(A) Candidates shall possess at least two years of training/practice credit to be eligible for the examination.
(B) At least one of the two years of training/practice credit shall be under the direct supervision of a landscape architect licensed in a United States jurisdiction, and shall be gained after graduation from an educational institution specified in subdivisions (a)(1), (2), (3) or (4) of this section.
(C) A candidate shall be deemed to have met the provisions of subdivision (c)(1)(B) if he or she possesses a degree from a school specified in subdivision (a)(1) and has at least two years of training/practice credit as a licensed landscape contractor or possesses a certificate from a school specified in subdivision (a)(3) and has at least four years of training/practice credit as a licensed landscape contractor.
(2) Candidates shall be at least 18 years of age or a high school graduate before they shall be eligible to receive credit for work experience.
(3) A year of training/practice experience shall consist of 1500 hours of qualifying employment. Training/practice experience may be accrued on the basis of part-time employment. Employment in excess of 40 hours per week shall not be considered.
(d) Miscellaneous Information
(1) Independent, non-licensed practice or experience, regardless of claimed coordination, liaison, or supervision of licensed professionals shall not be considered.
(2) The Board shall retain inactive applications for a five (5) year period. Thereafter, the Board shall purge these records unless otherwise notified by the candidate. A candidate who wishes to reapply to the Board, shall be required to re-obtain the required documents to allow the Board to determine their current eligibility.
This section shall become operative on January 1, 1997.
NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Section 5650, Business and Professions Code.
HISTORY

1. New section filed 11-14-95; operative 1-1-97 (Register 95, No. 46). For prior history, see Register 92, No. 15.
2. Change without regulatory effect amending first paragraph and subsections (b)(2), (b)(6) and (d)(2) filed 2-19-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 8).
3. Change without regulatory effect amending subsections (b)(2) and (b)(2)(D) filed 5-1-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 18).
4. Change without regulatory effect amending section filed 5-5-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 19).
§2620.5. Requirements for an Approved Extension Certificate Program.
Note     •     History

An extension certificate program shall meet the following requirements:
(a) The educational program shall be established in an educational institution which has a four-year educational curriculum and either is approved under Section 94900 of the Education Code or is an institution of public higher education as defined by Section 66010 of the Education Code.
(b) There shall be a written statement of the program's philosophy and objectives which serves as a basis for curriculum structure. Such statement shall take into consideration the broad perspective of values, missions and goals of the profession of landscape architecture. The program objectives shall provide for relationships and linkages with other disciplines and public and private landscape architectural practices. The program objectives shall be reinforced by course inclusion, emphasis and sequence in a manner which promotes achievement of program objectives.
The program's literature shall fully and accurately describe the program's philosophy and objectives.
(c) The program shall have a written plan for evaluation of the total program, including admission and selection procedures, attrition and retention of students, and performance of graduates in meeting community needs.
(d) The program shall be administered as a discrete program in landscape architecture within the institution with which it is affiliated.
(e) There shall be an organizational chart which identifies the relationships, lines of authority and channels of communication within the program and between the program and other administrative segments of the institution with which it is affiliated.
(f) The program shall have sufficient authority and resources to achieve its educational objectives.
(g) The program's director shall be a landscape architect.
(h) The faculty shall have the primary responsibility for developing policies and procedures, planning, organizing, implementing and evaluating all aspects of the program. The faculty shall be adequate in type and number to develop and implement the program approved by the Board.
(i) The program curriculum shall provide instruction in the following areas related to landscape architecture:
(A) History, art, and communication
(B) Natural, cultural, and social systems
(C) Design as a process in shaping the environment
(D) Plant material and their application
(E) Construction materials and techniques
(F) Professional practice methods
(G) Professional ethics and values
(H) Computer systems and advanced technology
The program's curriculum shall not be revised until it has been approved by the Board.
(j) The program shall consist of at least 90 quarter units or 60 semester units.
(k) The program shall maintain a current syllabus for each required course which includes the course objectives, content and the methods of evaluating student performance.
(l) The curriculum shall be offered in a timeframe which reflects the proper course sequence. Students shall be required to adhere to that sequence, and courses shall be offered in a consistent and timely manner in order that students can observe these requirements.
(m) A program shall meet the following requirements for its instructional personnel:
(1) At least one half of the program's instructional personnel shall hold a professional degree in landscape architecture.
(2) At least one half of the program's instructional personnel shall be licensed by the Board as landscape architects.
NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Section 5650, Business and Professions Code.
HISTORY

1. New section filed 10-16-91; operative 11-15-91 (Register 92, No. 7).
2. Amendment of subsections (a), (j) and (k) filed 3-29-2002; operative 4-28-2002 (Register 2002, No. 13).
3. Change without regulatory effect amending section filed 5-5-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 19).
§2621. Holding Examinations.
Note     •     History

(a) After a candidate  has been found to possess the minimum requirements as provided in Section 5650 of the Code, he or she will be notified of the process required to apply and examine for specific sections of the Landscape Architect Registration Examination.
(b) To qualify for licensure, an applicant must pass each section of the Landscape Architect Registration Examination and the California Supplemental Examination. In case of failure of one or more sections, such sections may be retaken at a subsequent examination after application as prescribed above. Sections passed successfully need not be repeated.
(c) After a candidate has applied and been found to have passed all sections of the Landscape Architect Registration Examination as provided in Section 2614, he or she will be notified of the process required to apply and examine for the California Supplemental Examination. 
(d) An applicant who fails to take an assigned California Supplemental Examination shall forfeit his or her examination fee. It is further provided that any unused portion of the examination fee may be transferred by the Board to the next scheduled examination where reasons of health, certified by a medical doctor, or other verifiable good cause exists that prevent taking the examination, are provided to the Board within fourteen (14) days after the assigned examination.
(e) Each candidate shall be notified as to his or her score in each section of the examination. 
NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Sections 5650 and 5651, Business and Professions Code.
HISTORY

1. Amendment filed 2-20-57; effective thirtieth day thereafter (Register 57, No. 4).
2. Amendment of subsection (a) filed 2-2-83; effective thirtieth day thereafter (Register 83, No. 6).
3. Amendment of subsection (c) filed 11-14-95; operative 12-14-95 (Register 95, No. 46).
4. Amendment filed 8-4-98; operative 8-4-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 32).
5. Change without regulatory effect amending section filed 5-5-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 19).
6. Amendment of section heading and section filed 6-26-2009; operative 10-1-2009 (Register 2009, No. 26).
§2622. Examination to Be Under Direction of the Board. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Section 5651, Business and Professions Code.
HISTORY

1. Repealer filed 2-2-83; effective thirtieth day thereafter (Register 83, No. 6).
§2623. Notification of Examination Results, Inspection of Examinations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Section 5651, Business and Professions Code.
HISTORY

1. Amendment filed 12-18-79; effective thirtieth day thereafter (Register 79, No. 51).
2. Amendment filed 2-2-83; effective thirtieth day thereafter (Register 83, No. 6).
3. Amendment filed 9-11-87; operative 9-11-87 pursuant to Government Code section 11346.2(d) (Register 87, No. 37).
4. Amendment filed 6-23-93; operative 6-23-93 (Register 93, No. 26). Pursuant to Government Code section 11346.2(d).
5. Amendment of section heading and subsection (b) and repealer of subsections (c)(1)-(c)(5) filed 8-25-97; operative 8-25-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 35).
6. Repealer of subsection (a) designator and subsection (b) filed 8-4-98; operative 8-4-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 32).
7. Amendment of section heading, amendment and designation of first paragraph as subsection (a), and new subsections (b)-(c) filed 5-4-2000; operative 5-4-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 18).
8. Change without regulatory effect amending subsection (b) filed 5-5-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 19).
9. Repealer filed 6-26-2009; operative 10-1-2009 (Register 2009, No. 26).
§2624. Expired License -- Three Years After Expiration.
Note     •     History

An applicant whose landscape architect license has been expired for more than three years but less than five years shall be eligible for a new license upon:
(a) Complying with the provisions of Business and Professions Code Section 5680.2;
(b) Completing the re-licensure application process as follows:
(1) Submitting application for examination and all fees required of first-time applicants (see sections 2610 and 2649);
(2) Submitting work samples and supporting materials that demonstrate applicant's current knowledge and experience in landscape architecture; and
(3) Passing current sections of the national licensing examination, if any, designated by the Landscape Architects Technical Committee,
(c) Passing the California Supplemental Examination.
NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Sections 5650, 5651, 5680.1 and 5680.2, Business and Professions Code.
HISTORY

1. New section filed 5-17-2001; operative 6-16-2001 (Register 2001, No. 20). For prior history, see Register 93, No. 26.
2. Change without regulatory effect amending subsections (b)(2) and (b)(3) filed 5-5-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 19).
3. Amendment of section heading and section filed 3-8-2005; operative 4-7-2005 (Register 2005, No. 10).
§2624.1. Expired License -- Five Years After Expiration.
Note     •     History

An applicant whose landscape architect license has been expired for more than five years shall be eligible for a new license upon:
(a) Complying with the provisions of Business and Professions Code section 5680.2, subdivisions (a) and (b) (see also sections 2610 and 2649);
(b) Passing the current national licensing examination; and
(c) Passing the California Supplemental Examination.
NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Sections 5650, 5651, 5680.1 and 5680.2, Business and Professions Code.
HISTORY

1. New section filed 3-8-2005; operative 4-7-2005 (Register 2005, No. 10).
§2625. Written Examination. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Section 5651, Business and Professions Code.
HISTORY

1. Amendment filed 12-1-58; effective thirtieth day thereafter (Register 58, No. 22).
2. Amendment filed 2-2-83; effective thirtieth day thereafter (Register 83, No. 6).
3. Repealer filed 6-23-93; operative 6-23-93 (Register 93, No. 26). Pursuant to Government Code section 11346.2(d).
§2626. Oral Examination. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Section 5651, Business and Professions Code.
HISTORY

1. Amendment filed 12-1-77; effective thirtieth day thereafter (Register 77, No. 49).
2. Amendment of subsection (b) filed 2-2-83; effective thirtieth day thereafter (Register 83, No. 6).
3. Repealer filed 6-23-93; operative 6-23-93 (Register 93, No. 26). Pursuant to Government Code section 11346.2(d).
§2627. Waiver of the Written Examination Requirement. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Section 5651, Business and Professions Code.
HISTORY

1. New section filed 3-30-76; effective thirtieth day thereafter (Register 76, No. 14).
2. Amendment filed 12-1-77; effective thirtieth day thereafter (Register 77, No. 49).
3. Repealer filed 2-2-83; effective thirtieth day thereafter (Register 83, No. 6).
§2630. Issuance of Citations.
Note     •     History

(a) The Board's executive officer is authorized to issue citations containing orders of abatement and/or administrative fines pursuant to Sections 125.9 or 148 of the Code against landscape architects or unlicensed persons who have committed any acts or omissions which are in violation of the Landscape Architects Practice Act or any regulation adopted pursuant thereto.
(b) Each citation:
(1) shall be in writing;
(2) shall describe with particularity the nature and facts of the violation, including specific reference to the provision or provisions of law alleged to have been violated;
(3) may contain one or more of the following:
(A) an assessment of an administrative fine;
(B) an order of abatement fixing a reasonable period of time for abatement of the violation;
(4) shall be served on the cited individual, in person, or at the address of record on file with the Board, or the last known address, by certified and regular mail with return receipt requested;
(5) shall inform the cited person that, if he or she desires an informal conference to contest the finding of a violation, the informal conference shall be requested by written notice to the Board within 30 calendar days from the service of the citation;
(6) shall inform the cited person that, if he or she desires a hearing to contest the finding of a violation, the hearing shall be requested by written notice to the Board within 30 calendar days from service of the citation;
(7) shall inform the licensed person that failure to pay the fine within 30 days of the date of assessment, unless the citation is being appealed, may result in disciplinary action being taken by the Board. If a citation is not contested and the fine is not paid, the full amount of the assessed fine shall be added to the fee for renewal of the license. A license shall not be renewed without the payment of the renewal fee and fine;
(8) shall inform the unlicensed person that failure to pay the fine within 30 days of the date of assessment, unless the citation is being appealed, may result in the executive officer applying to the appropriate superior court for a judgement in the amount of the fine;
(A) The sanction authorized under this Section shall be separate from, and in addition to, any civil or criminal remedies.
NOTE

Authority cited: Sections 125.9, 148, 5526 and 5630, Business and Professions Code. Reference: Sections 125.9, 148 and 149, Business and Professions Code.
HISTORY

1. New Article 4 (Section 2630) filed 12-3-86; designated effective 1-1-87 (Register 86, No. 49). For history of former section, see Register 84, No. 44.
2. Repealer and new section heading and section filed 7-14-2000; operative 8-13-2000 (Register 2000, No. 28).
3. Change without regulatory effect amending section filed 5-5-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 19).
4. Amendment of section and Note filed 6-5-2006; operative 7-5-2006 (Register 2006, No. 23).
§2630.1. Assessment of Administrative Fines.
Note     •     History

(a) In no event shall the administrative fine be less than $250 or exceed $5,000 for each violation.
(b) In assessing the amount of an administrative fine, the executive officer shall consider the following criteria:
(1) The nature and severity of the violation;
(2) The good or bad faith exhibited by the cited person;
(3) Evidence that the violation was willful;
(4) History of violations of the same or similar nature;
(5) The extent to which the cited person has cooperated with the Board and the Board's investigation;
(6) The extent to which the cited person has mitigated or attempted to mitigate any damage or injury caused by his or her violation; and
(7) Such other matters as justice may require.
(c) Where citations include an assessment of an administrative fine, they shall be classified according to the nature of the violation and shall indicate the classification on the face thereof as follows:
(1) Class “A” violations are violations which the executive officer has determined involve a person who has violated Business and Professions Code section 5640 by, including but not limited to, acting in the capacity of a landscape architect or engaging in the practice of landscape architecture. A class “A” violation is subject to an administrative fine in an amount not less than seven hundred and fifty dollars ($750) and not exceeding two thousand five hundred dollars ($2,500) for each and every violation.
(2) Class “B” violations are violations which the executive officer has determined involve either a person who, while engaged in the practice of landscape architecture, has violated a statute or regulation relating to the practice of landscape architecture and which has caused physical damage to a structure or building or to real property or monetary damage to a client or member of the public, or a person who has committed a class “C” violation and has one or more prior, separate class “C” violations. A class “B” violation is subject to an administrative fine in an amount not less than one thousand dollars ($1,000) and not exceeding two thousand five hundred dollars ($2,500) for each and every violation.
(3) Class “C” violations are violations which the executive officer has determined involve a person who, while engaged in the practice of landscape architecture, has violated a statute or regulation relating to the practice of landscape architecture and which has not caused either the death or bodily injury to another person or physical damage to a structure or building or to real property or monetary damage to a client or a member of the public. A class “C” violation is subject to an administrative fine in an amount not less than two hundred and fifty dollars ($250) and not exceeding one thousand dollars ($1,000) for each and every violation.
(d) Notwithstanding the administrative fine amounts specified in subsection (c), a citation may include a fine of up to between $2,501 to $5,000 if one or more of the following circumstances apply:
(1) The citation involves a violation that has an immediate relationship to the health and safety of another person.
(2) The cited person has a history of two or more prior citations of the same or similar violations.
(3) The citation involves multiple violations that demonstrate a willful disregard of the law.
(4) The citation involves a violation or violations perpetrated against a senior citizen or disabled person.
NOTE

Authority cited: Sections 125.9, 148, 5526 and 5630, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 7-14-2000; operative 8-13-2000 (Register 2000, No. 28).
2. Amendment of section and Note filed 6-5-2006; operative 7-5-2006 (Register 2006, No. 23).
§2630.2. Appeal of Citations.
Note     •     History

(a) Any person served with a citation issued pursuant to Section 2630 may contest the citation by submitting a written request for a hearing to the Board within 30 calendar days of service of the citation. Such hearings shall be conducted pursuant to the Administrative Procedure Act, Chapters 4.5 and 5, (commencing with Section 11400) of Part 1 of Division 3 of Title 2 of the Government Code.
(b) In addition to requesting a hearing as described in subsection (a), the cited person may, within 30 calendar days of service of the citation, submit a written request for an informal conference with the executive officer.
(c) The request for an administrative hearing to contest a citation is not waived if the executive officer affirms the citation at an informal conference.
(d) The executive officer shall, within 30 working days from receipt of a written request for an informal conference as provided in subsection (b), hold an informal conference with the cited person. The 30-day period may be extended by the executive officer for good cause. Following the informal conference, the executive officer may affirm, modify, or dismiss the citation, including any administrative fine assessed or order of abatement issued. An order affirming, modifying, or dismissing the original citation shall be served on the cited person within 30 calendar days from the informal conference. Said order shall state in writing the reasons for the affirmation, modification, or dismissal of the original citation. If the order affirms or modifies the original citation, said order shall fix a reasonable period of time for abatement of the violation or payment of the fine. Service of this order shall be made as provided in Section 2630.
(e) If the informal conference results in the modification of the findings of violation(s), the amount of the fine or the order of abatement, the citation shall be considered modified, but not withdrawn. The cited person shall be entitled to an administrative hearing to contest the modified citation if he or she made a request for an administrative hearing within 30 calendar days after service of the original citation. The cited person shall not be entitled to an informal conference to contest a modified citation. If the cited person did not make a timely request for an administrative hearing after service of the original citation, the decision in the modified citation shall be considered a final order.
(f) If the citation is dismissed after the informal conference, the request for a hearing, if any, shall be deemed to be withdrawn.
(g) Submittal of a written request for a hearing as provided in subsection (a), an informal conference as provided in subsection (b), or both, stays the time period in which to pay the fine.
(h) If the written request for a hearing as provided in subsection (a), an informal conference as provided in subsection (b), or both, is not submitted within 30 calendar days from service of the citation, the cited person is deemed to have waived his or her right to a hearing or an informal conference.
NOTE

Authority cited: Sections 125.9, 148 and 5630, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 7-14-2000; operative 8-13-2000 (Register 2000, No. 28).
2. Change without regulatory effect amending subsections (a) and (d) filed 5-5-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 19).
§2630.3. Compliance with Citations.
Note     •     History

(a) If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, then he or she may request from the executive officer an extension of time within which to complete the correction. Such a request shall be in writing and shall be made within the time set forth for abatement.
(b) Failure of an applicant for licensure as a landscape architect to abate the violation or to pay the fine within the time allowed is a ground for denial of licensure.
(c) If a hearing or informal conference as provided in Section 2630.2, subsections (a) and (b), is not requested, payment of the fine shall not constitute an admission of the violation charged and payment of the fine shall be represented as satisfactory resolution of the matter for purposes of public disclosure.
NOTE

Authority cited: Sections 125.9, 148 and 5630, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 7-14-2000; operative 8-13-2000 (Register 2000, No. 28).
2. Change without regulatory effect amending subsection (c) filed 5-5-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 19).
§2640. Notification of Group Practice. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Sections 5642 and 5659, Business and Professions Code.
HISTORY

1. Amendment filed 1-22-75; effective thirtieth day thereafter (Register 75, No. 4).
2. Repealer of subsection (c) filed 2-2-83; effective thirtieth day thereafter (Register 83, No. 6).
3. Repealer filed 12-12-96; operative 1-11-97 (Register 96, No. 50).
§2649. Fees.
Note     •     History

The fees for landscape architect applicants and landscape architect licensees shall be fixed by the Board as follows:
(a) The fee for reviewing an eligibility application or an application to take the California Supplemental Examination is $35.
(b) The fee for the California Supplemental Examination is $225. On or after July 1, 2009, the fee for the California Supplemental Examination is $275. 
(c) The fee for a duplicate license is $15.
(d) The penalty for late notification of a change of address is $50.
(e) The fee for an original license is $300. For licenses issued on or after July 1, 2009, the fee for original license shall be $400.
(f) The fee for a biennial renewal is $300. For licenses expiring on or after July 1, 2009, the fee for biennial renewal shall be $400.
NOTE

Authority cited: Section 5630, Business and Professions Code. Reference cited: Section 5681, Business and Professions Code.
HISTORY

1. New section filed 8-23-76 as an emergency; effective upon filing (Register 76, No. 35).
2. Certificate of Compliance filed 10-15-76 (Register 76, No. 42).
3. Renumbering of section 2650 to section 2649 and amendment filed 12-18-79; effective thirtieth day thereafter (Register 79, No. 51). For history of former section 2650, see Register 57, No. 4; and Register 77, No. 49.
4. Amendment of subsections (a) and (b) filed 3-17-81; effective thirtieth day thereafter (Register 81, No. 12).
5. Amendment of subsections (a) and (b) filed 2-2-83; effective thirtieth day thereafter (Register 83, No. 6).
6. Amendment of subsections (a) and (b) filed 9-11-87; operative 9-11-87 pursuant to Government Code section 11346.2(d) (Register 87, No. 37).
7. Amendment filed 2-24-89; operative 2-24-89 (Register 89, No. 10).
8. Amendment filed 10-16-91; operative 11-15-91 (Register 92, No. 7).
9. Amendment of subsection (a) filed 11-14-95; operative 12-14-95 (Register 95, No. 46).
10. Repealer of subsection (g) filed 12-12-96; operative 1-11-97 (Register 96, No. 50).
11. Change without regulatory effect amending subsections (d) and (f) filed 2-19-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 8).
12. Repealer of subsections (a) and (b), new first paragraph, and new subsections (a)-(b)(2) and (g) filed 2-3-99; operative 2-3-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 6).
13. New subsections (h) and (i) filed 5-4-2000; operative 5-4-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 18).
14. Repealer of subsection (b)(1), subsection renumbering, and new subsections (b)(2) and (b)(3) filed 6-7-2001; operative 6-7-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 23). 
15. Repealer of subsection (c), subsection relettering, and amendment of newly designated subsection (c) filed 3-29-2002; operative 4-28-2002 (Register 2002, No. 13).
16. Change without regulatory effect amending section filed 5-5-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 19).
17. Amendment of subsection (a), repealer of subsections (b)-(b)(3), new subsection (b) and amendment of subsections (g)-(h) filed 9-20-2007; operative 10-3-2007 pursuant to Government Code section 11343.4(b) (Register 2007, No. 38).
18. Redesignation of subsection (b) as subsection (b)(1), new subsections (b)(2)-(3) and amendment of subsections (e) and (f) filed 7-30-2008; operative 8-1-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 31).
19. Amendment of subsection (a), redesignation and amendment of former subsection (b)(1) as subsection (b) and repealer of subsections (b)(2)-(3), (g) and (h) filed 6-26-2009; operative 10-1-2009 (Register 2009, No. 26).
§2655. Substantial Relationship Criteria.
Note     •     History

For the purpose of denial, suspension, or revocation of the license of a landscape architect pursuant to Division 1.5 (commencing with Section 475) of the Business and Professions Code, a crime or act shall be considered substantially related to the qualifications, functions, and duties of a landscape architect if to a substantial degree it evidences present or potential unfitness of a landscape architect to perform the functions authorized by his or her license in a manner consistent with the public health, safety, or welfare. Such crimes or acts shall include, but not be limited to, the following:
(a) Any violation of the provisions of Chapter 3.5 of Division 3 of the Business and Professions Code.
NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Division 1.5, Sections 475 et seq and 5630, Business and Professions Code.
HISTORY

1. New section filed 4-5-73; effective thirtieth day thereafter (Register 73, No. 14).
2. Repealer and new section filed 7-24-75; effective thirtieth day thereafter (Register 75, No. 30).
3. Change without regulatory effect amending first paragraph filed 7-7-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 28).
4. Change without regulatory effect amending first paragraph filed 4-17-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 16).
5. Change without regulatory effect amending section filed 5-5-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 19).
§2656. Criteria for Rehabilitation.
Note     •     History

(a) When considering the denial of a landscape architect's license under Section 480 of the Business and Professions Code, the Board, in evaluating the rehabilitation of the applicant and his or her present eligibility for a license, will consider the following criteria:
(1) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the Business and Professions Code.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subsection (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(5) Evidence, if any, of rehabilitation submitted by the applicant.
(b) When considering the suspension or revocation of the license of a landscape architect on the grounds that the person licensed has been convicted of a crime, the Board, in evaluating the rehabilitation of such person and his or her present eligibility for a license will consider the following criteria:
(1) Nature and severity of the act(s) or offense(s).
(2) Total criminal record.
(3) The time that has elapsed since commission of the act(s) or offense(s).
(4) Whether the licensee has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against the licensee.
(5) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(6) Evidence, if any, of rehabilitation submitted by the licensee.
(c) When considering a petition for reinstatement of the license of a landscape architect, the Board shall evaluate evidence of rehabilitation submitted by the petitioner, considering those criteria specified in subsection (b).
NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Division 1.5, Sections 475 et seq and 5630, Business and Professions Code.
HISTORY

1. New section filed 4-5-73; effective thirtieth day thereafter (Register 73, No. 14).
2. Repealer and new section filed 7-24-75; effective thirtieth day thereafter (Register 75, No. 30).
3. Change without regulatory effect amending subsections (a), (b) and (c) filed 7-7-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 28).
4. Change without regulatory effect amending section filed 5-5-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 19).
§2660. Branch Offices. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Section 5642, Business and Professions Code.
HISTORY

1. New section filed 1-22-75; effective thirtieth day thereafter (Register 75, No. 4).
2. Amendment filed 12-1-77; effective thirtieth day thereafter (Register 77, No. 49).
3. Repealer filed 2-2-83; effective thirtieth day thereafter (Register 83, No. 6).
§2670. Rules of Professional Conduct.
Note     •     History

A violation of any rule of professional conduct in the practice of landscape architecture constitutes a ground for disciplinary action. Every person who holds a license issued by the Board shall comply with the following:
(a) Competence:
(1) A landscape architect shall undertake to perform professional services only when he or she, together with those whom the landscape architect may engage as consultants, are qualified by education, training, and experience in the specific technical areas involved.
(2) In addition to subsection (a)(1), when practicing landscape architecture, a landscape architect shall act with reasonable care and competence, and shall apply technical knowledge and skill which is ordinarily applied by landscape architects of good standing, practicing in this state under similar circumstances and conditions.
(b) Willful Misconduct:
(1) In designing a project, a landscape architect shall have knowledge of all applicable building laws, codes, and regulations. A landscape architect may obtain the advice of other professionals (e.g., attorneys, engineers, and other qualified persons) as to the intent and meaning of such laws, codes, and regulations and shall not knowingly design a project in violation of such laws, codes, and regulations.
(2) Whenever the Board is conducting an investigation, a landscape architect or a candidate for licensure shall respond to the Board's requests for information and/or evidence within 30 days of the date mailed to or personally delivered on the landscape architect or a candidate for licensure.
(c) Full Disclosure:
(1) A landscape architect shall accurately represent to a prospective or existing client or employer his or her qualifications and the scope of his or her responsibility in connection with projects or services for which he or she is claiming credit.
(2) A landscape architect shall respond in writing within 30 days to any request from the Board for information solicited in connection with a candidate's application for a license to practice landscape architecture. When providing information in connection with a candidate's application for a license to practice landscape architecture, a landscape architect shall accurately report the candidate's training or experience for the period of time that the landscape architect had direct supervision over the candidate.
(d) Informed Consent:
A landscape architect shall not materially alter the scope or objective of a project without first fully informing the client in writing and obtaining the consent of the client in writing.
(e) Conflict of Interest:
(1) A landscape architect shall not accept compensation for services from more than one party on a project unless the circumstances are fully disclosed to and agreed to (such disclosure and agreement to be in writing) by all such parties.
(2) If a landscape architect has any business association or financial interest which is substantial enough to influence his or her judgment in connection with the performance of professional services, the landscape architect shall fully disclose in writing to his or her client(s) or employer(s) the nature of the business association or financial interest. If the client(s) or employer(s) object(s) to such association or financial interest, the landscape architect shall either terminate such association or interest or offer to give up the project or employment.
(3) A landscape architect shall not solicit or accept payments, rebates, refunds or commissions whether in the form of money or otherwise from material or equipment suppliers in return for specifying their products to a client of the landscape architect.
(4) A landscape architect shall not engage in a business or activity other than in his or her capacity as an officer, employee, appointee or agent of a governmental agency knowing that the business or activity may later be subject, directly or indirectly to the control, inspection, review, audit, or enforcement by the landscape architect.
(5) When acting as the interpreter of construction contract documents and the judge of construction contract performance, a landscape architect shall endeavor to secure faithful performance of all parties to the construction contract and shall not show partiality to any party.
(f) Copyright Infringement:
A landscape architect shall not have been found by a court to have infringed upon the copyrighted works of other landscape architects or design professionals.
NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Sections 5670, 5671 and 5672, Business and Professions Code.
HISTORY

1. New section filed 8-12-97; operative 9-11-97 (Register 97, No. 33). For prior history, see Register 83, No. 6.
2. Amendment of section heading and section filed 4-21-99; operative 5-21-99 (Register 99, No. 17).
3. Amendment filed 7-16-2007; operative 8-15-2007 (Register 2007, No. 29).
§2671. Public Presentments and Advertising Requirements.
Note     •     History

(a) A landscape architect shall include his or her name and the words “landscape architect” in all forms of advertisements or presentments made to the public in connection with the rendition of landscape architectural services for which a license is required by the Landscape Architects Law, including, but not limited to, any advertisement, card, letterhead or contract proposal.
(b) For purposes of a group practice which contains or employs two or more landscape architects, the requirements of subsection (a) of this section shall be deemed satisfied as to such group practice if the name of the landscape architect who is a partner, principal, officer or employee of the group practice and the words “Landscape Architect” are included in its advertisements or presentments made to the public.
NOTE

Authority cited: Section 5630, Business and Professions Code. Reference: Section 137, Business and Professions Code.
HISTORY

1. New section filed 7-3-80; effective thirtieth day thereafter (Register 80, No. 27).
2. Amendment of section heading filed 2-2-83; effective thirtieth day thereafter (Register 83, No. 6).
3. Amendment filed 6-23-93; operative 6-23-93 (Register 93, No. 26). Pursuant to Government Code section 11346.2(d).
4. Amendment filed 3-29-2002; operative 4-28-2002 (Register 2002, No. 13).
§2680. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), the Board shall consider the disciplinary guidelines entitled “Disciplinary Guidelines” [Rev. 2000] which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the Board in its sole discretion determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Sections 5622, 5630 and 5662, Business and Professions Code. Reference: Sections 125.6, 480(a), 496, 5640, 5642, 5667, 5668, 5669, 5670, 5671, 5672, 5673, 5675, 5675.5 and 5676, Business and Professions Code; and Sections 11400.20, 11400.21, 11425, 11425.50 and 11425.50(e), Government Code.
HISTORY

1. New section filed 8-11-97; operative 8-11-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 33).
2. Amendment of ``Disciplinary Guidelines” (incorporated by reference) and amendment of section and Note filed 3-14-2001; operative 4-13-2001 (Register 2001, No. 11).
Division 27. Bureau of Electronic and Appliance Repair
Article 1. General Provisions
§2700. Location of Offices.
Note     •     History

NOTE

Authority cited: Sections 9814, 9833, 9842, 9843 and 9847, Business and Professions Code. Reference: Section 9841, Business and Professions Code.
HISTORY

1. New chapter 27 (§2700-2721) filed 8-26-64; effective thirtieth day thereafter (Register 64, No. 18).
2. Amendment filed 3-5-70; effective thirtieth day thereafter (Register 70, No. 10).
3. Amendment filed 10-6-71; effective thirtieth day thereafter (Register 71, No. 41).
4. Amendment filed 6-27-75; effective thirtieth day thereafter (Register 75, No. 26).
5. Amendment filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
6. Repealer filed 5-12-94; operative 6-13-94 (Register 94, No. 19).
§2701. Tenses, Gender and Number.

For the purpose of the rules and regulations contained in this chapter, the present tense includes the past and future tenses, and the future, the present; the masculine gender includes the feminine, and the feminine, the masculine; and the singular includes the plural, and the plural, the singular. 
§2702. Definitions.
Note     •     History

For the purpose of the rules and regulations contained in this chapter, the term:
(a) “Act” means the provisions of the Electronic and Appliance Repair Dealer Registration Law-chapter 20 (commencing with section 9800) of division 3 of the Code.
(b) “Adjustment” when used in connection with the repair of a set means:
(1) To vary the value of a variable resistance, inductance or capacitance, without employing the use of external alignment test equipment to effect such adjustment.
(2) Tone arm adjustments, static convergence adjustments and other minor adjustments.
(c) “Alignment” when used in connection with the repair of a set means:
(1) To vary the value of a variable resistance, inductance or capacitance, where adjustment has been ineffective, by employing the use of external alignment test equipment (such as signal generator, sweep generator, oscilloscope, sweep analyst, etc.) to effect such alignment.
(2) Any complex alignment of recording heads that requires special test equipment.
(d) “Audio recorders or audio playback equipment” includes, but is not limited to, home and private automobile tape equipment, (cassette, digital, reel to reel or 8 track), turn tables, compact disc recording or playback systems and automatic telephone answering devices normally used or sold for personal, family or household use.
(e) “Clamp-on line piercing-valve” means a non-solder-on type of mechanical device used to enter the refrigeration system of a refrigerator, freezer or air conditioner.
(f) “Class” and “Type” when used to describe a part installed in equipment means a description of such parts which will identify its electronic or mechanical function. (e.g., 2N127, first video IF transistor-1N2727, second color amp integrated circuit-U4455, high voltage module-C253.005 mfd capacitor or .005 mfd capacitor, second audio IF transistor coupler or bypass-U5544 water pump-V6677 tub or pump water seal 1/4 horsepower agitator motor-F3300 cold control or words of like import are in compliance with the requirement of this regulation.)
(g) “Code” means the Business and Professions Code.
(h) “Equipment” means a set, appliance, antenna, rotator and accessories as those terms are defined in section 9801 of the Code.
(i) “Module” or “panel” when used to describe a part placed in equipment means a packaged functional unit or electronic assembly for use with other such units or assemblies.
(j) “O.E.M.” means the original equipment manufacturer who manufactured, fabricated, or supplied a set or an appliance or a component part.
(k) “Person” includes firm, partnership, association or corporation.
(l) “Picture tube” means cathode ray tube otherwise known as kinescope or CRT.
(m) “Range” means a free standing or built-in cooking product containing a baking oven and cooktop. Range also means a baking oven or cooktop and any integrated ventilating equipment, installed as a built-in appliance.
(n) “Rebuilt” or words of like import when used to describe a set, an appliance, or a component part thereof, means a unit which has been cleaned, component parts tested and defective or damaged components replaced. The unit is then inspected and tested to ensure that it will perform the function for which it was originally manufactured.
(o) “Rejuvenate” or words of like import such as reactivate or restore, means the repair of any internal malfunction of a picture tube by burning out shorts in the electron gun assembly, or flaking the cathode by heating and vibrating the cathode, or activities of a similar nature.
(p) “Repair” includes the repair, service, maintenance, or activities of a similar nature, whether or not the set or appliance is under warranty.
(q) “Seconds” or terms of like import such as rejects, when used in connection with a replacement picture tube, means that the picture tube, though giving satisfactory performance, does not meet the quality and workmanship maintained by the manufacturer with respect to the general run of tubes of the same type.
(r) “Service call,” or words of like import, when used in connection with the repair or maintenance of equipment, means the service dealer or his authorized service technician calling at the premises of a customer, at the request of said customer, to inspect, repair, service, or maintain such equipment.
(s) “Service contract” means a contract in writing to perform, over a fixed period of time or for a specified duration, services relating to the maintenance or repair of equipment.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9801, 9814 and 9841, Business and Professions Code.
HISTORY

1. Amendment filed 2-4-65; effective thirtieth day thereafter (Register 65, No. 3).
2. Amendment of subsection (b) and new subsections (k) and (l) filed 3-5-70; effective thirtieth day thereafter (Register 70, No. 10).
3. Amendment of subsection (d) filed 10-6-71; effective thirtieth day thereafter (Register 71, No. 41).
4. Amendment filed 12-7-73; effective thirtieth day thereafter (Register 73, No. 49).
5. Amendment of subsection (d) filed 6-27-75; effective thirtieth day thereafter (Register 75, No. 26).
6. Renumbering and amendment of section 2703 to section 2702 and former section 2702 renumbered to section 2712 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
7. New subsection (q) filed 3-6-87; designated effective 5-1-87 (Register 87, No. 10).
8. Amendment filed 1-6-88; operative 2-5-88 (Register 88, No. 3).
9. New subsection (q) filed 5-10-88; operative 6-9-88 (Register 88, No. 20).
10. Amendment filed 6-14-91; operative 7-14-91 (Register 91, No. 36).
11. Editorial correction of printing error in subsection (d) (Register 91, No. 45).
Article 2. Registration of Service Dealers
§2710. Registration of Service Dealers.
Note     •     History

NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9830, 9831 and 9833, Business and Professions Code.
HISTORY

1. Renumbering of section 2710 to section 2720 and new section 2710 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
2. Amendment filed 1-6-88; operative 2-5-88 (Register 88, No. 3).
3. Editorial correction of printing error in subsection (b) (Register 91, No. 45).
4. Repealer of subsection (b) filed 5-12-94; operative 6-13-94 (Register 94, No. 19).
5. Repealer filed 7-31-96; operative 8-30-96 (Register 96, No. 31).
§2711. Engaging in Business.
Note     •     History

A person shall be deemed to be a service dealer where such person: 
(a) Solicits or advertises the repair or installation of equipment as provided in the Act by telephone directory, newspaper, printed handbill, printed business card, printed poster, or painted or electric sign, or any other method which might lead the customer to believe that he or she repairs or installs such equipment, or 
(b) Bills a customer for repair or the installation of equipment as provided in the Act, on his or her own invoice, or
(c) Sells service contracts for the repair of equipment and accepts requests for the repair of such equipment under the service contract, or
(d) Accepts requests for repair or receives equipment for repair, or, as part of a sales transaction, provides for the installation of equipment as provided in the Act, and renders control of such equipment received or transmits such requests for repair or installation to another services dealer, or
(e) Repairs or installs equipment as provided in the Act as an independent contractor. An independent contractor is defined as a person who contracts to do repairs and installations of equipment as defined in the Act and is not an employee of the service dealer.
NOTE

Additional authority cited: Section 9814, Business and Professions Code. Reference: Section 9801(g), Business and Professions Code.
HISTORY

1. Amendment filed 10-13-65; effective thirtieth day thereafter (Register 65, No. 19).
2. Amendment of subsections (b), (e) and new subsection (f) filed 10-6-71; new subsection (g) filed 10-7-71; all effective thirtieth day after filing (Register 71, No. 41).
3. Amendment filed 12-7-73; effective thirtieth day thereafter (Register 73, No. 49).
4. Repealer and new subsection (d) and amendment of subsections (e) and (f) filed 6-19-78; effective thirtieth day thereafter (Register 78, No. 25).
5. Renumbering of Section 2705 to Section 2711 and renumbering of former Section 2711 to Section 2753 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
6. Amendment filed 1-6-88; operative 2-5-88 (Register 88, No.3).
§2712. Filing of Addresses.
Note     •     History

NOTE

Reference: Section 9830, Business and Professions Code.
HISTORY

1. New subsection (b) filed 3-5-70; effective thirtieth day thereafter (Register 70, No. 10).
2. Repealer of subsection (b) filed 10-6-71; effective thirtieth day thereafter (Register 71, No. 41).
3. Amendment of subsection (a) filed 6-19-78; effective thirtieth day thereafter (Register 78, No. 25).
4. Renumbering of Section 2702 to Section 2712 and renumbering of former Section 2712 to Section 2733 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
5. Repealer filed 5-10-88; operative 6-9-88 (Register 88, No. 20).
§2713. Place of Business.
Note     •     History

“Place of business”, as used in section 9830 of the Act, includes, but is not limited to, any branch office or other location, whether or not repairs are conducted on the premises, where a service dealer assumes responsibility for the repair or installation of, equipment as provided for in the Act or which is advertised by the service dealer as the location for repair or installation of equipment or at which service contracts are offered for sale as provided for in section 2711(c) of these regulations.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9801 and 9830, Business and Professions Code and Section 1858.1, Civil Code.
HISTORY

1. New section filed 12-8-73; effective thirtieth day thereafter (Register 73, No. 49).
2. Renumbering of section 2705.1 to section 2713 and renumbering of former section 2713 to section 2723 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
3. Amendment filed 1-6-88; operative 2-5-88 (Register 88, No. 3).
4. Editorial correction of printing error in first paragraph (Register 91, No. 45).
§2714. Display of Registration Certificate.
History

Each service dealer shall display in a conspicuous place the registration certificate issued by the Bureau at the place of business for which the registration was issued.
HISTORY

1. Renumbering of Section 2704 to Section 2714 and renumbering of former Section 2714 to Section 2724 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
§2715. Master Registration.
Note     •     History

A service dealer who owns two (2) or more places of business which currently possess individual registrations, pursuant to Section 9830 of the Code, may apply for a master registration number for use on invoices, claim receipts, estimate forms, advertising and other documents related to the service dealer's business which require his or her registration number to be placed therein. As a condition of obtaining a master registration number, all of the places of business for which a master registration is to be applied shall have the identical business name and ownership.
The issuance of a master registration shall not act as a substitute for or a waiver of the requirement that each service dealer shall maintain a current and individual registration for each place of business.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9830 and 9831, Business and Professions Code.
HISTORY

1. Renumbering of Section 2715 to Section 2725 and new Section 2715 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
2. Amendment filed 1-6-88; operative 2-5-88 (Register 88, No. 3).
§2716. Name Style--Service Dealer's Registration.
Note     •     History

No service dealer's registration shall be issued in a fictitious name which the Bureau determines to be confusingly similar to that of another registrant, nor shall a service dealer's registration be issued in a name which is likely to be confused with that of an electronic or appliance product manufacturer, a governmental agency or trade association.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9814, 9830, and 9841, Business and Professions Code.
HISTORY

1. New section filed 4-20-81; effective thirtieth day thereafter (Register 81, No. 17).
§2717. Limitation Regarding Name Style.
Note     •     History

No registration shall be issued in the same name or in a name style which the Bureau determines is confusingly similar to the name of a firm whose registration has been suspended or revoked without the prior written approval of the Bureau.
A service dealer shall not use the telephone number and/or name style of a firm whose registration has been suspended or revoked without the prior written approval of the Bureau.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9814, 9830, and 9841, Business and Professions Code.
HISTORY

1. New section filed 4-20-81; effective thirtieth day thereafter (Register 81, No. 17).
Article 3. Invoices, Estimates and Records
§2720. Invoices and Estimates--False or Misleading Records.
History

No service dealer shall, in filling out an estimate or an invoice, withhold therefrom or insert therein any statement or information where the tendency or effect thereby is to mislead or deceive customers, prospective customers, or the consuming public.
HISTORY

1. Renumbering of Section 2710 to Section 2720 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
§2721. Sets or Appliances Received for Repair; Receipt Required.
Note     •     History

Any service dealer who removes a set or an appliance from a home, home office, or private motor vehicle or accepts a set or an appliance for repair at his place of business, shall give to the owner thereof a receipt or claim check in which is stated all of the following:
(a) The name and registration number of the service dealer and the address and telephone number of the location where the set or appliance will be repaired.
(b) The date the set or appliance was accepted or received by the service dealer.
(c) A description of the set or appliance including model and serial number.
(d) A summary of the customer's description of the problem associated with the set or appliance.
(e) The name and address of the customer.
(f) The complete and legible signature or employee number of the person accepting or removing a set or appliance.
(g) There shall be printed on the receipt in prominent type the following statement:
“An estimate as required (Section 9844 of the California Business and Professions Code) for repairs shall be given to the customer by the service dealer in writing, and the service dealer may not charge for work done or parts supplied in excess of the estimate without prior consent of the customer. Where provided in writing, the service dealer may charge a reasonable fee for services provided in determining the nature of the malfunction in preparation of a written estimate for repair. For information contact the Bureau of Electronic and Appliance Repair, Department of Consumer Affairs, Sacramento 95814.”
(h) Removal and reinstallation charge, if any.
(i) When the personal property accepted or received by the service dealer is intended for personal, family,  household or home office use, the service dealer's receipt shall include a statement, if such is the case, that such deposited property is not insured or protected to the amount of the actual cash value thereof against loss occasioned by theft, fire, and vandalism while such property remains with the service dealer or his representative, pursuant to the provisions of Section 1858.1 of the Civil Code.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9842, 9844 and 9847, Business and Professions Code and Section 1858.1, Civil Code.
HISTORY

1. New section filed 1-7-69; effective thirtieth day thereafter (Register 69, No. 2).
2. New subsection (g) filed 3-5-70; effective thirtieth day thereafter (Register 70, No. 10).
3. Amendment of subsections (d) and (f) filed 10-6-71; effective thirtieth day thereafter (Register 71, No. 41).
4. Amendment filed 12-7-73; effective thirtieth day thereafter (Register 73, No. 49).
5. Renumbering of section 2724 to section 2721 and amendment of subsection (f) filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
6. Amendment of subsection (f) filed 1-6-88; operative 4-5-88 (Register 88, No. 3).
7. Amendment filed 6-14-91; operative 7-14-91 (Register 91, No. 36).
8. Change without regulatory effect amending Note filed 9-26-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 6).
9. New subsection (d) and subsection redesignation, amendment of opening paragraph and subsections (e) and (i) filed 5-12-94; operative 6-13-94 (Register 94, No. 19).
§2722. Written Estimate.
Note     •     History

A written estimate for cost of repair shall include all costs for parts and labor and the initial service call if provided. The written estimate shall not be described with a minimum estimate amount. 
(a) No service dealer shall charge for work done or parts supplied in excess of the written estimate without the prior oral or written consent of the customer, and if such consent is oral, the service dealer shall make a notation on the invoice of the date, time, name of person authorizing the additional repairs, telephone number called, if any, name of the person receiving such oral consent, conditions of such consent, if any, together with a specification of the additional parts and labor and the total additional cost.
(b) Sales tax and other applicable taxes shall not be considered part of the written estimate.
(c) Where a written estimate for the cost of repair is provided in the residence, the estimate shall include as part of the labor charge, all transportation and travel charges, including the initial service call. 
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9841 and 9844, Business and Professions Code.
HISTORY

1. Renumbering and amendment of Section 2707 to Section 2722 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
2. New subsection (d) filed 12-22-82; effective thirtieth day thereafter (Register 82, No. 52).
3. Amendment filed 1-6-88; operative 2-5-88 (Register 88, No. 3).
§2722.5. Diagnosis Fee.
Note     •     History

A diagnosis fee is the fee for determining the nature of the malfunction in preparation of a written estimate for repair and may be charged by the service dealer.
Except for equipment received by a service dealer from a public carrier, the diagnosis fee shall include all transportation and travel costs made in conjunction with the diagnosis.
NOTE

Authority cited: 9814, Business and Professions Code. Reference: Section 9844, Business and Professions Code.
HISTORY

1. New section filed 1-6-88; operative 2-5-88 (Register 88, No. 3).
2. Repealer of subsection (a) designation and amendment filed 5-12-94; operative 6-13-94 (Register 94, No. 19).
§2722.6. Unusual Circumstances; Authorization Required.
Note     •     History

Where the customer's equipment is received by public carrier for the purpose of repair, or where a service call is made to the customer's residence without the customer being present, the service dealer shall not undertake the repair of, or remove from the residence, home office, or private motor vehicle, such equipment unless the dealer has complied with the following conditions:
(a) Where the service dealer intends to charge a diagnosis fee for preparing a written estimate, the service dealer, by telephone or other means, provide the cost of the diagnosis fee, including any transportation costs, to the customer for approval,
(b) Where the diagnosis fee is rejected by the customer, the service dealer may assess the customer for only the initial service call or the shipping costs necessary for the return of the customer's equipment.
(c) Where the diagnosis fee has been approved by the customer, or where no diagnosis fee is to be charged, the dealer shall prepare a written estimate for the total cost of repair, which shall include service call, parts, labor, and any transportation costs and provide to the customer for approval by telephone or other means, the estimate of repair.
(d) Where the customer has received an oral estimate of repair the service dealer shall, include on the service invoice to be provided the customer, the date and time the customer was contacted, the amount of the estimate of repair, any diagnosis fee and transportation costs quoted the customer for unrepaired equipment, the person authorizing or rejecting the diagnosis fee or estimate and the signature of the service dealer or his or her representative.
(e) Where the estimate of repair is rejected, the service dealer may assess the customer only that the amount authorized by the customer for the diagnosis fee plus shipping charges and for in the residence or home office transactions, the diagnosis fee and the initial service call.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Section 9844, Business and Professions Code.
HISTORY

1. New section filed 1-6-88; operative 2-5-88 (Register 88, No. 3).
2. Amendment of opening paragraph and subsections (a) and (e) filed 5-12-94; operative 6-13-94 (Register 94, No. 19).
§2723. Invoice--Copy to Customer.
Note     •     History

A legible original or a legible copy of the invoice shall be given to the customer for repairs performed and parts installed, regardless of whether a charge(s) is levied (i.e. warranty repairs). There shall be printed on the invoice in prominent type the following statement:
“An estimate as required (Section 9844 of the California Business and Professions Code) for repairs shall be given to the customer by the service dealer in writing, and the service dealer may not charge for work done or parts supplied in excess of the estimate without prior consent of the customer. Where provided in writing, the service dealer may charge a reasonable fee for services provided in determining the nature of the malfunction in preparation of a written estimate for repair. For information contact the Bureau of Electronic and Appliance Repair, Department of Consumer Affairs, Sacramento 95814.”
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9842 and 9844, Business and Professions Code.
HISTORY

1. Renumbering and amendment of Section 2713 to Section 2723 and renumbering of former Section 2723 to Section 2751 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
2. Amendment filed 1-6-88; operative 4-5-88 (Register 88, No. 3).
§2723.5. Installation of Equipment-Invoice.
Note     •     History

A legible invoice for the installation of equipment as provided in the Act, shall be provided to the customer.
(a) The invoice for installation of shall include a description of the equipment installed by make, model, and an itemization of labor and parts used in the installation, indicating the charges levied for each.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9801 and 9842, Business and Professions Code.
HISTORY

1. New Section filed 1-6-88; operative 2-5-88 (Register 88, No.3). 
§2724. Invoice-Keeping of Records.
Note     •     History

NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9842 and 9847, Business and Professions Code.
HISTORY

1. Renumbering of section 2714 to section 2724 and renumbering of former section 2724 to section 2721 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
2. Amendment filed 6-14-91; operative 7-14-91 (Register 91, No. 36).
3. Repealer filed 7-31-96; operative 8-30-96 (Register 96, No. 31).
§2725. Invoice--Contents.
Note     •     History

Each customer shall be given a legible invoice, not a checklist-type invoice, and all such invoices shall clearly set forth the following:
(a) Business name, address, and telephone number of service dealer.
(b) Service dealer's State registration number(s), and indicated as such.
(c) Date of invoice.
(d) If the set or appliance is removed from a home, home office or private motor vehicle, the address of the location where the set or appliance was repaired, and the state registration number of the service dealer.
(e) Name and address of the customer.
(f) A description of the set or appliance repaired or serviced, including make, model number and serial number.
(g) A summary of the customer's description of the problem associated with the set or appliance.
(h) A statement of total charges.
(i) Itemization of each part placed in the set or appliance including a description by class and type where possible, indicating any part within warranty that was replaced, and the charge levied for any part or parts not covered by warranty.
(j) Itemization and description of labor or technical services performed within warranty or for which a charge was levied.
(k) An itemization and description of all other charges.
(l) If any used or exchanged parts, including, but not limited to, modules or panels, are supplied, the invoice shall state that fact, indicating which parts are used or exchanged and the charge levied for each part. If a picture tube is installed, the description of such replacement picture tube shall conform to the requirements as hereinafter provided.
(m) Complete and legible signature, or employee's number, of person filling out the invoice and indicated as such.
(n) Complete and legible signature or employee's number of the person performing the actual repair on the set or appliance and indicated as such.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Section 9842, Business and Professions Code.
HISTORY

1. Amendment filed 12-7-73; effective thirtieth day thereafter (Register 73, No. 49).
2. Amendment filed 6-27-75; effective thirtieth day thereafter (Register 75, No. 26).
3. Renumbering of section 2715 to section 2725 and amendment of subsection (k) and renumbering of former section 2725 to section 2726 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
4. New subsection (g), subsection redesignation and amendment of subsections (d) and (l) filed 5-12-94; operative 6-13-94 (Register 94, No. 19).
§2726. Sample Form of Invoice and Claim Receipt.
Note     •     History

NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Section 9842, Business and Professions Code.
HISTORY

1. Renumbering and amendment of Section 2725 to Section 2726 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
2. Repealer filed 12-22-82; effective thirtieth day thereafter (Register 82, No. 52).
§2727. Picture Tube Replacement--Invoice Disclosure.
Note     •     History

(a) Where a picture tube is installed, the invoice shall set forth the make, type, serial number and component description of such tube.
(b) Description of the picture tube by new and used components shall be indicated by either of two methods: 
METHOD ONE.
Setting forth on the invoice the particular verbatim description as selected from Regulation 2728 which applies to the installed tube. (Reference to grade not necessary.) The particular verbatim description as selected from Regulation 2728 shall be furnished the customer by printing, stamping or writing the same on the invoice, or by attaching to the invoice a sheet which contains the same. 
METHOD TWO.
Indicating on the invoice the grade of such tube and furnishing the customer with the entire verbatim contents of Regulation 2728. The verbatim contents of Regulation 2728 shall be furnished the customer by printing, stamping or writing the same on the invoice, or by attaching to the invoice a sheet which contains the same.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Section 9842, Business and Professions Code.
HISTORY

1. Renumbering of Section 2717 to Section 2727 and amendment of subsection (b) filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
§2728. Picture Tube Grading and Component Description Schedule.
History

Black and White Picture Tubes
Grade AA--Description--All new components and materials including new glass envelope.
Grade A--Description--Used glass envelope, all other components and materials are new.
Grade B--Description--Used glass envelope, used phosphorescent viewing screen, used aluminization, used internal conductive coating, all other components and materials are new.
Grade C--Description--Used picture tube for resale, all significant components and materials are used.
Color Picture Tubes
Grade AA--Description--All new components and materials, including new glass envelope.
Grade A--Description--Used glass envelope, new or used shadow mask, all other components and materials are new.
Grade B--Description--New electron gun, all other components and materials are used.
Grade C--Description--Used picture tube for resale, all significant components and materials are used.
HISTORY

1. Amendment filed 10-13-65; effective thirtieth day thereafter (Register 65, No. 19).
2. Amendment filed 3-5-70; effective thirtieth day thereafter (Register 70, No. 10).
3. Renumbering of Section 2716 to Section 2728 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
§2729. Grade C Tube.
History

(a) The fact that a used picture tube which is installed in the television set has also been rejuvenated, or has a new or used brightener attached to it, or has fresh paint or coating on the outside, or any combination of the above, shall not change its status or description as a Grade C picture tube.
(b) Where a Grade C picture tube is installed, the serial number need not be indicated if such number cannot be ascertained after a reasonable examination of such tube.
HISTORY

1. Renumbering of Section 2718 to Section 2729 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
§2730. Picture Tube-Seconds.
Note     •     History

Where a picture tube is installed which might otherwise be classified by component description as Grade AA, Grade A, or Grade B, where such tube is also a “second” within the meaning of Regulation 2702(q), such tube shall be designated on the invoice as a “second” to the exclusion of any other grade designation or grade description, and the following additional notation shall appear verbatim on the invoice:
“This picture tube is a manufacturer's reject or second line quality tube but is capable of giving satisfactory performance.”
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9841 and 9842, Business and Professions Code.
HISTORY

1. Renumbering and amendment of section 2719 to section 2730 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
2. Amendment filed 6-14-91; operative 7-14-91 (Register 91, No. 36).
3. Change without regulatory effect amending section filed 9-26-91 pursuant to section 100, title 1, California Code of  Regulations (Register 92, No. 6).
§2731. Television Tuners.
History

Where cleaners or lubricants have been applied to a television tuner or any part thereof, the invoice shall describe such activity as cleaning and/or lubricating, whatever is applicable. The term “rebuilt” or “reconditioned” or words of like import shall not be used to describe such activity.
HISTORY

1. Renumbering of Section 2708 to Section 2731 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
§2732. Consent to Rejuvenation or Restoration.
Note     •     History

An oral or written consent shall be obtained from the customer prior to rejuvenation or restoration of a picture tube. If such consent is oral, the service dealer shall make a notation on the invoice of the date, time, and name of person authorizing the rejuvenation or restoration, telephone number called, name of person receiving consent, and conditions of consent.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9841, 9842 and 9847, Business and Professions Code.
HISTORY

1. New section filed 6-19-78; effective thirtieth day thereafter (Register 78, No. 25).
2. Renumbering of Section 2711.1 to Section 2732 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
§2733. Picture Tube Brightener.
Note     •     History

Prior to installing a picture tube brightener on a customer's picture tube the service dealer shall inform the customer that the brightener is a temporary repair. This information shall also be noted legibly on the customer's copy of the invoice. The brightener shall be itemized as a part on said invoice in conformity with Regulation 2725(h). The service dealer shall not use the words “rebuilt,” “rejuvenated” or “reconditioned” or words of similar import to describe the picture tube brightener or to describe its effect.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9841, 9842 and 9846, Business and Professions Code.
HISTORY

1. Renumbering and amendment of Section 2712 to Section 2733 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
2. Amendment filed 12-22-82; effective thirtieth day thereafter (Register 82, No. 52).
§2734. Color Television High Voltage.
Note     •     History

After any repair or adjustment is made to the circuit of a color television set which could change the set's high voltage above manufacturer's specifications, the high voltage reading shall be measured, adjusted or repaired to the manufacturer's specifications, and recorded on the invoice.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9841, 9842 and 9847, Business and Professions Code.
HISTORY

1. New Section filed 6-19-78; effective thirtieth day thereafter (Register 78, No. 25).
2. Renumbering of Section 2712.1 to Section 2734 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
§2735. Warranty of Picture Tube.
History

Where a picture tube is installed, the warranty card covering such tube, if any, shall be delivered to the customer by attaching the warranty card to the invoice.
HISTORY

1. Renumbering of Section 2720 to Section 2735 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
§2736. Guarantee of Repair or Installation.
Note     •     History

“Guarantee” or words of like import used in conjunction with the repair or installation of equipment as provided in the Act shall be provided the customer in writing and shall include disclosure of
(a) The nature and extent of the guarantee as to parts and/or labor.
(b) The identity of the guarantor.
(c) Where no guarantee is provided by the service dealer on his or her repair, or part thereof, or installation of equipment as provided in the Act, or part thereof, the invoice shall contain a written statement indicating repair parts or labor, or both parts and labor, which are not covered by the service dealer guarantee.
(d) Where no guarantee is provided by the service dealer on his or her repair and the service dealer has failed to comply with subsection (c) of this section, the service dealer shall be deemed to have provided a 30-day labor and a 90-day parts guarantee on the repair.
(e) The provisions of subsection (d) of this section shall not void or reduce any applicable guarantees or apply to a repair made under a manufacturer's guarantee or a service contract.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9841 and 9846, Business and Professions Code.
HISTORY

1. New section filed 1-6-88; operative 2-5-88 (Register 88, No. 3).
2. Amendment filed 6-14-91; operative 7-14-91 (Register 91, No. 36).
Article 4. Accepted Trade Standards
§2740. Scope of Regulations.
Note     •     History

NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Section 9841, Business and Professions Code.
HISTORY

1. New section filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
2. Repealer filed 7-31-96; operative 8-30-96 (Register 96, No. 31).
§2741. Electronic Sets and Appliances-General Provisions.
Note     •     History

The “accepted trade standards for good and workmanlike repair” of electronic sets and appliances within the meaning of section 9841 of the Code shall include, but not be limited to, the following requirements:
(a) Repair procedures shall be performed in accordance with O.E.M. service data specifications or the best available service data specifications where O.E.M. service data specifications are not readily available.
(b) All components replaced in a repair which are indicated as being “safety related” shall be the equivalent of O.E.M. replacement parts.
(c) All mounting hardware (screws, brackets, etc.) shall be reinstalled prior to returning the unit to the customer. If hardware is missing, the O.E.M. or suitable replacements should be made or the customer shall be notified and the notification shall be noted on the invoice.
(d) Correct lead dress and component placement shall be performed as prescribed in O.E.M. or best available service data specifications and workmanlike soldering techniques shall be utilized.
(e) Technicians shall not defeat AC interlock circuitry or polarization of AC plugs. If found defeated, technicians shall correct or notify the customer. The correction or notification shall be noted on the invoice.
(f) Technicians shall not defeat “high” voltage or overvoltage protection circuits.
(g) Technicians shall not bypass or exceed original ratings of fuses or circuit breakers. Where replacement(s) is necessary, technicians shall use O.E.M. or equivalent fuses or circuit breakers.
(h) Technicians shall replace all shields, cages, tuner covers, and panels prior to returning the set or appliance to the customer.
(i) When replacing a defective picture tube, technicians shall use an O.E.M. type or an equivalent type.
(j) Potential shock and safety hazards shall be brought to the attention of the customer by the technician and shall be noted on the invoice.
(k) After reassembly of an electronic set, except for exclusively DC operated sets, an AC leakage test and a resistance safety test shall be performed.
The procedures for conducting the AC leakage test and the resistance safety test shall comply with the O.E.M. service data specifications. Where the O.E.M. service data specifications are not readily available, the AC leakage and the resistance safety test shall be performed in accordance with the best available service data specifications.
(l) A service dealer who has used a clamp-on piercing-valve to enter, test or add refrigerant to a refrigerator, freezer or air conditioner shall replace the clamp-on piercing-valve with a permanent solder in type valve or shall permanently seal the entry point of the clamp-on piercing-valve from the appliance's refrigeration system. A service dealer shall not be required to replace the clamp-on piercing-valve or permanently seal its entry point from the appliance's refrigeration system if he or she has advised the owner of the appliance in writing that the use of a clamp-on piercing-valve is only a temporary repair and the owner consents to its use.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9841 and 9842, Business and Professions Code.
HISTORY

1. New section filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
2. Amendment filed 6-14-91; operative 7-14-91 (Register 91, No. 36).
§2742. Microwave Ovens.
Note     •     History

This section and Section 2743 apply to the repair of a microwave oven used or sold for use in the home, home office, or private motor vehicle.  For the purpose of this article, a microwave oven is defined as an electronic product designed to heat or cook food through the application of microwave energy at frequencies of 915 Mhz and 2450 Mhz which are assigned by the Federal Communications Commission.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9801 and 9841, Business and Professions Code.
HISTORY

1. New section filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
2. Amendment filed 5-12-94; operative 6-13-94 (Register 94, No. 19).
§2743. General Requirements--Microwave Ovens.
Note     •     History

All service dealers engaged in the repair of microwave ovens shall be subject to the following requirements:
(a) Service Responsibilities.
(1) A service dealer shall not defeat the interlock systems of a microwave oven.
(2) A service dealer shall not repair a microwave oven in such a manner as to cause leakage in excess of those standards specified in subsection (d) of this section.
(3) A service dealer shall perform a microwave emission leakage test in accordance with the measurement and test procedures set forth in subsection (b) of this section in the following instances: 
(A) Where there is evidence of damage to the cabinet, safety interlocks, or the door, including, such parts as the glass, screen, seals, hinges, or latches;
(B) Where there is looseness or obvious wear or misalignment of the door and its component parts, or seal;
(C) Where there is repair to or replacement of a door, including its component parts, or seal;
(D) Where the service dealer has reason to believe, consistent with standards of good and accepted workmanlike repair, that the microwave oven is leaking microwave energy in excess of those limits specified in subsection (d) of this section.
(b) Measurement and Test Procedures.
(1) Leakage levels shall be determined by measurements in microwave power density made with an instrument system which:
(A) Reaches 90 percent of its steady-state reading within 3 seconds when the system is subjected to a steppe input signal.
(B) Has a leakage detector with an effective aperture of 25 square centimeters or less as measured in a plane wave, having no dimension exceeding 10 centimeters.
(C) Is capable of measuring microwave oven leakage levels with an accuracy of plus 25 percent and minus 20 percent (plus or minus 1 decibel).
(D) Has been calibrated within the past 12 months.
(2) Measurements shall be made in accordance with the manufacturer's leakage test procedures or with the microwave oven operating at its maximum output and containing a load of 275 + 15 milliliters of tap water initially at room temperature placed within the cavity at the center of the load-carrying surface provided by the manufacturer. The water container for the latter procedure shall be a low form 600-milliliter beaker having an inside diameter of approximately 8.5 centimeters and made of an electrically nonconductive material, such as glass or plastic.
(3) Measurements shall be made with the door fully closed.
(4) Measurements shall be made at points 5 centimeters or less from external surfaces of the oven.
(c) Training of Repair Personnel. The service dealer shall ensure that each technician who repairs microwave ovens in his or her employ is instructed in the test procedures, compliance criteria, and requirements of this section.
(d) Compliance Criteria.
(1) Where a service dealer is required by subsection (a) of this section to conduct a microwave emission leakage test, he or she shall determine whether the leakage of microwave emission is in excess of the following limits:
(A) For ovens manufactured after October 1, 1971, leakage in excess of five (5) milliwatts per square centimeter at any point five (5) centimeters or more from the external surface of the oven. 
(B) For ovens manufactured before October 1, 1971, leakage in excess of ten (10) milliwatts per square centimeters at any point five (5) centimeters or more from the external surface of the oven. (2) Microwave ovens shall be in compliance with this subsection if the maximum power density of microwave emission leakage measured in the test procedures specified in subsection (b) of this section does not exceed the microwave emission leakage limits specified in subsection (d)(1) of this section measured through at least one stirrer cycle.
(e) Invoice Requirements. Where a microwave emission leakage test was conducted, the service dealer shall indicate that fact on the invoice. If the emission leakage exceeds those limits as prescribed in subsection (d) of this section, the service dealer shall also notify the customer that the unit is a potential safety hazard.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9841 and 9842, Business and Professions Code.
HISTORY

1. New section filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
Article 5. False or Misleading Advertising
§2750. Untrue or Misleading Advertising.
History

HISTORY

1. New section filed 1-7-69; effective thirtieth day thereafter (Register 69, No. 2).
2. Renumbering of Section 2722 to Section 2750 and renumbering of former Section 2750 to Section 2760 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
3. Repealer filed 1-6-88; operative 2-5-88 (Register 88, No.3).
§2751. Advertising by Service Dealer.
Note     •     History

Advertising which shall be deemed untrue or misleading includes, but is not limited to, advertising which fails to conform to the following specifications:
(a) Advertisement for repair of sets or appliances shall contain all of the following information as a protection to those persons answering the advertisement:
(1) The firm name and address of the business enterprise as shown on its service dealer's state registration certificate.
(2) The business telephone number as listed in the local telephone directory.
(b) The use of words such as, “guarantee,” “guaranteed,” “no fix-no pay,” or words of like import, are prohibited unless the terms or qualifications are clearly and completely stated including the disclosure of:
(1) The nature and extent of the guarantee as to time, parts, and/or labor.
(2) The identity of the guarantor; e.g., clearly identifying whether the service dealer, the manufacturer, the retailer, or any combination thereof is the guarantor.
(c) If such terms as “repaired in the home” are included in an advertisement, it shall also be stated therein that there will be a charge if repairs cannot be completed in the home if such is the case.
(d) If the price for a picture tube is quoted in an advertisement, the advertisement shall disclose the following:
(1) Whether the price quoted includes installation.
(2) Whether the picture tube offered is new, used, rebuilt, or rejuvenated.
(e) The use of the word “free” is not permitted in any advertisement unless the article or service is actually free, or if the offer is conditioned in any way, such conditions are clearly set forth in the advertisement.
(f) Terms such as “24 Hour,” “Day and Night,” or words of like import, shall not be used to describe the operations of the firm unless such service is actually available to the public at any time during the 24 hours of the day and night. An answering service that relays messages for scheduling service calls for a later time shall not be sufficient.
(g) It shall not be stated or implied in any advertisement that repairs or services will be performed by any person who is “Factory Trained,” a “Factory Specialist,” “Factory Authorized,” “Authorized,” “Licensed,” “Certified,” or words of like import, unless such words are true and not misleading.
(h) The words “Discount coupons,” “Discount prices” or words of similar import shall not be used in any advertisement unless the normal or customary price which is being discounted is prominently displayed in such advertisement and is referred to as such, i.e., “$5.00 off regular service call price . . . regular service call $17.50.”
(i) If the price of a service call, as it is defined in Section 2702(r) of these Regulations, is quoted in an advertisement, no charges shall be made in addition to the service call charge advertised except as provided in Section 9844 of the Act.
NOTE

Authority cited: Sections 9814 and 9841, Business and Professions Code. Reference: Sections 9841 and 9846, Business and Professions Code.
HISTORY

1. Amendment of subsection (a)(1) filed 6-19-78; effective thirtieth day thereafter (Register 78, No. 25). For prior history, see Register 75, No. 26.
2. Renumbering of section 2723 to section 2751 and amendment of subsections (a) and (f) filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
3. Editorial correction of subsection (i) (Register 81, No. 2).
4. Amendment of subsection (a) filed 12-22-82; effective thirtieth day thereafter (Register 82, No. 52).
5. Amendment filed 6-14-91; operative 7-14-91 (Register 91, No. 36).
6. Change without regulatory effect amending subsection (i) filed 9-26-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 6).
7. Change without regulatory effect amending subsection (i) filed 2-4-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 6).
§2752. Quotation of Service Call Charge.
Note     •     History

The service dealer shall quote a charge for each service call, as defined in Regulation 2702(r), and the diagnosis fee, if one is to be charged, prior to making each service call. No charges shall be made in addition to the service call charge quoted, except as provided for in Section 9844 of the Act.  If a diagnosis fee is charged, it shall be included in the service call charge.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Section 9844, Business and Professions Code.
HISTORY

1. Renumbering and amendment of section 2722.5 to section 2752 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
2. Amendment filed 4-20-81; effective thirtieth day thereafter (Register 81, No. 17).
3. Amendment filed 1-6-88; operative 2-5-88 (Register 88, No. 3).
4. Change without regulatory effect amending section filed 9-26-91 pursuant to section 100, title 1, California Code of  Regulations (Register 92, No. 6).
5. Amendment of section and Note filed 5-12-94; operative 6-13-94 (Register 94, No. 19).
6. Editorial correction of History 3 (Register 95, No. 16).
§2753. Rejuvenation or Restoration.
Note     •     History

Where the picture tube has been rejuvenated or restored in the repair of a television set, the term “rebuilt” or “reconditioned” shall not be used to describe such rejuvenation or restoration.
NOTE

Authority cited: Sections 9814 and 9841, Business and Professions Code. Reference: Sections 9841, 9842 and 9847, Business and Professions Code.
HISTORY

1. Renumbering and amendment of Section 2711 to Section 2753 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
§2754. Alignment.
Note     •     History

The use of the term “alignment” to describe the repair of a set, shall conform to the definition of alignment as set forth in Regulation 2702(c).
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Section 9841, Business and Professions Code.
HISTORY

1. Renumbering and amendment of section 2709 to section 2754 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
2. Amendment filed 6-14-91; operative 7-14-91 (Register 91, No. 36).
3. Change without regulatory effect amending section filed 9-26-91 pursuant to section 100, title 1, California Code of  Regulations (Register 92, No. 6).
Article 5.5. Service Contractors
§2755. Definition of Product.
Note     •     History

For the purpose of the rules and regulations contained in this chapter, the term `home health care products' are products purchased by an individual consumer for the purpose of personal care or personal health care. These products are powered by an AC cord or battery and include but are not limited to, personal grooming equipment, body care and skin products, oral care products, blood pressure monitors, electric wheelchairs, portable humidifiers, nebulizers, or air purifiers, or other like equipment.
NOTE

Authority cited: Section 9814.5, Business and Professions Code. Reference: Sections 9830.5, 9855 and 9855.2, Business and Professions Code.
HISTORY

1. New section filed 3-7-2005; operative 4-6-2005 (Register 2005, No. 10).
§2756. Registration of Service Contractors.
Note     •     History

An application for registration as service contractor shall be filed with the Bureau on an application form (Form 61A-2, Rev. 1/04) prescribed and provided by the Bureau and accompanied by the prescribed fee. In addition to the information required by Section 9830.5 of the Code, an application shall also include the following:
(a) The service contractor's telephone number, mailing address, and the service contractor's business name, business address and business telephone number if different than the information relating to the individual service contractor.
(b) A service contract seller shall disclose the name and address of all service contract administrators which it uses to administer its service contracts.
(c) A service contract administrator shall disclose the name and address of the service contract sellers who sell or offer contracts administered by the administrator.
(d) A copy of the service contractor's proposed service contract form.
(e) The current value, based upon the full purchase price of the service contract paid by the service contract holder, of all service contracts in force, unless the service contractor has purchased or has arranged to have purchased on its behalf a service contract reimbursement insurance policy covering its service contracts or the service contracts which it administers.
(f) Proof of financial responsibility which complies with one of the following requirements:
(1) The most recent annual report on Form 10-K required by the Securities and Exchange Commission which complies with the provisions of Section 9855.2(a)(1) of the Code. A foreign corporation may submit a comparable regulatory filing which complies with the provisions of Section 2757.3 and includes an audited statement.
(2) A copy of a service contract reimbursement insurance policy which complies with the provisions of Section 9855.4 of the Code.
(3) Copies of contracts which evidence that a service contract seller sells service contracts which are administered by a service contract administrator who has obtained a service contract reimbursement insurance policy covering the seller's service contracts.
(4) Evidence of a funded escrow account which complies with the provisions of Section 2757.5. Such evidence shall disclose the name and address of the financial institution which holds the funded escrow account, the escrow account number, the escrow account instructions, and the most recent financial statement for the escrow account from the financial institution holding the escrow account. The applicant shall also grant the Director or his or her designee the authority to verify with the financial institution holding the escrow account the fund condition of the account.
(5) The most recent audited financial statement reflecting a net worth of not less than one hundred million dollars ($100,000,000) which complies with Section 9855.2(a)(1)(B) of the Code. This audited financial statement and the registration renewal shall be filed annually with the Bureau.
(g) A service contractor who is a service contract administrator shall only be allowed to demonstrate financial responsibility by submitting a copy of the service contract reimbursement insurance policy covering the service contracts which it administers.
(h) Where the service contractor is a sole proprietor, the owner shall disclose his or her social security number. Where the service contractor is a partnership, it shall disclose its federal employer identification number.
Individuals identified in the application shall disclose a form of official identification from a state or federal government, such as a driver's license number or state identification number or passport number.
(i) Criminal and adverse administrative licensing history information in any jurisdiction relating to the service contractor and the following individuals:
(1) Sole proprietorship - Individual owner.
(2) Partnership - All general partners.
(3) Company submitting a Form 10-K with its application - The individual in charge of the company's service contract program.
(4) Company not submitting a Form 10-K with its application - All officers and directors of the company and the individual in charge of the company's service contract program.
(j) Signatures from the following individuals:
(1) Sole proprietorship - Individual owner.
(2) Partnership - All general partners.
(3) Corporation - The officer or individual in charge of its service contract program.
NOTE

Authority cited: Section 9814.5, Business and Professions Code. Reference: Sections 9830.5 and 9855.2, Business and Professions Code.
HISTORY

1. New article 5.5 and section filed 9-21-95; operative 10-21-95 (Register 95, No. 38).
2. Change without regulatory effect amending Form 61A-2 (incorporated by reference) and amending first paragraph filed 4-12-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 16).
3. New subsection (f)(5) and amendment of Note filed 3-7-2005; operative 4-6-2005 (Register 2005, No. 10).
§2757. Financial Responsibility; Sellers of Another's Service Contracts.
Note     •     History

(a) A service contract seller shall provide proof of financial responsibility as specified in Section 2756(f).
(b) A person who is not the obligor on a service contract, but sells such service contracts on behalf of another person who is the obligor on the service contract, shall be deemed to be a service contract seller. Such a seller shall be required to meet all the requirements for registration except that such seller shall be allowed to provide proof of financial responsibility for those service contracts by identifying by date, document title, and if applicable, account number of the evidence of financial responsibility submitted by the obligor on such service contracts.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9855 and 9855.2, Business and Professions Code.
HISTORY

1. New section filed 9-21-95; operative 10-21-95 (Register 95, No. 38).
§2757.1. “Deferred revenues from service contracts in force”; Defined.
Note     •     History

For purposes of complying with the requirements of Sections 9855.2(a)(1), 9855.2(a)(4), and 9855.3(c)(4) of the Code, the term “deferred revenues from service contracts in force” shall mean the full purchase price of the service contract paid by the service contract holder.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9855.2 and 9855.3, Business and Professions Code.
HISTORY

1. New section filed 9-21-95; operative 10-21-95 (Register 95, No. 38).
§2757.2. Net worth test on Form 10-K; Defined.
Note     •     History

For purposes of complying with the requirements of Sections 9855.2(a)(1) and 9855.3(c)(1) of the Code, the term “a net worth greater than the sum of the deferred revenues from service contracts in force” shall be calculated by comparing the sum of the “deferred revenues from all service contracts in force” as of the date of the audited financial statement included in the Form 10-K (or acceptable substitute) filing with the stockholders' equity reported on the financial statement. The amount of stockholders' equity shall exceed the sum of the deferred revenues from service contracts in force in order for the requirements of Sections 9855.2(a)(1) and 9855.3(c)(1) of the Code to be met. 
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9855.2 and 9855.3, Business and Professions Code.
HISTORY

1. New section filed 9-21-95; operative 10-21-95 (Register 95, No. 38).
§2757.3. Foreign Corporation; Form 10-K Substitute.
Note     •     History

(a) For a foreign corporation to comply with the requirements of Sections 9855.2(a)(1) and 9855.3(c)(1) of the Code, an acceptable substitute for the annual report on Form 10-K required by the Securities and Exchange Commission shall consist of a complete copy of the filing made by the foreign corporation with a governmental agency of its home government that has regulatory oversight of a public securities exchange on which stock of such foreign corporation is traded. Such a filing shall include a set of financial statements audited by an independent accounting firm in order to be deemed an acceptable substitute for a Form 10-K filing. The complete copy shall be translated into the English language.
(b) If a foreign corporation does not make a filing with a foreign governmental agency of its home government that has regulatory oversight of a public securities exchange on which stock of such foreign corporation is traded because the corporation is substantially owned by the government of the country in which the corporation is domiciled, the Director may accept as an acceptable substitute for a Form 10-K filing documentation which consists of all of the following:
(1) A complete set of audited financial statements prepared by a firm of independent public accountants that practice, either directly or through affiliated firms, in more than one country, including but not limited to the United States and is licensed or otherwise has comparable authority under the laws of the country in which it is performing the audit to engage in the practice of public accounting;
(2) A description of the company, its history, principal lines of business, and current operations; and
(3) A section entitled “management's discussion and analysis of financial condition and results of operation” that provides the same information required by Item 303 of Regulation S-K (17 CFR §229.303) for the similar section contained in a Form 10-K filing.
The substitute for a Form 10-K filing shall be translated into the English language.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9855.2 and 9855.3, Business and Professions Code.
HISTORY

1. New section filed 9-21-95; operative 10-21-95 (Register 95, No. 38).
§2757.4. Subsidiary Corporation Filing a Form 10-K.
Note     •     History

A service contract seller which is a majority-owned subsidiary of another (parent) corporation may demonstrate its financial responsibility as required by Sections 9855.2(a)(1) and 9855.3(c)(1) of the Code by filing, with its application for registration or renewal, either a copy of the Form 10-K of its parent corporation or, where its parent corporation is a foreign corporation, a Form 10-K substitute as specified in section 2757.3, provided that such filing includes a statement signed by an authorized officer of the parent corporation evidencing a full guarantee by the parent corporation of the service contract obligations of the subsidiary corporation. Absent such a guarantee from the parent corporation, the service contract seller shall comply with the financial responsibility requirements of the law using one of the other means provided for in Sections 9855.2(a) and 9855.3(c) of the Code.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9855.2 and 9855.3, Business and Professions Code.
HISTORY

1. New section filed 9-21-95; operative 10-21-95 (Register 95, No. 38).
§2757.5. Funded Escrow Account; Defined.
Note     •     History

(a) For purposes of complying with the requirements of Sections 9855.2(a)(4) and 9855.3(c)(4) of the Code, the term “a funded account held in escrow” shall mean an account held at a federal or state chartered bank or savings institution. Such account shall be held in trust for the benefit of the service contractholders and funds in such account may not be released by the trustee except as provided for in sections 2757.5 and 2757.6.
(b) The escrow agreement between the service contract seller and the bank or savings institution shall at a minimum specify all of the following:
(1) All escrow fees of any kind shall be paid by the service contract seller and shall not be the responsibility of the Director of the Department of Consumer Affairs.
(2) The investment alternatives for deposited funds held in escrow shall be limited to the investment alternatives allowed for in Government Code Section 16430 for funds of California governmental entities that maintain deposits with banks or savings institutions.
(3) The escrow agreement shall explicitly provide the Director or his or her designee the right, at any time and at his or her sole discretion, to review or audit any or all activity related to the escrow account(s) held for the purpose of meeting service contract deposit requirements.
(4) The withdrawal of escrow funds, for any reason, shall require an approval signature from an escrow officer of the bank or savings institution with signature authority for the account.
(5) The escrow account trustee shall notify the Director, through the Bureau, immediately, by facsimile and by letter, of any intended disbursement to be made out of the escrow account for any reason. The notification shall indicate that the Director has five (5) working days to suspend the disbursement pending the Director's review or other action, and shall indicate the last date for the Director's action. If the Director does not order the suspension of disbursements from the account before the end of the fifth working day, the escrow account trustee is authorized to make the previously notified distribution as planned.
(c) The required minimum balance in such account shall be equal to a minimum of 25 percent of the deferred revenues from the service contracts in force. The minimum balance shall be calculated by multiplying the sum total of the deferred revenues from all service contracts in force as of the last business day of the calendar quarter in which the calculation is being made by the number 0.25.
(d) The service contract seller shall file a statement with the funded escrow account trustee no less than once each calendar quarter, such statement shall be due by the 15th working day following the close of the calendar quarter. The statement shall indicate the escrow account aggregate ending balance from the previous calendar quarter, the number of new or renewal service contracts sold during the quarter, the aggregate sales price of the contracts sold during the quarter, the number and aggregate sales price of all service contracts expiring during the quarter, and the service contract seller's calculation of the new aggregate required balance in the funded escrow account. The statement shall be signed by an authorized representative or officer of the service contract seller.
The escrow account trustee shall utilize the information contained in the statement balance of the funded escrow account to calculate the deposit amount or the amount available to refund. Such calculation shall be made no less often than once each calendar quarter within 20 working days after the close of the immediately preceding calendar quarter. The escrow account trustee shall notify the service contract seller of its findings within five working days after the trustee has completed its calculations.
The service contract seller shall then have 10 working days to deposit such additional funds as the trustee calculates are required to meet the required minimum balance required by law. Interest earned on the funded escrow account may be used to meet the minimum funding requirement. Should the service contract seller fail to deposit the required funds in the escrow account, the trustee shall immediately notify the director of the deficiency and the director shall take appropriate action, including, but not limited to, the filing of a petition for an interim order of suspension.
(e) If there is a surplus of funds in the funded escrow account, the trustee may return such surplus funds as requested by the service contract seller.
(f) Prior to releasing funds from the escrow account to the service contract seller, the escrow account trustee shall notify the Director, through the Bureau, by facsimile and mail, five (5) working days prior to the day funds will be released to the service contract seller. The notice shall include the calculation made by the escrow account trustee to determine the amount of funds to be released and the pertinent data supplied by the service contract seller for the calculation. The notification shall indicate that the Director has five (5) working days to suspend the disbursement pending the Director's review or other action, and shall indicate the last date for the Director's action. If the Director does not order the suspension of disbursements from the account before the end of the fifth working day, the escrow account trustee is authorized to make the previously notified distribution as planned.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 494, 9855.2 and 9855.3, Business and Professions Code.
HISTORY

1. New section filed 9-21-95; operative 10-21-95 (Register 95, No. 38).
§2757.6. Release of Escrow Account Funds to Assist Service Contractholders.
Note     •     History

(a) The Director may direct the trustee to release funds held in the funded escrow account of a service contract seller under the following conditions:
(1) The service contract seller petitions the Director, through the Bureau, to release funds in the account in order to pay for repair services required to meet obligations to service contractholders. Such a petition shall contain evidence that the service contract seller is unable to meet his or her obligations except through the use of funds in the escrow account.
Such a petition shall include financial statements and an accompanying written narrative by an officer of the service contractor, signed under penalty of perjury, detailing the financial condition of the service contractor and why the service contractor is unable to meet its service contract obligations except by use of escrow funds. The petition shall present a plan for corrective action that details how the service contractor will correct the deficiency in its funded escrow account or will otherwise discharge its obligations to the service contract holders.
(2) A service contractholder or group of service contract holders petitions the Director, through the Bureau, to release funds in the account in order to pay for repair services required to meet obligations to service contractholders. Such petition shall set forth the efforts the service contractholders took to obtain repair service from the service contract seller (or obligor).
(b) Upon receipt of a petition requesting the release of funds held in the funded escrow account of a service contract seller, the Director shall investigate the claims made in such petition and shall, within thirty (30) days, issue his or her decision on the petition. If the Director grants the petition, he or she may order appropriate action to protect the interests of service contractholders which includes, but, is not limited to:
(1) The issuance of an interim order restricting the service contractor's ability to enter into new service contracts during the period when the Director has authorized the trustee to release funds from the escrow account to pay for repair services.
(2) Requiring the service contractor to appoint a third party to process applications from service contract holders for escrow account funds to pay for covered repairs.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 494, 9855.2, 9855.3 and 9863, Business and Professions Code.
HISTORY

1. New section filed 9-21-95; operative 10-21-95 (Register 95, No. 38).
§2758. Service Contractors; Record Keeping.
Note     •     History

(a) Every service contractor shall maintain or arrange for the maintenance of a record of the following:
(1) The number of total service contracts which are in effect.
(2) The duration remaining on all service contracts.
(3) The retail purchase price of its service contracts.
(4) The names and addresses of its service contract holders where provided by the service contract holder.
(5) The methods or means which have been used by the service contractor to meet the requirements of section 9855.2 of the Code during the immediate past five years or since it has been registered with the Bureau as a service contractor, whichever is shorter.
Where the service contractor has elected to use a funded escrow account as proof of financial responsibility, the Director or his or her designee shall have the authority to audit and/or verify with the financial institution holding the escrow account the status of the fund condition of the account.
(b) A service contract administrator shall maintain a record of the name and address of all sellers who sell or offer contracts administered by the administrator.
(c) A service contract seller shall maintain a record of the name and address of all administrators which it uses to administer its service contracts.
(d) A service contractor shall provide to the director annually at the time for renewal of its registration proof of financial responsibility as specified in section 2756(f). The service contractor shall also provide to the director at that time the current value, based upon the full purchase price of the service contract paid by the service contract holder, of all service contracts in force, unless the service contractor has purchased or has arranged to have purchased on its behalf a service contract reimbursement insurance policy covering its service contracts or the service contracts which it administers.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9847.5, 9855 and 9855.2, Business and Professions Code.
HISTORY

1. New section filed 9-21-95; operative 10-21-95 (Register 95, No. 38).
§2758.5. Service Contract; Filing.
Note     •     History

The service contractor or its authorized representative shall file with the Bureau, prior to its use, a service contract form, including revisions or modifications to a service contract previously filed with the Bureau.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Section 9855.3, Business and Professions Code.
HISTORY

1. New section filed 9-21-95; operative 10-21-95 (Register 95, No. 38).
Article 6. Fees
§2760. Fees.
Note     •     History

(a) The service dealer initial registration fee and annual renewal fee shall be one hundred sixty-five dollars ($165) for each location engaging in the business of repair or installation of electronic equipment as defined in the Act and one hundred sixty-five dollars ($165) for the repair of appliances.
(b) The service dealer initial registration fee shall be three hundred twenty-five dollars ($325) for each location engaging in the business of repair or installation of electronic equipment as defined in the Act and the repair of appliances.
(c) The annual registration renewal fee shall be three hundred dollars ($300) for each location engaging in the business of repair or installation of electronic equipment as defined in the Act and the repair of appliances.
(d) The service contractor initial registration fee and annual renewal fee shall be seventy-five dollars ($75) for each place of business engaged in the issuing, selling, offering for sale and/or administering of service contracts in this state.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Section 9873, Business and Professions Code.
HISTORY

1. New section filed 6-19-78; effective thirtieth day thereafter (Register 78, No. 25).
2. Renumbering of Section 2750 to Section 2760 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
3. Amendment filed 3-20-81; effective thirtieth day thereafter (Register 81, No. 12).
4. Amendment filed 3-29-82; effective thirtieth day thereafter (Register 82, No. 14).
5. Amendment filed 3-14-85; effective thirtieth day thereafter (Register 85, No. 11).
6. Repealer and new section filed 3-6-87; designated effective 5-1-87 (Register 87, No. 10).
7. New subsection (d) filed 9-21-95; operative 10-21-95 (Register 95, No. 38).
8. Amendment filed 2-5-98; operative 2-5-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 6).
Article 7. Miscellaneous
§2764. Recording Keeping -- Customer-Related Records.
Note     •     History

A legible original or legible copy of the following records shall be retained by the service dealer for a period of at least three years: invoice, customer claim check, estimate records, and employee records.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9842 and 9847, Business and Professions Code.
HISTORY

1. New section filed 7-31-96; operative 8-30-96 (Register 96, No. 31).
§2765. Return of Replaced Parts, Exemptions.
Note     •     History

Section 9843 requires that the service dealer shall return replaced parts to the customer excepting parts that the service dealer needs to return to the manufacturer or distributor under a warranty arrangement or parts that are exempted by regulation, as follows:
(a) Electronic or appliance parts that are repairable and are replaced or sold on an exchange basis, including picture tubes, printed circuit components, tuners and plug-in modules.
(b) Parts that are removed from appliances, as defined in Regulation 2702(f), providing the customer has waived the return of such parts in writing, including refrigeration compressors, condensers and evaporator coils; refrigerator and freezer doors and liners; washing machine transmissions, agitators and tubs; and dryer drums.
(c) Parts that contain toxic material which have been identified as a health hazard by a government public health agency, or where the manufacturer of the replacement part provides specific safety disposal procedures for such parts.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Section 9843, Business and Professions Code.
HISTORY

1. Amendment filed 12-7-73; effective thirtieth day thereafter (Register 73, No. 49). For prior history, see Register 70, No. 10.
2. Renumbering of section 2706 to section 2765 and amendment of subsection (b) filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
3. Amendment filed 6-14-91; operative 7-14-91 (Register 91, No. 36).
§2766. Rebuilt Units--Guarantees.
Note     •     History

Where a service dealer has guaranteed the performance of a rebuilt electronic set, appliance or component part thereof, all components of the rebuilt unit shall be included under such guarantee.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Section 9846, Business and Professions Code.
HISTORY

1. New section filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
§2767. Substantial Relationship Criteria.
Note     •     History

For the purposes of denial, suspension, or revocation of the registration of a repair service dealer pursuant to Division 1.5 (commencing with Section 475) of the Business and Professions Code, a crime or act shall be considered to be substantially related to the qualifications, functions or duties of a service dealer if to a substantial degree it evidences present or potential unfitness of a service dealer to perform the functions authorized by his registration in a manner consistent with the public health, safety, or welfare. Such crimes or acts shall include but not be limited to those involving the following:
(a) Violating or attempting to violate, directly or indirectly, or assisting in or abetting the violation of, or conspiring to violate any provision or term of Chapter 20, Division 3 of the Business and Professions Code.
(b) Conviction of a crime involving fiscal dishonesty.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 475, 480, 488, 490 and 9841, Business and Professions Code.
HISTORY

1. New section filed 3-30-73; effective thirtieth day thereafter (Register 73, No. 13).
2. Repealer and new section filed 2-14-75; as an emergency; effective upon filing (Register 75, No. 7).
3. Repealer and new section refiled 8-7-75; effective thirtieth day thereafter (Register 75, No. 32).
4. Renumbering of Section 2703.1 to Section 2767 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
§2768. Criteria for Rehabilitation.
Note     •     History

(a) The Bureau shall evaluate the rehabilitation of the applicant, registrant, or petitioner and his or her present eligibility for a registration:
(1) When considering the denial of a registration under the provisions of Section 480 of the Code;
(2) When considering the suspension or revocation of a registration on the grounds that a service dealer has been convicted of a crime;
(3) When considering a petition for reinstatement of a registration under the provisions of Section 11522 of the Government Code.
(b) In evaluating the rehabilitation of the applicant, registrant, or petitioner, the Bureau shall consider the following criteria:
(1) The nature and the severity of the act(s) or crime(s) under consideration.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the Business and Professions Code when considering an applicant pursuant to subsection (a)(1) of this section.
(3) Total criminal record when considering a person pursuant to subsections (a)(2) and (a)(3) of this section.
(4) The time that has elapsed since commission of the act(s) or crime(s) under consideration.
(5) The extent to which the applicant, registrant, or petitioner has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant, registrant, or petitioner.
(6) Evidence, if any, of rehabilitation submitted by the applicant, registrant, or petitioner. Such evidence may include, but is not limited to, proof of additional training or education, evidence of service to the community, and, if applicable, evidence of expungement proceedings, pursuant to Section 1203.4 of the Penal Code.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 475, 480, 482 and 9841, Business and Professions Code.
HISTORY

1. New section filed 2-14-75 as an emergency; effective upon filing (Register 75, No. 7).
2. New section refiled 8-7-75; effective thirtieth day thereafter (Register 75, No. 32).
3. Renumbering of Section 2703.2 to Section 2768 filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
4. Amendment filed 12-22-82; effective thirtieth day thereafter (Register 82, No. 52).
§2769. Rehabilitation Criteria for Suspensions or Revocations.
Note     •     History

NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 475, 490 and 9841, Business and Professions Code.
HISTORY

1. New section filed 2-14-75 as an emergency; effective upon filing (Register 75, No. 7).
2. New section refiled 8-7-75; effective thirtieth day thereafter (Register 75, No. 32).
3. Renumbering of Section 2703.3 to Section 2769 and amendment of subsection (b) filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
4. Repealer filed 12-22-82; effective thirtieth day thereafter (Register 82, No. 52).
§2770. Complaint Information System.
Note     •     History

The Bureau shall provide a system designed to provide individual members of the consuming public information regarding complaints and disciplinary actions against registrants and information regarding their registration status as specified below, unless in the determination of the Bureau disclosure of such complaint information would be unduly prejudicial to registrants.
(a) Information to be Provided Regarding Complaints. The Bureau shall maintain a system of information, regarding complaints received. The system shall provide for information relating to the preceding 3 years. The system will afford to members of the public, upon written request, all of the following regarding a particular registrant:
(1) The number of such complaints which, after investigation including contact with the registrant, have been found by Bureau staff to indicate probable violations of the Bureau's registration law or regulations.
(2) With respect to each such complaint, the following information:
(A) Its date of receipt by year.
(B) Its disposition, by indicating whether the matter has been
1. referred to formal disciplinary action;
2. found to involve a minor violation not in itself meriting disciplinary action;
3. disposed of through settlement, compromise or complaint mediation; or
4. disposed of through any other action, formal or informal, taken against the registrant.
(3) Such general cautionary statement, as the Bureau may deem appropriate, regarding the utility of complaint information to individual consumers in their selection of registrants.
(4) If a complaint which was initially determined to indicate a probable violation of law is later found by the Bureau's staff upon further investigation not to truly involve a violation, it shall be deleted from the complaint system.
(5) Such comparative data as may be considered by the Bureau to be informative to consumers, which may include the average number of valid complaints received against registrants in a given region or locality.
(b) Information to be Provided Regarding Disciplinary Action. The Bureau shall maintain records showing the disciplinary history of all current registration holders and shall provide to members of the public, upon written request, the following information:
(1) Whether any current registrant has ever been disciplined and, if so, when and for what offense.
(2) Whether any current registrant has been named in any disciplinary action.
(c) Information to be Provided Regarding Registration Status. The Bureau shall maintain records showing certain registration information for all current registration holders and for three (3) years following the inactivation of registration. The Bureau shall provide to members of the public, upon written request, the following information regarding past and current registrants:
(1) The name of the service dealer as it appears in the Bureau's records.
(2) The registration number.
(3) The address of record and telephone number.
(4) The date of original registration.
(5) The date or dates such registration expired, lapsed, or was terminated and, if applicable, the reason for termination.
(d) Quantity of Information to be Provided Per Week. To avoid undue delay in the Bureau's response to other requesters and in order that no one requester may overburden the Bureau's system, the Bureau may establish reasonable limits on the number of requests per week from any one requester which the Bureau may handle.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 9814, 9860 and 9863, Business and Professions Code.
HISTORY

1. New section filed 11-10-80; effective thirtieth day thereafter (Register 80, No. 46).
2. Amendment of subsections (a) and (c) filed 1-6-88; operative 2-5-88 (Register 88, No. 3).
3. Amendment of subsection (c) and Note filed 5-12-94; operative 6-13-94 (Register 94, No. 19).
§2771. Citations: Assessment of Civil Penalties.
Note     •     History

(a) Citations issued pursuant to Sections 125.9 and 148 of the Code include violations of the provisions of the Electronic and Appliance Repair Dealer Registration Law (“Act”) and any regulations adopted pursuant to any provisions of the Act. The Chief is authorized to issue citations containing orders of abatement and fines for violations of the provisions of law referred to in this section.
(b) A citation shall be issued whenever any order of abatement is issued or any fine is levied. Each citation shall be in writing and shall describe with particularity the nature and facts of the violation, including a reference to the statute or regulations alleged to have been violated. The citation shall be served upon the individual personally or by certified mail. Each citation issued shall contain an order of abatement. Citations may contain a civil penalty. Where citations issued include a civil penalty they shall be classified according to the nature of the violation and shall indicate the classification on the face thereof as follows:
(1) Class “A” violations are violations which the Chief has determined involve a person who, while operating as a service dealer, has violated a statute or regulation relating to the repair or installation of equipment as provided for in the Act and which either has caused (1) the death of or bodily injury to another person or (2) fire damage to property or (3) a person who has committed a class “B” violation and has three or more prior separate class “B” violations within the 36 month period immediately preceding the act serving as the basis for the citation, without regard to whether the actions to enforce the previous citations have become final. However, the increase in the civil penalty required by this paragraph shall not be due and payable unless and until the previous actions have been terminated in favor of the bureau. A class “A” violation is subject to a civil penalty in the amount of not less than seven hundred fifty dollars ($750) and not exceeding two thousand five hundred dollars ($2,500) for each and every violation.
(2) Class “B” violations are violations which the Chief has determined involve either (1) a person who, while operating as a service dealer, has violated a statute or a regulation relating to the repair or installation of equipment, as provided for in the Act and which caused damage, other than death or fire damage or bodily harm or (2) a person who has committed a class “C” violation and has three or more prior separate class “C” violations which have been terminated in favor of the Bureau within the 36 month period immediately preceding the act serving as the basis for the citation without regard to whether the actions to enforce the previous citations have become final. However, the increase in the civil penalty required by this paragraph shall not be due and payable unless and until the previous actions have been terminated in favor of the bureau. A class “B” violation is subject to a civil penalty in the amount not less than two hundred fifty dollars ($250) and not exceeding seven hundred fifty dollars ($750) for each and every violation.
(3) Class “C” violations are violations which the Chief has determined involve a person who, while operating as a service dealer has violated a statute or regulation relating to the repair or installation of equipment provided for in the Act and which has caused neither property nor monetary damage or bodily harm. A class “C” violation is subject to a civil penalty in the amount of not less than fifty dollars ($50) and not exceeding two hundred fifty dollars ($250) for each and every violation.
(c) In assessing the amount of a civil penalty, the Chief shall consider the following criteria:
1. The good or bad faith exhibited by the cited person.
2. The nature and severity of the violation.
3. Evidence that the violation was willful.
4. History of previous violations.
5. The extent to which the cited person has cooperated with the Bureau's investigation.
6. The extent to which the cited person has mitigated or attempted to mitigate any loss caused by his/her violation.
7. The extent of consumer injury which is a direct and proximate result of the violation.
8. Such other matters as justice may require.
(d) If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, the person cited may request an extension of time from the Chief in which to complete the correction. Such a request shall be in writing.
(e) When an order of abatement is not contested or if the order is appealed and the person cited does not prevail, failure to abate the violation charged within the time allowed shall constitute a violation and failure to comply with the order of abatement. The time allowed for the abatement of a violation shall begin when the order of abatement is final and has been served. Such failure may result in disciplinary action being taken by the bureau or other appropriate judicial or regulatory relief being taken against the person cited.
(f) The Chief is authorized to issue citations containing orders of abatement and fines against persons, partnerships, corporations or associations who are performing or who have performed services for which registration is required by the Code. Each citation issued shall contain an order of abatement. Where appropriate the Chief shall levy a fine for such unlicensed activity in accordance with subdivision (b)(3) of Section 125.9 of the Code. The provisions of this section shall apply to the issuance of citations for unlicensed activity under this subsection. The sanction authorized under this section shall be separate from and in addition to any other civil or criminal remedies.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 5-10-88; operative 6-9-88 (Register 88, No. 20).
2. Amendment of subsections (a), (e) and Note filed 5-12-94; operative 6-13-94 (Register 94, No. 19).
§2772. Contest of Citations, Citation Review Conference.
Note     •     History

(a) In addition to requesting a hearing provided for in subdivision (b)(4) of Section 125.9 of the Code, the person cited may, within ten (10) days after service of the citation, notify the Chief in writing of his or her request for a citation review conference with the Chief or his or her designee regarding the acts charged in the citation.
(b) The Chief or his or her designee shall hold, within 30 days from the receipt of the request, a citation review conference with the person cited or his or her legal counsel or authorized representative. At the conclusion of the citation review conference the Chief or his or her designee may affirm, modify or dismiss the citation, including any fine levied or order of abatement issued. The Chief or his or her designee shall state in writing the reasons for his or her action and transmit a copy of his or her findings and decision to the person cited. This decision shall be deemed to be a final order with regard to the citation issued, including the fine levied and the order of abatement.
(c) The person cited does not waive his or her right to request a hearing to contest a citation by requesting a citation review conference after which the citation is affirmed by the Chief or his or her designee. If the citation, including any fine levied or order of abatement, is modified, the citation originally issued shall be considered withdrawn and new citation issued. If a hearing is requested for the subsequent citation, it shall be requested within 30 days in accordance with subdivision (b)(4) of Section 125.9.
NOTE

Authority cited: Section 9814, Business and Professions Code. Reference: Sections 125.9 and 125.95, Business and Professions Code.
HISTORY

1. New section filed 5-10-88; operative 6-9-88 (Register 88, No. 20).
§2775. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), the bureau shall consider the disciplinary guidelines entitled “Bureau of Electronic and Appliance Repair Disciplinary Guidelines (June 1997)” which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the bureau in its sole discretion determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Sections 9814 and 9814.5, Business and Professions Code; and Sections 11400.20 and 11400.21, Government Code. Reference: Sections 125.3 and 9841, Business and Professions Code; and Sections 11400.20, 11400.21 and 11425.50(e), Government Code.
HISTORY

1. New section filed 1-13-98; operative 1-13-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 3).
Division 28. Bureau of Personnel Services

(Originally Printed 2-24-68; Revision 10-18-74)
Chapter 1. Provisions of the Employment Agency Act
Article 1. General Provisions
§2800. Location of Office.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Section 9924, Business and Professions Code.
HISTORY

1. New chapter 28 (sections 2800-2802, 2810-2816, 2840, 2850-2853, 2875-2877, 2879, 2880) filed 2-20-68; effective thirtieth day thereafter (Register 68, No. 8).
2. New subchapter 1 heading filed 10-17-74; effective thirtieth day thereafter (Register 74, No. 42).
3. Amendment filed 5-18-83; effective thirtieth day thereafter (Register 83, No. 21).
4. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
5. Change without regulatory effect repealing division 28, chapter 1, article 1 filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2801. Tenses, Gender and Number.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code.
HISTORY

1. Repealer filed 5-18-83; effective thirtieth day thereafter (Register 83, No. 21).
§2802. Definitions.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 9902, 9902.6, 9920, 9924, 9941, 9975.1 and 9977, Business and Professions Code.
HISTORY

1. New subsections (l),  (m) and (n) filed 12-9-68; effective thirtieth day thereafter (Register 68, No. 47).
2. Amendment of subsections (g) and (h) filed 4-7-72; effective thirtieth day thereafter (Register 72, No. 15).
3. Amendment of subsection (c) and new subsection (o) filed 11-30-73; effective thirtieth day thereafter (Register 73, No. 48).
4. Amendment filed 5-18-83; effective thirtieth day thereafter (Register 83, No. 21).
5. Amendment of subsections (b) and (c) and new subsection (l) filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
6. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
Article 2. Application for License
§2810. Application.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code.
HISTORY

1. Amendment filed 12-30-73; effective thirtieth day thereafter (Register 73, No. 48).
2. Repealer filed 5-18-83; effective thirtieth day thereafter (Register 83, No. 21).
3. Change without regulatory effect repealing article 2 filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2811. Required Documents.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code.
HISTORY

1. Amendment filed 12-9-68; effective thirtieth day thereafter (Register 68, No. 47).
2. Amendment of subsection (b) filed 4-7-72; effective thirtieth day thereafter (Register 72, No. 15).
3. Repealer filed 5-18-83; effective thirtieth day thereafter (Register 83, No. 21).
§2812. Applications.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 9942, 9943, 9944 and 9946, Business and Professions Code.
HISTORY

1. Amendment filed 11-30-73; effective thirtieth day thereafter (Register 73, No. 48).
2. Amendment filed 5-18-83; effective thirtieth day thereafter (Register 83, No. 21).
3. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2813. Renewal Applications.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code.
HISTORY

1. Repealer filed 5-18-83; effective thirtieth day thereafter (Register 83, No. 21).
§2814. Delinquent Applications, Expiration of Licenses, and Reinstatement.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Section 9953.1, Business and Professions Code.
HISTORY

1. Editorial correction (Register 68, No. 30).
2. Amendment filed 5-18-83; effective thirtieth day thereafter (Register 83, No. 21).
3. Amendment filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2815. Fees.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 9942, 9943 and 9944, Business and Professions Code.
HISTORY

1. Amendment filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
2. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2816. Fees, Form of Payment.
History

HISTORY

1. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2817. Acceptable Premises for Employment Agencies.
History

HISTORY

1. New section filed 11-30-73; effective thirtieth day thereafter (Register 73, No. 48).
2. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2818. Review of Employment Agency Applications; Processing Time.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code; and Section 15376, Government Code. Reference: Sections 9942, 9943, 9944 and 9946, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New section filed 10-17-83; effective thirtieth day thereafter (Register 83, No. 43).
2. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
Article 2.1. Denial, Suspension or Revocation of License
§2820. Substantial Relation Criteria.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 481, 490 and 9993, Business and Professions Code.
HISTORY

1. New article 2.1 (section 2820) filed 11-30-73; effective thirtieth day thereafter (Register 73, No. 48).
2. Repealer and new section filed 5-1-75; effective thirtieth day thereafter (Register 75, No. 18).
3. Amendment filed 5-18-83; effective thirtieth day thereafter (Register 83, No. 21).
4. Change without regulatory effect repealing article 2.1 and section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2821. Criteria for Rehabilitation.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 482 and 9993, Business and Professions Code.
HISTORY

1. New section filed 5-1-75; effective thirtieth day thereafter (Register 75, No. 18).
2. Amendment filed 5-18-83; effective thirtieth day thereafter (Register 83, No. 21).
3. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2830. Reconsideration After Suspension and Revocation of License.
Note     •     History

NOTE

Authority cited: Sections 9924, 9925 and 9944, Business and Professions Code. Reference: Sections 484, 488, 492, 9903, 9942, 9944, 9946, 9981 and 9997, Business and Professions Code.
HISTORY

1. New Article 2.2 (Section 2830) filed 11-30-73; effective thirtieth day thereafter (Register 73, No. 48).
2. Repealer of Article 2.2 (Section 2830) filed 5-1-75; effective thirtieth day thereafter (Register 75, No. 18).
Article 3. Advertising
§2840. False or Misleading Advertising.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Section 9978, Business and Professions Code.
HISTORY

1. Amendment filed 12-9-68; effective thirtieth day thereafter (Register 68, No. 47).
2. Repealer and new section filed 9-1-83; effective thirtieth thereafter (Register 83, No. 36).
3. New subsection (b) filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Amendment of subsection (b) filed 5-9-88; operative 6-8-88 (Register 88, No. 20).
5. Change without regulatory effect repealing article 3 and section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2841. Advertisement of Jobs; Contents.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 9978 and 9993, Business and Professions Code.
HISTORY

1. Amendment of subsections (c) and (h) and new subsections (i) through (n) filed 12-9-68; effective thirtieth day thereafter (Register 68, No. 47).
2. New subsection (o) filed 4-7-72; effective thirtieth day thereafter (Register 72, No. 15).
3. Repealer and new section filed 9-1-83; effective thirtieth day thereafter (Register 83, No. 36).
4. Amendment of subsection (a) filed 5-9-88; operative 6-8-88 (Register 88, No. 20).
5. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2842. Source of Fee.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 9978 and 9993, Business and Professions Code.
HISTORY

1. New section filed 12-9-68; effective thirtieth day thereafter (Register 68, No. 47).
2. Amendment filed 11-18-70; effective thirtieth day thereafter (Register 70, No. 47).
3. Amendment filed 11-30-73; effective thirtieth day thereafter (Register 73, No. 48).
4. Repealer and new section filed 9-1-83; effective thirtieth day thereafter (Register 83, No. 36).
5. Amendment filed 5-9-88; operative 6-8-88 (Register 88, No. 20).
6. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2843. Job Description.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 9978 and 9993, Business and Professions Code.
HISTORY

1. New section filed 9-1-83; effective thirtieth day thereafter (Register 83, No. 36).
2. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2844. Salary Description.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 9978 and 9993, Business and Professions Code.
HISTORY

1. New section filed 9-1-83; effective thirtieth day thereafter (Register 83, No. 36).
2. Amendment filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2845. Record of Advertisements, Job Orders and Referral Contracts.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 9970, 9978, 9984 and 9993, Business and Professions Code.
HISTORY

1. New section filed 9-1-83; effective thirtieth day thereafter (Register 83, No. 36).
2. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
Article 4. Miscellaneous
§2850. Ethical Practice and Conduct.
History

HISTORY

1. Change without regulatory effect repealing article 4 and section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2851. Transfer of License.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Section 9950, Business and Professions Code.
HISTORY

1. Editorial correction (Register 68, No. 30).
2. Amendment filed 5-18-83; effective thirtieth day thereafter (Register 83, No. 21).
3. Amendment filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2852. Transfer, etc., of Interest or Participation in Profits.
History

HISTORY

1. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2853. Confession of Judgment, Promissory Notes, and Assignments Prohibited.
History

HISTORY

1. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2854. Permanent Employment Defined; Refund When Employment Becomes Less Than Permanent; “Just Cause” Defined.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 9974.3, 9974.5, 9974.7 and 9993, Business and Professions Code.
HISTORY

1. New sections 2854 through 2859 filed 12-9-68; effective thirtieth day thereafter (Register 68, No. 47).
2. Amendment filed 4-7-72; effective thirtieth day thereafter (Register 72, No. 15).
3. Amendment filed 9-1-83; effective thirtieth day thereafter (Register 83, No. 36).
4. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2855. Resume Writing and Testing.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 9902, 9973 and 9974, Business and Professions Code.
HISTORY

1. Amendment filed 9-1-83; effective thirtieth day thereafter (Register 83, No. 36).
2. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2856. Specialized Testing.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. 
HISTORY

1. Repealer filed 9-1-83; effective thirtieth day thereafter (Register 83, No. 36).
§2857. Unprofessional Conduct.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Section 9993, Business and Professions Code.
HISTORY

1. Amendment filed 9-1-83; effective thirtieth day thereafter (Register 83, No. 36).
2. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2858. Fees to Be Refunded Within Reasonable Time.
History

HISTORY

1. Repealer filed 4-5-72; effective thirtieth day thereafter (Register 72, No. 15).
§2859. Job Order; What Constitutes.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 9975.1, 9978 and 9993, Business and Professions Code.
HISTORY

1. Amendment filed 9-1-83; effective thirtieth day thereafter (Register 83, No. 36).
2. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
Article 4.5. Complaint Handling Procedures
§2860. Complaint Defined.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 9924 and 9991, Business and Professions Code.
HISTORY

1. New article 4.5 (sections 2860-2865, not consecutive) filed 9-12-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Change without regulatory effect repealing article 4.5 and section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2861. Complaint Submission Requirements.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 9924 and 9991, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2862. Complaint-Handling Procedures.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 129, 9924 and 9992, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2864. Complaint Disposition.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 9924 and 129, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2865. Notice to Licensees.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Section 9924, Business and Professions Code.
HISTORY

1. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
Article 5. General Employment Agencies: Contracts and Receipts; Filing of Forms; Approval of Certain Forms
§2875. Contract or Receipt, Contents.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code.
HISTORY

1. Repealer filed 5-18-83; effective thirtieth day thereafter (Register 83, No. 21).
2. Change without regulatory effect repealing article 5 and section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2876. Notice to Applicant.
History

HISTORY

1. Repealer of subsection (c) filed 11-18-70; effective thirtieth day thereafter (Register 70, No. 47).
2. Amendment filed 4-7-72; effective thirtieth day thereafter (Register 72, No. 15).
3. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2877. Sample Form of Contract or Receipt--General Employment Agency.
History

HISTORY

1. Amendment filed 4-7-72; effective thirtieth day thereafter (Register 72, No. 15).
2. Amendment filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
3. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2879. Issuance of Contract or Receipt to Applicant.
History

HISTORY

1. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2879.1. Statement of Commissions and Bonuses Required.
History

HISTORY

1. New section filed 12-9-68; effective thirtieth day thereafter (Register 68, No. 47).
2. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2880. Filing of Forms.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 9971, 9974 and 9984, Business and Professions Code.
HISTORY

1. Amendment filed 9-1-83; effective thirtieth day thereafter (Register 83, No. 36).
2. Amendment filed 5-9-88; operative 6-8-88 (Register 88, No. 20).
3. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2881. Employer Paid Fee Agencies; Reference in Fee Schedule.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code.
HISTORY

1. New section filed 12-9-68; effective thirtieth day thereafter (Register 68, No. 47).
2. Repealer filed 5-18-83; effective thirtieth day thereafter (Register 83, No. 21).
§2882. Counselor Registration.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code.
HISTORY

1. New section filed 11-18-70; effective thirtieth day thereafter (Register 70, No. 47).
2. Repealer filed 5-18-83; effective thirtieth day thereafter (Register 83, No. 21).
Article 6. Prepaid Computer Agencies and Job Listing Services
§2890. Exchange of Job Orders, Etc., Prohibited.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 9975, 9989.6 and 9993, Business and Professions Code.
HISTORY

1. New article 6 (sections 2890, 2891, 2892) filed 12-9-68; effective thirtieth day thereafter (Register 68, No. 47).
2. Amendment filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41).
3. Change without regulatory effect repealing article 6 and section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2891. Sample Form of Contract or Receipt--Computer Agency and Job Listing Service.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 9920, 9974.3, 9989.4 and 9989.5, Business and Professions Code.
HISTORY

1. Repealer file 5-18-83; effective thirtieth day thereafter (Register 83, No. 21).
2. New section filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41).
3. Amendment filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
4. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2892. Contracts or Receipts.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Section 9989.4, Business and Professions Code.
HISTORY

1. Amendment of subsection (f) filed 11-30-73; effective thirtieth day thereafter (Register 73, No. 48).
2. Repealer and new section filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41).
3. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2893. Telephonic Orders--Written Confirmation.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Section 9989.4, Business and Professions Code.
HISTORY

1. New section filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41).
2. Repealer filed 5-9-88; operative 6-8-88 (Register 88, No. 20).
Article 7. Fees
§2895. Fees.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Section 9997, Business and Professions Code.
HISTORY

1. New article 7 (section 2895) filed 12-9-68; effective thirtieth day thereafter (Register 68, No. 47).
2. Repealer of article 7 (section 2895) filed 9-1-83; effective thirtieth day thereafter (Register 83, No. 36).
3. New article 7 (section 2895) filed 10-12-84; effective thirtieth day thereafter (Register 84, No. 41).
4. Amendment of subsections (c) and (e) filed 5-21-87; operative 6-20-87 (Register 87, No. 22).
5. Change without regulatory effect repealing article 7 and section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2895.1. Nurses' Registry Fees.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Section 9997.1, Business and Professions Code.
HISTORY

1. New section filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
2. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
Article 8. Nurses' Registry
§2896. Sample Format of Contract or Receipt--Nurses' Registry.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 9958.4, 9958.5 and 9958.6, Business and Professions Code.
HISTORY

1. New section filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
2. Change without regulatory effect repealing article 8 and section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2896.1. General Employment Agency License Required in Certain Situations.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 9902, 9909.5 and 9958.2, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 2899.20 to section 2896.1 filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
2. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2896.2. Log Sheets.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 9958 and 9958.8, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 2899.31 to section 2896.2 filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
2. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
Article 9. Employment Counseling Service
§2897. Sample Form of Contract or Receipt--Employment Counseling Service.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Section 9984.1, Business and Professions Code.
HISTORY

1. New section filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
2. Change without regulatory effect repealing article 9 and section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2897.1. Contracts or Receipts.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Section 9985, Business and Professions Code.
HISTORY

1. New section filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
2. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2898. Citations and Orders of Abatement.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 125.9 and 125.95, Business and Professions Code.
HISTORY

1. New section filed 5-9-88; operative 6-8-88 (Register 88, No. 20).
2. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
§2898.1. Contest of Citations.
Note     •     History

NOTE

Authority cited: Section 9924, Business and Professions Code. Reference: Sections 125.9 and 125.95, Business and Professions Code.
HISTORY

1. New section filed 5-9-88; operative 6-8-88 (Register 88, No. 20).
2. Change without regulatory effect repealing section filed 7-25-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 30).
Chapter 2. Provisions of the Nurses' Registry Act
Article 1. General Provisions
§2899. General.
Note     •     History

NOTE

Authority cited: Section 9890.31, Business and Professions Code. Reference: Sections 9890-9890.122, Business and Professions Code.
HISTORY

1. New Chapter 32 (§§3200-3204, 3210-3214, 3220-3225, 3230-3232) filed 5-4-72; effective thirtieth day thereafter (Register 72, No. 19).
2. Amendment and renumbering of Chapter 32 (Articles 1-4, Sections 3200-3232, not consecutive) to Chapter 28, Subchapter 2 (Articles 1-4, Sections 2899-2899.33, not consecutive) filed 10-17-74; effective thirtieth day thereafter (Register 74, No. 42).
3. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
§2899.01. Location of Office.
Note     •     History

NOTE

Authority cited: Section 9890.31, Business and Professions Code. Reference: Section 9890.31, Business and Professions Code.
HISTORY

1. Amendment filed 5-18-83; effective thirtieth day thereafter (Register 83, No. 21).
2. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
§2899.02. Tenses, Gender and Number.
Note     •     History

NOTE

Authority cited: Section 9890.31, Business and Professions Code. Reference: 9890.31, Business and Professions Code.
HISTORY

1. Repealer filed 5-18-83; effective thirtieth day thereafter (Register 83, No. 21).
2. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
§2899.03. Definitions.
History

HISTORY

1. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
§2899.04. Fees, Form of Payment.
Note     •     History

NOTE

Authority cited: Section 9890.31, Business and Professions Code. Reference: Section 9890.121, Business and Professions Code.
HISTORY

1. Amendment filed 5-18-83; effective thirtieth day thereafter (Register 83, No. 21).
2. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
Article 2. Applications
§2899.10. Application Forms.
History

HISTORY

1. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
§2899.11. Experience Requirement.
History

HISTORY

1. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
§2899.12. Transfer of License.
History

HISTORY

1. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
§2899.13. Change of Location.
History

HISTORY

1. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
§2899.14. Business Name.
History

HISTORY

1. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
§2899.15. Review of Nurses' Registry Applications; Processing Time.
Note     •     History

NOTE

Authority cited: Section 9890.31, Business and Professions Code; and Section 15376, Government Code. Reference: Sections 9890.51, 9890.52, 9890.53 and 9890.54, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New section filed 10-17-83; effective thirtieth day thereafter (Register 83, No. 43).
2. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
Article 3. Operation and Management
§2899.20. Employment Agency License Required in Certain Situations.
History

HISTORY

1. Renumbering and amendment of Section 2899.20 to Section 2896.1 filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
§2899.21. Approval of Contract Forms.
History

HISTORY

1. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
§2899.22. Sample Format of Contract.
History

HISTORY

1. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
§2899.23. Filing of Fee Schedules.
Note     •     History

NOTE

Authority cited: Section 9890.31, Business and Professions Code. Reference: Section 9890.93, Business and Professions Code.
HISTORY

1. Repealer filed 5-18-83; effective thirtieth day thereafter (Register 83, No. 21).
§2899.24. Contents of Fee Schedule.
History

HISTORY

1. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
§2899.25. Sample Format of Schedule of Fees.
History

HISTORY

1. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
Article 4. Records and Reports
§2899.30. Separation of Nurses' Registry Records.
Note     •     History

NOTE

Authority cited: Section 9890.31, Business and Professions Code. Reference: Section 9890.97, Business and Professions Code.
HISTORY

1. Repealer filed 5-18-83; effective thirtieth day thereafter (Register 83, No. 21).
§2899.31. Log Sheets.
Note     •     History

NOTE

Authority cited: Section 9890.31, Business and Professions Code. Reference: Sections 9890.2, 9890.90 and 9890.98, Business and Professions Code.
HISTORY

1. Amendment filed 5-18-83; effective thirtieth day thereafter (Register 83, No. 21).
2. Renumbering and amendment of Section 2899.31 to Section 2896.2 filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
§2899.32. Annual Report.
History

HISTORY

1. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
§2899.33. Retention of Application Forms and Contracts.
Note     •     History

NOTE

Authority cited: Section 9890.31, Business and Professions Code. Reference: Sections 9890.98, 9890.99 and 9890.111, Business and Professions Code.
HISTORY

1. New section filed 10-17-74; effective thirtieth day thereafter (Register 74, No. 42).
2. Amendment filed 5-18-83; effective thirtieth day thereafter (Register 83, No. 21).
3. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
Article 5. Denial, Suspension and Revocation of Licenses
§2899.40. Substantial Relation Criteria.
Note     •     History

NOTE

Authority cited: Section 9890.31, Business and Professions Code. Reference: Section 475, et seq., Business and Professions Code.
HISTORY

1. New Article 5 (Sections 2899.40 and 2899.41) filed 5-1-75; effective thirtieth day thereafter (Register 75, No. 18).
2. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
§2899.41. Criteria for Rehabilitation.
History

HISTORY

1. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
Article 6. Complaint Handling Procedures
§2899.50. Complaint Defined.
Note     •     History

NOTE

Authority cited: Section 9890.31, Business and Professions Code. Reference: Sections 9890.31 and 9890.112, Business and Professions Code.
HISTORY

1. New Article 6 (Sections 2899.50-2899.55, not consecutive) filed 9-12-83; effective thirtieth day thereafter (Register 83, No. 39).
2. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
§2899.51. Complaint Submission Requirements.
Note     •     History

NOTE

Authority cited: Section 9890.31, Business and Professions Code. Reference: Sections 9890.31 and 9890.112, Business and Professions Code.
HISTORY

1. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
§2899.52. Complaint-Handling Procedures.
Note     •     History

NOTE

Authority cited: Section 9890.31, Business and Professions Code. Reference: Sections 129, 9890.31 and 9890.112, Business and Professions Code.
HISTORY

1. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
§2899.54. Complaint Disposition.
Note     •     History

NOTE

Authority cited: Section 9890.31, Business and Professions Code. Reference: Sections 129 and 9890.31, Business and Professions Code.
HISTORY

1. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
§2899.55. Notice to Licensees.
Note     •     History

NOTE

Authority cited: Section 9890.31, Business and Professions Code. Reference: Section 9890.31, Business and Professions Code.
HISTORY

1. Repealer filed 9-12-86; effective thirtieth day thereafter (Register 86, No. 37).
Division 29. Board for Geologists and Geophysicists
Article 1. General Provisions
§3000. Location of Offices.
Note     •     History

The principal office of the Board for Professional Engineers, Land Surveyors, and Geologists is located at 2535 Capitol Oaks Drive, Suite 300, Sacramento, California, 95833-2944.
NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Section 7818, Business and Professions Code.
HISTORY

1. New chapter 29 (sections 3000-3009, 3021-3024, 3031-3037 and 3041) filed 11-6-69; effective thirtieth day thereafter (Register 69, No. 45).
2. Amendment filed 1-24-74; effective thirtieth day thereafter (Register 74, No. 4).
3. Amendment filed 6-27-83; effective thirtieth day thereafter (Register 83, No. 27).
4. Change without regulatory effect amending section filed 11-30-92; operative 12-30-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 49).
5. Change without regulatory effect amending section filed 6-30-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 27).
6. Change without regulatory effect amending division heading and section filed 2-28-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 9).
7. Change without regulatory effect amending section filed 4-24-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 17).
8. Change without regulatory effect amending section filed 7-9-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 28).
9. Change without regulatory effect amending section filed 2-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 8).
§3001. Correspondence.
Note     •     History

All correspondence relating to the functions of the board including remittances and renewal fees shall be directed to the principal office of the board.
NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Section 7818, Business and Professions Code.
HISTORY

1. Amendment filed 6-27-83; effective thirtieth day thereafter (Register 83, No. 27).
§3002. Tenses, Gender and Number.

For the purposes of these rules and regulations, the present tense includes the past and the future tenses, and the future includes the present; the masculine gender includes the feminine, and the feminine, the masculine; and the singular includes the plural, and the plural, the singular.
§3003. Definitions.
Note     •     History

For the purposes of the rules and regulations contained in this chapter, the term:
(a) “Board” means the Board for Professional Engineers, Land Surveyors, and Geologists.
(b) “Engineering Geology” means the application of geologic data, principles and interpretation so that geologic factors affecting planning, design, construction and maintenance of civil engineering works are properly recognized and utilized.
(c) “Responsible Position” means a position whereby a person having individual control and direction of a geological project exercises individual initiative, skill and judgment in the investigation and interpretation of geological features, or the supervision of such projects. An individual can be considered to be in a responsible position even though not registered and working as a subordinate employee to a registered or qualified geologist.
(d) “Professional geological work” is work performed at a professional level rather than at a subprofessional or apprentice level and requires the application of scientific knowledge, principles and methods to geological problems through the exercise of individual initiative and judgment in investigating, measuring, interpreting and reporting on the physical phenomena of the earth. Implicit in this definition is the recognition of professional responsibility and integrity and the acknowledgment of minimal supervision.
“Professional geological work” specifically does not include such routine activities as drafting, sampling, sample preparation, routine laboratory work, etc., where the elements of initiative, scientific judgment and decision making are lacking, nor does it include activities which do not use scientific methods to process and interpret geologic data. Further, it specifically does not include soils engineering, soils sampling, soils testing or other activities in or related to the agricultural application of soils sciences. It also does not include mining, mining engineering or other engineering disciplines and/or other physical sciences wherein geological investigation, analysis and interpretation are minimal or lacking.
(e) “Professional geophysical work” is work performed at a professional level rather than at a subprofessional or apprentice level and requires the application of scientific knowledge, principles and methods to geophysical problems through the exercise of individual initiative and judgment in investigating, measuring, interpreting and reporting on the physical phenomena of the earth. Implicit in this definition is the recognition of professional responsibility and integrity and the acknowledgment of minimal supervision.
“Professional geophysical work” specifically does not include activities wherein the analysis or interpretation of geophysical or geological information is lacking. Such nonprofessional work could encompass party or crew chief and would encompass lesser forms of employment in field parties, the manufacture, assembly or maintenance and repair of geophysical instruments and equipment, computer programming, data processing or retrieval and routine activities normally performed by a technician in acquiring and reporting on geophysical information where the elements of initiative, scientific judgment and decision making are absent. It also does not include those engineering disciplines and other physical sciences wherein geophysical or geological investigation, analysis and interpretation are minimal or lacking.
(f) “Practice of Geology or Geophysics.”
(1) The practice of geology or geophysics “for others” includes but is not limited to the preparation of geologic or geophysical reports, documents or exhibits by any commission, board, department, district or division of the state or any political subdivision thereof or of any county, city or other public body or by the employees or staff members of such commission, board, department, district or division of the state or any political subdivision thereof or of any county, city or other public body when such reports, documents or exhibits are disseminated or made available to the public in such a manner that the public may reasonably be expected to rely thereon or be affected thereby.
(2) The practice of geology or geophysics “for others” includes but is not limited to the performance of geological or geophysical services by any individual, firm, partnership, corporation or other association or by the employees or staff members thereof, whether or not the principal business of such organization is the practice of geology or geophysics, when the geological or geophysical reports, documents or exhibits constituting the practice of geology or geophysics are disseminated or made available to the public or any individual or combination of individuals other than the employees or staff of such organization in such a manner that the public or said individual or combination of individuals may reasonably be expected to rely thereon or be affected thereby.
(3) Geological or geophysical reports, documents or exhibits which are prepared by the employees or staff members of any individual, firm, partnership, corporation or other association or commission, board, department, district, or division of the state or any political subdivision thereof or of any county, city or other public body which are for use solely within such organization are considered “in-house” reports, documents or exhibits and are not the practice of geology or geophysics for others unless or until such reports are disseminated or made available as set forth in subsection (1) or (2).
(g) “Code” means the Business and Professions Code.
(h) “Hydrogeology” means the application of the science of geology to the study of the occurrence, distribution, quantity and movement of water below the surface of the earth, as it relates to the interrelationships of geologic materials and processes with water, with particular emphasis given to groundwater quality.
NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Sections 7800, 7801, 7802, 7804, 7822, 7841 and 7841.1, Business and Professions Code.
HISTORY

1. Amendment of subsections (a) and (e) and new subsections (i) through (m) filed 1-24-74; effective thirtieth day thereafter (Register 74, No. 4).
2. New subsection (n) filed 6-13-75; effective thirtieth day thereafter (Register 75, No. 24).
3. Amendment filed 6-27-83; effective thirtieth day thereafter (Register 83, No. 27).
4. New subsection (g) filed 1-12-88; operative 2-11-88 (Register 88, No. 3).
5. New subsection (h) and amendment of Note filed 7-18-94; operative 8-17-94 (Register 94, No. 29).
6. Change without regulatory effect amending subsection (a) filed 2-28-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 9).
7. Change without regulatory effect amending subsections (a) and (e) and Note filed 7-9-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 28).
8. Change without regulatory effect amending subsection (a) filed 2-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 8).
§3004. Delegation of Certain Functions.
Note     •     History

(a) Whenever it is stated in these rules and regulations that the “board” may or shall exercise or discharge any power, duty, purpose, function, or jurisdiction, the board specifically has reserved the same for its own, exclusive action.
(b) Whenever it is stated the “executive officer” may or shall exercise or discharge any power, duty, purpose, function, or jurisdiction, the executive officer for the board has the authority to act thereon.
(c) Any real party in interest may appeal to the board for review of the actions and decisions of the executive officer.
(d) Nothing herein prohibits the executive officer from redelegating duties to his or her subordinates as provided in Section 18572 of the Government Code.
(e) The power and discretion conferred by law upon the board to receive and file accusations; issue notices of hearings, statements to respondent and statements of issues; receive and file notices of defense; determine the time and place of hearings under Section 11508 of the Government Code, issue subpoenas and subpoenas duces tecum, set and calendar cases for hearing and perform other functions necessary to the businesslike dispatch of the business of the board in connection with proceedings under the provisions of Section 11500 through 11528 of the Government Code prior to the hearing of such proceeding; and the certification and delivery or mailing of copies of decisions under Section 11518 of said code are hereby delegated to and conferred upon the executive officer, or, in his or her absence from the office of the board, his or her designee.
NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Section 7818, Business and Professions Code.
HISTORY

1. New NOTE filed 6-27-83; effective thirtieth day thereafter (Register 83, No. 27).
2. Change without regulatory effect amending subsections (b)-(e) filed 6-30-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 27).
§3005. Fees.
Note     •     History

(a) All fees required by provisions of the code and rules of the board shall be transmitted by money order, bank draft or check, payable to the Department of Consumer Affairs.
(b) Fees.
The following schedule of fees is hereby adopted pursuant to Section 7887 of the Code:

(1) Each application for registration as a geologist or a 
geophysicist	$250.00

(2) Each application for registration as a specialty geologist
or specialty geophysicist	 $250.00

(3) The temporary registration fee for a geologist, 
geophysicist or specialty geologist or specialty geophysicist	$80.00

(4) Each examination including both sections of the national
examination and the California specific supplemental
examination for registration as a geologist	$300.00

(5) Each examination including only the practice of 
geology portion of the national examination for registration 
as a geologist	$150.00

(6) Each examination including only the fundamentals of 
geology portion of the national examination for registration 
as a geologist	$150.00

(7) Each examination including only the practice of 
geology portion of the national examination and the 
supplemental examination covering California specific subjects 
for registration as a geologist	 $250.00

(8) Each examination including only the fundamentals of 
geology portion of the national examination and the 
supplemental examination covering California specific 
subjects for registration as a geologist	$250.00

(9) Each supplemental examination covering California 
specific subjects for registration as a geologist	$100.00

(10) Each examination for registration as a 
geophysicist	$100.00

(11) Each examination for registration as a specialty geologist 
or specialty geophysicist	$100.00

(12) The duplicate certificate fee	 $6.00

(13) The renewal fee for a geologist or for a 
geophysicist	$270.00

(14) The renewal fee for a specialty geologist or for a specialty
geophysicist	 $67.50
(15) The delinquency fee for renewal of certificate of registration as a geologist or geophysicist or certification as a specialty geologist or specialty geophysicist is 50% of the renewal fee in effect on the last regular renewal date.
(c) When transmitted through the mail, fees required under provisions of this rule shall be deemed filed on the date shown by the post office cancellation mark appearing on the envelope containing the fee.
(d) An applicant for registration as a geologist or geophysicist or an applicant for certification as a specialty geologist or specialty geophysicist who fails an examination shall pay only the examination fees pursuant to subsections (b)(4), (5), (6), (7), (8), (9), (10) and (11) to reapply to take the examination within four years of the failed examination.
NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Section 7887, Business and Professions Code.
HISTORY

1. Amendment of subsection (b) filed 5-6-76; effective thirtieth day thereafter (Register 76, No. 19). For prior history, see Register 74, No. 4.
2. Amendment of subsection (b) filed 3-21-80; effective thirtieth day thereafter (Register 80, No. 12).
3. Amendment of subsection (b) filed 1-7-82; effective thirtieth day thereafter (Register 82, No. 2).
4. Amendment of subsection (b) filed 1-26-83; effective thirtieth day thereafter (Register 83, No. 5).
5. Amendment of subsection (b) filed 1-12-88; operative 2-11-88 (Register 88, No. 3).
6. Amendment of subsection (b)(1) filed 8-13-90; operative 9-1-90 (Register 90, No. 41).
7. Amendment of subsections (b)(1)-(6) filed 1-14-92; operative 2-13-92 (Register 92, No. 12).
8. Amendment filed 8-24-99; operative 9-23-99 (Register 99, No. 35).
9. Amendment of subsection (b)(5), new subsections (b)(6)-(7) and subsection renumbering filed  8-11-2000 as an emergency; operative 8-11-2000 (Register 2000, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-11-2000 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 8-11-2000 order transmitted to OAL 8-4-2000 and filed 9-14-2000 (Register 2000, No. 37).
11. Change without regulatory effect amending subsection (a) filed 2-28-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 9).
12. Amendment filed 9-10-2001; operative 10-10-2001 (Register 2001, No. 37).
13. Amendment of subsections (b)(4), (b)(6) and (b)(8) filed 12-13-2005; operative 1-12-2006 (Register 2005, No. 50).
14. Amendment of subsections (b)(13)-(14) filed 12-27-2005; operative 1-26-2006 (Register 2005, No. 52).
15. Change without regulatory effect amending subsection (a) filed 7-9-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 28).
§3006. Meetings. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Section 7816, Business and Professions Code.
HISTORY

1. Amendment filed 6-27-83; effective thirtieth day thereafter (Register 83, No. 27).
2. Change without regulatory effect amending subsection (b) filed 6-30-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 27).
3. Change without regulatory effect repealing section filed 7-9-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 28).
§3007. Committees. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Sections 7823 and 7824, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 3-6-80; effective thirtieth day thereafter (Register 80, No. 10).
2. Amendment of NOTE filed 6-27-83; effective thirtieth day thereafter (Register 83, No. 27).
3. Change without regulatory effect repealing section filed 7-30-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 31).
§3008. Seal.
Note     •     History

(a) The seal authorized by Section 7852 of the Code may be purchased by the registrant from any convenient source. It shall be of the design shown here and shall be not less than one and one-half (1 1/2) inches in diameter.

View Graphic
(b) The certified specialty geologist seal shall be of the design shown here and shall be not less than one and one-half (1 1/2) inches in diameter.

View Graphic
(c) The seal authorized by Section 7852.1 may be purchased by the registrant from any convenient source. It shall be of the design shown here and shall not be less than one and one-half (1 1/2) inches in diameter.

View Graphic
(d) The seals authorized by Section 7852 and Section 7852.1 shall not be used on a Real Estate Transfer Disclosure Statement required by Section 1102.6 of the Civil Code. However the seals authorized by Sections 7852 and 7852.1 shall be used on any geologic or geophysical report or opinion, dealing with matters within the scope of the professional's license and expertise, if said report or opinion is attached separately as a substituted disclosure pursuant to a Real Estate Transfer Disclosure Statement required by Section 1102.6 of the Civil Code.
NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Sections 7835, 7852 and 7852.1, Business and Professions Code.
HISTORY

1. New subsection (b) filed 2-23-71; effective thirtieth day thereafter (Register 71, No. 9).
2. New subsection (c) filed 1-24-74; effective thirtieth day thereafter (Register 74, No. 4).
3. Editorial correction (Register 76, No. 41).
4. New NOTE filed 6-27-83; effective thirtieth day thereafter (Register 83, No. 27).
5. New subsection (d) filed 9-5-2001; operative 10-5-2001 (Register 2001, No. 36).
6. Change without regulatory effect updating seals in subsections (a) and (b) filed 1-21-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 3).
7. Change without regulatory effect amending subsection (c) filed 2-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 8).
§3009. Address Change.
Note     •     History

Each person who is an applicant for registration or a holder of a certificate of registration, license or permit from the board shall notify the board at its Sacramento office within 60 days of any and all changes, giving both his or her old and new address.
NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Section 7815, Business and Professions Code.
HISTORY

1. New NOTE filed 6-27-83; effective thirtieth day thereafter (Register 83, No. 27).
2. Change without regulatory effect amending section filed 6-30-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 27).
Article 2. Applications
§3021. Applications.
Note     •     History

Applications for registration as a geologist, certified specialty geologist, or geophysicist shall be:
(a) Filed on a form prescribed by the board, accompanied by the required application fee and examination fee.
(b) Filed with the board at least one hundred (100) days prior to the scheduled examination. All documentation in support of the applications shall be submitted to the board within seventy (70) days prior to the scheduled examination. Applications and supporting documentation not received by the board within the timeframes specified shall not be considered for that examination. An application mailed to the board shall be deemed filed on the date shown by the post office cancellation mark appearing on the envelope.
(c) An application which is not submitted in proper form will not be accepted by the board and will be returned by the executive officer with a statement of the reason therefor.
NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Section 7841, Business and Professions Code.
HISTORY

1. Amendment of subsections (a) and (b) (2) filed 1-24-74; effective thirtieth day thereafter (Register 74, No. 4).
2. Amendment of subsection (a)(1) filed 6-13-75; effective thirtieth day thereafter (Register 75, No. 24).
3. Amended filed 6-27-83; effective thirtieth day thereafter (Register 83, No. 27).
4. Change without regulatory effect amending subsection (c) filed 6-30-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 27).
5. Amendment of subsections (a)-(b) filed 8-24-99; operative 9-23-99 (Register 99, No. 35).
6. Change without regulatory effect amending first paragraph filed 2-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 8).
§3022. Right of Appeal. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Section 7855, Business and Professions Code.
HISTORY

1. Repealer filed 6-27-83; effective thirtieth day thereafter (Register 83, No. 27).
§3023. Date of Education and Experience.
Note     •     History

The qualifying education and experience for examination and registration as a geologist or geophysicist or certification as a specialty geologist or specialty geophysicist shall include the one hundred (100) days provided in Section 3021 for processing and acceptance of the application by the board prior to the date of the examination. The applicant shall promptly give written notice to the board in the event the applicant's work situation changes and the one hundred (100) days from the final filing date of the application to the examination date credited for qualifying education and experience, or the portion that is required for qualification, are not performed.
NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Sections 7841 and 7841.1, Business and Professions Code.
HISTORY

1. Amendment filed 6-13-75; effective thirtieth day thereafter (Register 75, No. 24).
2. New NOTE filed 6-27-83; effective thirtieth day thereafter (Register 83, No. 27).
3. Amendment filed 8-24-99; operative 9-23-99 (Register 99, No. 35).
§3024. Abandoned Applications.
Note     •     History

(a) In the absence of special circumstances, the board shall consider an application abandoned when:
(1) The applicant fails to submit a registration fee within 6 months of the date of the letter of notification that the application has been received and approved or
(2) The applicant fails to appear for a scheduled examination without obtaining a postponement from the board prior to the date of the examination or without scheduling to take the examination within  the next two subsequent examinations as follows:
(A) An applicant for registration as a geologist shall obtain a postponement no later than fifty (50) days prior to the date of the examination.
(B) An applicant for registration as a geophysicist or certification as a specialty geologist or specialty geophysicist shall obtain a postponement no later than fifteen (15) days prior to the date of the examination, or
(3) The applicant fails to respond within 6 months of a board request for additional information concerning the applicant's educational background or professional geological or geophysical work experience.
(b) An applicant may be granted an emergency postponement not less than five days prior to such examination by the board for good cause.
(c) The application fee will be retained by the board when an application has been declared abandoned.
(d) In the event an applicant fails to appear for a scheduled examination without obtaining a postponement from the board, the board shall retain a portion of the examination fee as follows:
(1) For failure to appear as scheduled for two sections of the national examination the board shall retain $75.00 of the examination fee.
(2) For failure to appear as scheduled for one section of the national examination, the board shall retain $50.00 of the examination fee.
(3) For failure to appear as scheduled for an examination for registration as a geophysicist or certified engineering geologist or certified hydrogeologist, the Board shall retain $25.00 of the examination fee.
NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Sections 7818 and 7841.1, Business and Professions Code.
HISTORY

1. Amendment of subsection (a) filed 1-26-83; effective thirtieth day thereafter (Register 83, No. 5).
2. Amendment of NOTE filed 6-27-83; effective thirtieth day thereafter (Register 83, No. 27).
3. Amendment filed 8-24-99; operative 9-23-99 (Register 99, No. 35).
4. Amendment of subsection (a)(2), repealer of subsection (a)(3), subsection renumbering and new subsections (d)-(d)(3) filed 9-18-2000; operative 10-18-2000 (Register 2000, No. 38).
§3025. Unqualified Specialty Geologists Applicant; Refund of Fee. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Sections 158 and 7851, Business and Professions Code.
HISTORY

1. New section filed 1-26-83; effective thirtieth day thereafter (Register 83, No. 5).
2. Repealer filed 1-14-92; operative 2-13-92 (Register 92, No. 12).
§3026. Unqualified Applicant: Refund of Examination Fee.
Note     •     History

If an applicant for registration as a geologist or geophysicist or certification as a specialty geologist or specialty geophysicist is found by the Board to lack the qualifications required for admission to the examination for such registration, the board shall refund to the applicant the amount of the applicant's examination fee only.
NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Sections 7822, 7841, 7841.1, 7842 and 7887, Business and Professions Code.
HISTORY

1. New section filed 8-24-99; operative 9-23-99 (Register 99, No. 35).
§3028. Review of Applications.
Note     •     History

(a) Within one hundred twenty (120) days after receipt of an application, the board shall inform the candidate in writing whether the application is complete and accepted for filing or that it is deficient and what specific information or documentation is required to complete the application.
(b) The board shall render a decision concerning a candidate's written examination results within three hundred thirty (330) days after the filing of a completed application for written examination. This processing time applies to those candidates who submit their completed written examination application on the examination filing deadline.
(c) The following time frame shall apply to applications for registration under section 7847, when no examination is required.
(1) Within ninety (90) days of receipt of an application the board shall inform the applicant in writing that the application is either complete or that it is deficient and what specific information or document is required to complete the application.
(2) Within two hundred seventy (270) calendar days after the date of filing an application, the board shall make a decision on the application for registration.
NOTE

Authority cited: Section 7818, Business and Professions Code; Section 15376, Government Code. Reference: Section 15376, Government Code.
HISTORY

1. New section filed 8-10-90, operative 9-10-90 (Register 90, No. 41).
2. Change without regulatory effect repealing first paragraph filed 6-30-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 27).
3. Change without regulatory effect amending subsection (c)(1) filed 7-7-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 28).
§3029. Processing Times.
Note     •     History

(a) The minimum, median and maximum process time for an application from the time of receipt of the completed application until the board makes a decision thereon concerning an applicant's eligibility to take an examination is set forth below.
Minimum - 41 days
Median - 113 days
Maximum - 239 days
(b) The minimum, median and maximum processing times for written examination results from the time of receipt of a completed application until the board makes a decision thereon is set forth below:
Minimum - 175 days
Median - 202 days
Maximum - 236 days
These processing times apply to those candidates who submit a completed written examination application on the examination filing deadline.
(c) The minimum, median and maximum process time for an application filed under section 7847 from the time of receipt of an application until the applicant is informed in writing that the application is complete or that it is deficient and what specific information or documents are required to complete the application is set forth below.
Minimum - 30 days 
Median - 60 days 
Maximum - 90 days 
(d) The minimum, median and maximum process time for an application filed under section 7847 from the time of receipt of the completed application until the board makes a decision thereon concerning an applicant's eligibility to be registered under that section is set forth below.
Minimum - 30 days
Median - 150 days
Maximum - 270 days
NOTE

Authority cited: Section 7818, Business and Professions Code; Section 15376, Government Code. Reference: Section 15376, Government Code.
HISTORY

1. New section filed 8-10-90; operative 9-10-90 (Register 90, No. 41).
Article 3. Examinations
§3031. Examination Required.
Note     •     History

(a) Every applicant for registration as a geologist shall be required to take and pass examinations as provided in Section 7841(d) of the code or every applicant for registration as a geophysicist, or every applicant for certification in any specialty, shall be required to take and pass an examination as prescribed by the board except as provided in Section 7847 of the code.
(b) To be eligible for the geological examination, an applicant shall have completed at least five years of educational and work experience in professional geological work, as set forth in subdivisions (b) and (c) of Section 7841 of the code.
(1) Graduate study or research in geological sciences at a school or university whose geological curricula meet criteria established by rules of the board, shall be counted on a year-for-year basis in computing the experience requirements specified in Section 7841 of the code. A year of graduate study or research is defined as being a 12 calendar month period during which the candidate is enrolled in a full-time program of graduate study or research. Shorter periods will be prorated.
(2) An applicant shall not be eligible to earn credit for professional geological work performed under the supervision of a professional geologist or registered civil or petroleum engineer until the applicant has completed the educational requirements set forth in subdivision (b) of Section 7841 of the code.
(3) In no case will credit be given for professional geological work experience performed during the same time period when full-time graduate study or research is being done for which educational experience credit is being allowed. Part-time graduate study or research and part-time professional geological work experience will be prorated and combined on a 12 calendar month basis.
(c) To be eligible for the geophysical examination, an applicant shall have completed at least seven years of educational and work experience in professional geophysical work, as set forth in subdivisions (b) and (c) of Section 7841.1 of the code.
(1) Graduate study or research in geophysical related sciences at a school or university whose geophysical curricula meet criteria established by rules of the board, shall be counted on a year-for-year basis in computing the experience requirements specified in Section 7841.1 of the code. A year of graduate study or research is defined as being a 12 calendar month period during which the candidate is enrolled in a full-time program of graduate study or research. Shorter periods will be prorated.
(2) An applicant shall not be eligible to earn credit for professional geophysical work performed under the supervision of a professional geophysicist until the applicant has completed the educational requirements set forth in subdivision (b) of Section 7841.1 of the code.
(3) In no case will credit be given for professional geophysical work experience performed during the same time period when full-time graduate study or research is being done for which educational experience credit is being allowed. Part-time graduate study or research and part-time professional geophysical work experience will be prorated and combined on a 12 calendar month basis.
(d) Every applicant for registration as a geologist who obtains a passing score determined by a recognized criterion-referenced method of establishing the pass point in the California examination shall be deemed to have passed the California examination. Such a passing score may vary moderately with changes in test composition. This subsection shall become effective on December 1, 1998, and shall be repealed on December 31, 1999.
(e) Each applicant for registration as a geologist who obtains a passing score on the Fundamentals of Geology and Practice of Geology examinations created by the National Association of State Boards of Geology on or after November 1, 1996 and obtains a passing score as determined by a recognized criterion-referenced method of establishing the pass point in the California specific examination pursuant to Section 7841(d) shall be deemed to have passed the required examinations for licensure as a professional geologist in California. This subsection shall become effective on January 1, 2000.
(1) Candidates shall receive credit for obtaining a passing score on the Fundamentals of Geology examination, the Practice of Geology examination and the California specific examination and shall be required to submit an application to retake and pass only those examinations previously failed.
(f) Every applicant for registration as a geophysicist or for certification in any specialty, who obtains a passing score determined by a recognized criterion-reference method of establishing the pass point in the California examination shall be deemed to have passed the California examination. Such a passing score may vary moderately with changes in test composition.
NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Sections 7841 and 7841.1, Business and Professions Code.
HISTORY

1. Amendment filed 1-24-74; effective thirtieth day thereafter (Register 74, No. 4).
2. New subsections (b)(3)(D) and (c)(3)(D) filed 6-13-75; effective thirtieth day thereafter (Register 75, No. 24).
3. Amendment filed 6-8-88; operative 7-8-88 (Register 88, No. 25).
4. Amendment of subsections (d) and (e) and new subsection (f) filed 12-23-97; operative 12-1-98 (Register 97, No. 52).
5. Editorial correction of subsection (a) (Register 98, No. 9).
6. Amendment filed 8-24-99; operative 9-23-99 (Register 99, No. 35).
7. New subsection (e)(1) filed  8-11-2000 as an emergency; operative 8-11-2000 (Register 2000, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-11-2000 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 8-11-2000 order transmitted to OAL 8-4-2000 and filed 9-14-2000 (Register 2000, No. 37).
9. Change without regulatory effect amending subsections (b), (b)(2) and (e) filed 1-21-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 3).
10. Change without regulatory effect amending subsection (c)(2) filed 2-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 8).
§3032. Regular Written Examination.
Note     •     History

(a) The regular written examination for registration as a geologist, geophysicists, or for certification in a specialty shall be held not less than once nor more than twice each calendar year.
(b) The executive officer shall publish annually, not later than October 1st of each calendar year, a schedule of examinations for the following year.
(c) Whenever circumstances warrant, the board may postpone, advance, or otherwise change the examination schedule previously published.
NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Section 7844, Business and Professions Code.
HISTORY

1. Amendment filed 2-23-71; effective thirtieth day thereafter (Register 71, No. 9).
2. Amendment filed 1-24-74; effective thirtieth day thereafter (Register 74, No. 4).
3. New NOTE filed 6-27-83; effective thirtieth day thereafter (Register 83, No. 27).
4. Change without regulatory effect amending subsection (b) filed 6-30-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 27).
§3033. Examination Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Section 7894, Business and Professions Code.
HISTORY

1. Repealer filed 6-27-83; effective thirtieth day thereafter (Register 83, No. 27).
§3034. Authorization to Take Examination. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Section 7894, Business and Professions Code.
HISTORY

1. Repealer filed 6-27-83; effective thirtieth day thereafter (Register 83, No. 27).
§3035. Examination Irregularities.
Note     •     History

(a) Examinees are forbidden to receive any unauthorized assistance during the examination. Communication between examinees or possession of unauthorized matter or devices during the examination is strictly prohibited.
(b) Only scheduled examinees, board members, the executive officer and authorized examination personnel shall be admitted to the examination room.
NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Section 7844, Business and Professions Code.
HISTORY

1. New NOTE filed 6-27-83; effective thirtieth day thereafter (Register 83, No. 27).
2. Change without regulatory effect amending subsection (b) filed 6-30-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 27).
§3036. Inspection of Examination Until December 1, 1998. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Sections 7818 and 7844, Business and Professions Code.
HISTORY

1. New NOTE filed 6-27-83; effective thirtieth day thereafter (Register 83, No. 27).
2. Amendment of subsection (a) filed 1-14-92; operative 2-13-92 (Register 92, No. 12).
3. Amendment of section heading and section filed 12-23-97; operative 12-1-98 (Register 97, No. 52).
4. Repealer filed 8-24-99; operative 9-23-99 (Register 99, No. 35).
§3036.1. Inspection of Geophysicist or Specialty Geologist or Specialty Geophysicist Examination.
Note     •     History

(a) An applicant for registration as a geophysicist or certification as a specialty geologist or specialty geophysicist who obtains a failing score of 10 percentage points or less below the passing score established by the criterion-referenced pass point method on the written examination may inspect the applicant's examination papers at such times and locations as may be designated by the executive officer. Inspection of such examination papers shall be permitted within 60 days after receipt of notice by the applicant of the applicant's failure to pass the examination. Applicants who score more than 10 percentage points below the established criterion-referenced pass point shall not be allowed to inspect their examinations.
(b) At the time of inspection, no one other than the examinee or the applicant's attorney and a representative of the board shall have access to such examination papers.
NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Sections 7818 and 7844, Business and Professions Code.
HISTORY

1. New section filed 12-23-97; operative 12-1-98 (Register 97, No. 52).
2. Amendment of section heading and section filed 8-24-99; operative 9-23-99 (Register 99, No. 35).
§3036.2. Inspection of Geologist Examination.
Note     •     History

(a) An applicant for registration as a geologist who obtains a failing score of 10 percentage points or less below the passing score established by the criterion-referenced pass point method on the written examination may inspect the applicant's examination papers at such times and locations as may be designated by the executive officer. Inspection of such examination papers shall be permitted within 60 days after receipt of notice by the applicant of the applicant's failure to pass the examination. Applicants who score more than 10 percentage points below the established criterion-referenced pass point shall not be allowed to inspect their examinations.
(b) At the time of inspection, no one other than the examinee or the applicant's attorney and a representative of the board shall have access to such examination papers.
This section shall be repealed on December 31, 1999.
NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Sections 7818 and 7844, Business and Professions Code.
HISTORY

1. New section filed 8-24-99; operative 9-23-99 (Register 99, No. 35).
§3037. Examination Appeal Until December 1, 1998. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Section 7844, Business and Professions Code.
HISTORY

1. New NOTE filed 6-27-83; effective thirtieth day thereafter (Register 83, No. 27).
2. Amendment of subsection (a) filed 1-14-92; operative 2-13-92 (Register 92, No. 12).
3. Amendment of section heading, new last paragraph, and amendment of Note filed 12-23-97; operative 12-1-98 (Register 97, No. 52).
4. Repealer filed 8-24-99; operative 9-23-99 (Register 99, No. 35).
§3037.1. Geophysicist or Specialty Geologist or Specialty Geophysicist Examination Appeal.
Note     •     History

(a) At the time of inspection of an applicant's examination papers as provided in section 3036.1, an applicant for registration as a geophysicist or certification as a specialty geologist or specialty geophysicist who obtained a failing score of 10 percentage points or less below the passing score established by the criterion-referenced pass point method on the examination may appeal to the board for a review of the applicant's examination papers. Applicants who score more than 10 percentage points below the established criterion-referenced pass point shall not be eligible to appeal their examination results.
(b) The appeal for a review shall be made in writing stating the reason for such appeal and citing the item or items against which the request is directed.
NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Section 7844, Business and Professions Code.
HISTORY

1. New section filed 12-23-97; operative 12-1-98 (Register 97, No. 52).
2. Amendment of section heading and section filed 8-24-99; operative 9-23-99 (Register 99, No. 35).
§3065. Professional Standards and Code of Professional Conduct -- Professional Geology and Geophysics.
Note     •     History

To protect and safeguard the health, safety, welfare, and property of the public, and California's environmental quality, every person who is licensed by the Board for Professional Engineers, Land Surveyors, and Geologists (Board) as a professional geologist or professional geophysicist, including licensees employed in any manner by a governmental entity or in private practice, shall comply with the professional standards in this section. A violation of any of the following professional standards shall constitute unprofessional conduct and shall be sufficient grounds for disciplinary action.
(a) Compliance with Applicable Law:
A licensee shall provide all geologic and geophysical services in a manner consistent with applicable laws, codes, ordinances, rules and regulations. A licensee may obtain and rely upon the knowledge and advice of other professionals (e.g., architects, attorneys, professional engineers, other professional geologists and geophysicists, land surveyors, and other qualified persons) concerning the intent and meaning of such laws, codes, and regulations.
(b) Competence:
(1) Licensed geologists or licensed geophysicists (together with those whom the licensee may engage as consultants) shall perform or offer to perform only those professional services for which they are qualified by education, training, experience, and licensure as required by law, in the specific technical and scientific areas involved.
(2) When practicing geology or geophysics, a licensee shall act with competence and reasonable care, and shall apply the technical knowledge and skill which is ordinarily practiced by licensees in good standing, practicing in this state under similar circumstances and conditions.
(c) Representations:
(1) A licensee shall not misrepresent or permit the misrepresentation of his or her professional qualifications, affiliations; or purposes, or those of the institutions, organizations or other businesses with which they are associated.
(2) A licensee may advertise or solicit those professional services for which he or she is authorized by licensure, provided such services are within his or her field of competence.
(3) A licensee shall not misrepresent his or her qualifications to a prospective or existing client or employer.
(4) A licensee shall not misrepresent to a prospective or existing client, the licensee's scope of responsibility in connection with those professional services for which the licensee is receiving or will receive compensation, whether directly or indirectly. Specifically, a licensee who represents that a project was completed under his or her responsible charge (i.e., stamped and/or signed) must also have maintained responsible charge of the work.
(5) A licensee shall only express professional opinions which have a basis in fact, are within the scope of the licensee's own experience or knowledge, and are generally accepted geologic or geophysical principles.
(6) A licensee shall attribute proper credit to others for their professional work or professional contribution, and shall not misappropriate the professional work of others.
(7) A licensee shall not knowingly permit the publication or use of his or her data, reports, maps, plans, or other professional documents for any unlawful purpose.
(8) A licensee shall not falsely or maliciously attempt to injure, impugn or, in fact injure the professional reputation or business of others.
(9) A licensee shall not misrepresent data or its relative significance in any geologic or geophysical work product or oral conveyance of his or her professional opinion.
(10) A licensee shall not misrepresent or conceal the scope of his or her professional responsibility in connection with those professional services for which the licensee is claiming any responsibility or credit, or for which the licensee is receiving any compensation.
(11) When providing information to the Board pursuant to another's application for licensure to practice professional geology or geophysics, a licensee shall accurately represent his or her knowledge of the applicant's qualifications and qualifying experience.
(d) Conflict of Interest:
(1) A licensee shall not concurrently engage in any other business, occupation or have a financial interest in any entity that may impair his or her independent judgment, objectivity; or which may create a conflict of interest in rendering his or her professional services.
(2) A licensee shall not accept compensation for his or her professional services from more than one party on any project, endeavor, or proceeding unless the circumstances are fully disclosed and agreed to in writing by all concerned parties.
(3) If a licensee has any business association or financial interest which is substantial enough to influence his or her judgment in connection with the performance of professional services, the licensee shall fully disclose in writing to his or her client(s) or employer(s) the nature of the business association or financial interest. If the client(s) or employer(s) object(s) to such association or financial interest, the licensee shall either terminate such association or interest, or offer to give up the project or employment.
(4) A licensee shall not solicit or accept payments, rebates, refunds, commissions, or compensation, whether in the form of money or otherwise from other professionals, contractors, suppliers of material, systems or equipment in return for specifying their products or professional services to a client or employer of the licensee.
(e) Confidential Information:
As used in this section, “confidential information” means all information, specifically identified as confidential by the licensee's client, employer, representative, or other related entity. Confidential information obtained by a licensee in his or her professional capacity, shall not be disclosed by the licensee without prior permission, except under the following specific conditions:
(1) disclosures made in response to a subpoena or summons enforceable by an order of a court;
(2) disclosures made in response to an official inquiry from a governmental regulatory agency;
(3) disclosures made by a licensee to another licensee to the extent necessary for purposes of professional consultation;
(4) disclosures made when required by law, code, or regulation.
(5) disclosures made upon discovery of a hazard within the licensee's field of professional expertise, which, in the licensee's professional opinion, is a threat to the health, safety and welfare of the public.
(6) disclosures made when providing evidence to the Board concerning another licensee or unlicensed individual, who may have violated any part of the Geologist and Geophysicist Act or this Section;
(7) disclosures made regarding alleged illegal conduct; or
(8) disclosures made in an adjudicatory proceeding or pursuant to an order of the court.
(f) Document Submittal
(1) A licensee shall not misrepresent the completeness of any professional geologic or geophysical document submitted to any governmental or regulatory agency.
(2) A licensee shall not misrepresent the completeness of any professional geologic or geophysical document prepared for his or her client, employer, or other involved party.
NOTE

Authority cited: Sections 7818 and 7860(c)(3), Business and Professions Code. Reference: Section 7860(c)(3), Business and Professions Code.
HISTORY

1. New section filed 9-27-99; operative 10-27-99 (Register 99, No. 40).
2. Editorial correction of subsection (b)(2) designator and subsection (c)(4) (Register 99, No. 45).  
3. Amendment of section heading, section and Note filed 3-26-2008; operative 4-25-2008 (Register 2008, No. 13).
4. Editorial correction establishing correct subsection hierarchy and correcting typographical errors in subsections (c)(8) and (d)(3) (Register 2008, No. 18).
5. Editorial correction of subsection (d)(3) (Register 2008, No. 21).
6. Change without regulatory effect amending first paragraph and subsection (d)(1) filed 7-9-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 28).
7. Change without regulatory effect amending first paragraph filed 2-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 8).
§3072.2. Geologist Examination Appeal Until January 1, 2000.
Note     •     History

(a) At the time of inspection of an applicant's examination papers as provided in section 3036.1, an applicant for registration as a geologist who obtained a failing score of 10 percentage points or less below the passing score established by the criterion-referenced pass point method on the examination may appeal to the board for a review of the applicant's examination papers. Applicants who score more than 10 percentage points below the established criterion-referenced pass point shall not be eligible to appeal their examination results.
(b) The appeal for a review shall be made in writing stating the reason for such appeal and citing the item or items against which the request is directed.
This section shall be repealed on December 31, 1999.
NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Section 7844, Business and Professions Code.
HISTORY

1. New section filed 8-24-99; operative 9-23-99 (Register 99, No. 35).
Article 4. Specialties
§3041. Specialty in Engineering Geology.
Note     •     History

Only a professional geologist is eligible for certification in a specialty. Application may be submitted for both registration as a geologist and for certification in a specialty at the same time, but the applicant must be approved for registration as a geologist before being considered for certification in a specialty. The certification in a specialty is, in every case, dependent upon the approval of registration as a geologist.
(a) The specialty of “Engineering Geology” is hereby created as a division of the certification of registration as a geologist.
In addition to the provisions of Section 7842 of the Code, an applicant for certification in the specialty of “Engineering Geology” shall:
(1) Be registered as a geologist in the State of California.
(2) Have a knowledge of:
(A) Geology of the State of California.
(B) Geologic factors relating to Civil Engineering problems typically encountered in the State.
(C) Elementary soil and rock mechanics.
(D) Principles of grading codes and other pertinent regulations. (Appendix Chapter 33, 1997 Uniform Building Code).
Experience in engineering geology used to qualify for registration as a geologist may also be used to qualify for certification as an engineering geologist.
In addition to the above, an applicant shall submit three references from qualified engineering geologists, and may be required, in the board's discretion, to submit one or more engineering geology reports prepared mainly or wholly by the applicant.
NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Sections 7804, 7822, 7841 and 7842, Business and Professions Code.
HISTORY

1. Amendment filed 1-7-72; effective thirtieth day thereafter (Register 72, No. 2).
2. Amendment filed 3-30-81; effective thirtieth day thereafter (Register 81, No. 14).
3. Amendment filed 6-27-83; effective thirtieth day thereafter (Register 83, No. 27).
4. Amendment of subsection (b)(2)(D) filed 8-24-99; operative 9-23-99 (Register 99, No. 35).
5. Change without regulatory effect amending first paragraph filed 1-21-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 3).
§3042. Specialty in Hydrogeology.
Note     •     History

(a) A specialty in “Hydrogeology” is hereby created as a division of the certification of registration as a geologist. The creation of the certification in hydrogeology is established to protect the health, safety and welfare of the people of the State of California.
(b) In addition to the provisions of section 7842 of the Code, an applicant for certification in the specialty of “hydrogeology” shall comply with the following:
(1) Be registered as a geologist in the State of California.
(2) Have a knowledge of and experience in:
(A) Geology of the State of California.
(B) Geologic factors relating to the water resources of this State.
(C) Principles of groundwater hydraulics/hydrology and groundwater quality including the vadose zone.
(D) Applicable federal, state and local rules and regulations.
(E) Principles of water well, monitoring well, disposal well, and injection well construction.
(F) Elementary soil and rock mechanics in relation to groundwater, including the description of rock and soil samples from wells.
(G) Interpretation of borehole logs as they relate to porosity, hydraulic conductivity or fluid character.
(c) Experience in hydrogeology used to qualify for registration as a geologist may also be used to qualify for certification as a hydrogeologist.
(d) An applicant for certification as a hydrogeologist shall submit, with the applicant's application, three (3) references from either certified hydrogeologists or professional geologists who have a minimum of five years' experience in responsible charge of hydrogeological work. An applicant may also be required to submit one or more hydrogeology reports which were prepared by the applicant or the applicant was closely associated with during its preparation.
(e) A civil engineer registered to practice engineering in this state, under Chapter 7 (commencing with Section 6700) of Division 3 of the Business and Professions Code, insofar as he or she practices civil engineering is exempt from the provisions for certification as a hydrogeologist.
NOTE

Authority cited: Sections 7818 and 7822, Business and Professions Code. Reference: Sections 7804, 7822, 7841 and 7842, Business and Professions Code.
HISTORY

1. New section filed 7-18-94; operative 8-17-94 (Register 94, No. 29).
2. Amendment of subsections (b)(2)(C) and (b)(2)(G), new subsection (c), subsection relettering, and amendment of newly designated subsection (d) filed 8-24-99; operative 9-23-99 (Register 99, No. 35).
3. Change without regulatory effect amending subsection (d) filed 1-21-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 3).
Article 5. Denial, Suspension and Revocation of Registration
§3060. Substantial Relationship Criteria.
Note     •     History

For the purpose of denial, suspension, or revocation of the registration of a geologist, specialty geologist, geophysicists or specialty geophysicists pursuant to Division 1.5 (commencing with Section 475) of the Business and Professions Code, a crime or act shall be considered substantially related to the qualifications, functions, and duties of a geologist, specialty geologist, geophysicists or specialty geophysicists if to a substantial degree it evidences present or potential unfitness of such geologist or geophysicists to perform the functions authorized by his registration in a manner consistent with the public health, safety or welfare. Such crimes or acts shall include, but not be limited to, the following:
(a) Any violation of the provisions of Chapter 12.5 of Division 3 of the Business and Professions Code.
NOTE

Authority cited: Sections 481 and 7818, Business and Professions Code. Reference: Sections 481, 490, and 7860, Business and Professions Code.
HISTORY

1. New Article 5 (Section 3060) filed 1-24-74; effective thirtieth day thereafter (Register 74, No. 4).
2. Repealer and new section filed 6-13-75; effective thirtieth day thereafter (Register 75, No. 24).
3. Amendment of NOTE filed 6-27-83; effective thirtieth day thereafter (Register 83, No. 27).
§3061. Criteria for Determining Rehabilitation or Appropriate Discipline.
Note     •     History

(a) When considering the denial of the registration of a geologist, specialty geologist, geophysicists or specialty geophysicists under Section 480 of the Code, the board, in evaluating the rehabilitation of the applicant and his or her present eligibility for registration, will consider the following criteria:
(1) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the Code.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(5) Evidence, if any, of rehabilitation submitted by the applicant.
(b) When considering the suspension or revocation of the registration of a geologist, specialty geologist, geophysicist or specialty geophysicist on the grounds that the registrant has been convicted of a crime or violation of the Geologist and Geophysicist Act, the board or administrative law judge, in evaluating the appropriate level of discipline or rehabilitation of such person and his or her present eligibility for registration will consider the following criteria:
(1) Nature and severity of the act(s) or offense(s).
(2) Total criminal record.
(3) The time that has elapsed since commission of the act(s) or offense(s).
(4) Whether the licensee has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against the licensee.
(5) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(6) Evidence, if any, of rehabilitation submitted by the licensee.
(7) Actual or potential harm to the public, client, or employee.
(8) Prior disciplinary record.
(9) Number and/or variety of current violations.
(c) When considering a petition of reinstatement of the registration of a geologist, specialty geologist, geophysicist or specialty geophysicist, the board shall evaluate evidence of rehabilitation submitted by the petitioner, considering those criteria specified in subsection (b).
NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Sections 482 and 7862, Business and Professions Code.
HISTORY

1. New section filed 6-13-75; effective thirtieth day thereafter (Register 75, No. 24).
2. Amendment of NOTE filed 6-27-83; effective thirtieth day thereafter (Register 83, No. 27).
3. Change without regulatory effect amending subsection (a) filed 6-30-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 27).
4. Amendment filed 5-18-99; operative 6-17-99 (Register 99, No. 21).
§3062. Citations of Unregistered Persons.
Note     •     History

(a) The executive officer is authorized to issue citations containing orders of abatement or administrative fines pursuant to Business and Professions Code sections 148 and 149 against persons acting in the capacity of or engaging in the practice of a geologist, geophysicist, or certified specialist within this state without registration or certification in any discipline as a geologist, geophysicist, or certified specialist.
(b) If the executive officer has reasonable cause to believe that a person is acting in the capacity of, or engaging in the practice of, a geologist, geophysicist or certified specialist within this state without having a registration to so act or engage, the executive officer may issue a citation to that person.
(c) Each citation for violation shall be in writing and shall describe with particularity the basis of the citation including specific reference to the provision of law determined to have been violated.
(d) Each citation may contain an order of abatement or may contain an assessment of an administrative fine in an amount not more than two thousand five hundred dollars ($2,500).
(e) Service of a citation issued under this section shall be made by certified mail at the last known business address or residence address of the person cited and shall include information regarding appeal rights and copies of the applicable code sections violated.
NOTE

Authority cited: Sections 125.9, 148, 149 and 7818, Business and Professions Code. Reference: Sections 125.9, 148 and 149, Business and Professions Code.
HISTORY

1. New section filed 11-22-95; operative 12-22-95 (Register 95, No. 47).
2. Change without regulatory effect amending subsections (a) and (b) filed 6-30-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 27).
§3062.1. Assessment of Administrative Fines.
Note     •     History

(a) Before assessing an administrative fine pursuant to Section 3062, the executive officer shall give due consideration to the gravity of the violation, the good faith of the person cited, and the history of previous violations.
(b) In no event shall the administrative fine be assessed in an amount greater than two thousand five hundred dollars ($2,500) for each inspection or each investigation made with respect to any violation of the following provisions:
Business and Professions Code section and Description

7830	Title Professional Geologist, or Certified 
Engineering Geologist, or Hydrogeologist

7830.1	Title of Professional Geophysicist

7832	Offers to Practice or Practices
Geology or Geophysics for Others

7834	Unregistered Practice by Partnership or Corporation

7835	Sign or Seal Reports (Geology)

7835.1	Sign or Seal Reports (Geophysics)

7872(a)	Unregistered Practice

7872(b)	Presents or Attempts to File as
His/Her Own the Certificate of Another

7872(d)	Impersonates or Uses the Seal of Any Other 
Practitioner

7872(e)	Uses Expired or Revoked Certificate of Registration

7872(g)	Unregistered Manager, Proprietor, or Agent of Business from Which Geological or 
Geophysical Work is Solicited, Performed, or Practiced for Others

7872(h)	Violation of Any Provision of the Geologist and Geophysicist Act
(c) Notwithstanding the administrative fine amounts specified in this section, a citation may include a fine between $2,501 and $5,000 if one or more of the following circumstances apply:
1. The citation involves a violation that has an immediate relationship to the health and safety of another person;
2. The cited person has a history of two or more prior citations of the same or similar violations;
3. The citation involves multiple violations that demonstrate a willful disregard of the law;
4. The citation involves a violation or violations perpetrated against a child, elderly person or person with a disability.
NOTE

Authority cited: Sections 125.9 and 7818, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 11-22-95; operative 12-22-95 (Register 95, No. 47).
2. Change without regulatory effect amending subsection (a) filed 6-30-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 27).
3. Change without regulatory effect amending subsection (b) filed 1-21-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 3).
4. Change without regulatory effect amending subsection (b) filed 2-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 8).
5. New subsection (c) filed 7-5-2006; operative 8-4-2006 (Register 2006, No. 27).
§3062.2. Appeal of Citations.
Note     •     History

(a) Any person served with a citation pursuant to Section 3062 may submit a written request for appeal to the executive officer within 30 days of the date of issuance of the citation. The person cited, also, may submit a written request within 30 days of the date of issuance of the citation for an informal conference with the executive officer with respect to violations alleged, scope of the order of abatement, or amount of administrative fine assessed.
(b) The executive officer shall, within 30 days from receipt of the request, hold an informal conference with the person cited and/or his or her legal counsel or authorized representative. The 30 day period may be extended by the executive officer for good cause. At the conclusion of the informal conference, the executive officer shall either affirm, modify or dismiss the citation, including any administrative fine levied or order of abatement issued. The executive officer shall state in writing the reasons for his or her action and serve a copy of the findings and decision to the cited person within 30 days from the date of the informal conference. Service shall be made by certified mail at the last known business address or residence address of the person cited. The decision shall be deemed to be a final order of the executive officer.
(c) If the person cited submits a written request to appeal the citation within 30 days of the citation's issuance, the cited person shall be afforded an opportunity for a hearing, as provided for in subsection (b)(4) of section 125.9 of the Business and Professions Code.
(d) The cited person does not waive his or her right to request a hearing to appeal the citation by requesting an informal conference after which conference the citation is affirmed by the executive officer. If the citation is dismissed after the informal conference, the request for a hearing on the matter of the citation shall be deemed to be withdrawn. If the citation is modified, the citation originally issued shall be considered withdrawn and a new citation issued. If a hearing is requested for the subsequent citation, it shall be requested in writing within 30 days of issuance of the subsequent citation in accordance with subsection (b)(4) of Section 125.9 of the Business and Professions Code.
(e) If, within 30 days of the date of issuance of the citation, the person cited has failed to file a written request to appeal the citation with the executive officer, the citation shall be deemed a final order.
NOTE

Authority cited: Sections 125.9 and 7818, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 11-22-95; operative 12-22-95 (Register 95, No. 47).
2. Change without regulatory effect amending subsections (a), (b), (d) and (e) filed 6-30-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 27).
§3062.3. Failure to Comply with Order.
Note     •     History

(a) The failure of an unregistered person acting as a geologist, geophysicist or certified specialist to comply with a citation or pay a fine after it is final is a ground for denial of registration.
(b) Notwithstanding any other provisions of the law, the executive officer may waive all or part of the administrative fine if the cited person satisfactorily completes all the requirements for, and is issued, a registration. Any outstanding injury to the public shall be settled to the satisfaction of a majority of the Board members prior to issuance of the registration.
NOTE

Authority cited: Sections 125.9 and 7818, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 11-22-95; operative 12-22-95 (Register 95, No. 47).
2. Change without regulatory effect amending subsection (b) filed 6-30-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 27).
§3062.4. Disconnection of Telephone Service.
Note     •     History

(a) If, upon investigation, the executive officer has probable cause to believe that an unregistered individual acting in the capacity of a geologist, geophysicist or certified specialist, who is not otherwise exempted from the provisions of the Geologist and Geophysicist Act and is advertising in a telephone directory, without being properly registered, or certified, the executive officer may issue a citation under Section 3062 containing an order of abatement which requires the cited person to both cease the unlawful advertising and notify the telephone company furnishing services to the cited person to disconnect the telephone services furnished to any telephone number contained in the unlawful advertising, and that subsequent calls to that number shall not be referred by the telephone company to any new telephone number obtained by that person. The cited person shall provide written evidence of compliance to the executive officer.
(b) The citation shall be stayed if the person to whom a citation is issued under subdivision (a) submits a written request to the executive officer for a hearing to appeal the citation. The executive officer shall afford an opportunity for a hearing, as specified in Section 3062.2.
(c) If the person to whom a citation and order of abatement is issued under subdivision (a) fails to comply with the order of abatement after the order is final as provided in Section 3062.2, the executive officer shall inform the Public Utilities Commission of the violation in accordance with Business and Professions Code section 149.
NOTE

Authority cited: Sections 125.9, 148 and 7818, Business and Professions Code. Reference: Sections 125.9, 148 and 149, Business and Professions Code.
HISTORY

1. New section filed 11-22-95; operative 12-22-95 (Register 95, No. 47).
2. Change without regulatory effect amending section filed 6-30-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 27).
§3063. Citations of Registered Persons.
Note     •     History

(a) The executive officer is authorized to issue citations containing orders of abatement or administrative fines pursuant to Business and Professions Code section 125.9.
(b) If the executive officer has reasonable cause to believe that a geologist, geophysicist or certified specialist has committed any act or omission where the registrant is in violation of the Geologist and Geophysicist Act, the executive officer may, in lieu of filing an accusation, issue a citation to the registrant.
(c) Each citation for violation shall be in writing and shall describe with particularity the basis of the citation, including specific reference to the provision of law determined to have been violated.
(d) Each citation may contain: (1) an order of abatement, which may include the fixing of a reasonable time for abatement of the violation; or (2) an assessment of an administrative fine in an amount not more than two thousand five hundred dollars ($2,500).
(e) Service of a citation issued under this section shall be made by certified mail to the registrant's address of record and shall include information regarding appeal rights and copies of the applicable code sections violated.
NOTE

Authority cited: Sections 125.9 and 7818, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 11-22-95; operative 12-22-95 (Register 95, No. 47).
2. Change without regulatory effect amending subsections (a) and (b) filed 6-30-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 27).
§3063.1. Assessment of Administrative Fines.
Note     •     History

(a) Before assessing an administrative fine under section 3063, the executive officer shall give due consideration to the gravity of the violation, the good faith of the cited person, and the history of previous violations.
(b) In no event shall the administrative fine be assessed in an amount greater than two thousand five hundred dollars ($2,500) for each inspection or each investigation made with respect to any violation of the following provisions:
Business and Professions Code section and Description

7831	Use of Expired, Suspended, or Revoked Registration

7839	Practice or Attempts to Practice Civil Engineering

7839.1	Geologist or Geophysicist Practicing Outside Area of Registered Practice

7860(b)	Committed Deceit, Misrepresentation, Violation of Contract, Fraud, Negligence, 
Incompetence in Practice

7860(d)	Aiding and Abetting in the Violation of Any Provision of the Geologist and Geophysicist Act

7872(b)	Presents or Attempts to File as His/Her Own the Certificate of Another

7872(d)	Impersonates or Uses the Seal of Any Other Practitioner

7872(e)	Uses Expired or Revoked Certificate of Registration

7872(h)	Violation of Any Provision of the Geologist and Geophysicist Act
(c) Notwithstanding the administrative fine amounts specified in this section, a citation may include a fine between $2,501 and $5,000 if one or more of the following circumstances apply:
1. The citation involves a violation that has an immediate relationship to the health and safety of another person;
2. The cited person has a history of two or more prior citations of the same or similar violations;
3. The citation involves multiple violations that demonstrate a willful disregard of the law;
4. The citation involves a violation or violations perpetrated against a child, elderly person or person with a disability.
NOTE

Authority cited: Sections 125.9 and 7818, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 11-22-95; operative 12-22-95 (Register 95, No. 47).
2. Change without regulatory effect amending subsection (a) filed 6-30-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 27).
3. New subsection (c) filed 7-5-2006; operative 8-4-2006 (Register 2006, No. 27).
§3063.3. Appeal of Citations.
Note     •     History

(a) Any geologist, geophysicist or certified specialist served with a citation pursuant to Section 3063, may submit a written request for appeal to the executive officer within 30 days of the date of issuance of the citation. The cited person, also, may submit a written request within 30 days of the date of issuance of the citation for an informal conference with the executive officer with respect to violations alleged, abatement periods, amount of fines, and the reasonableness of the action required to abate the violation.
(b) The executive officer shall, within 30 days from receipt of the request, hold an informal conference with the person cited and/or his or her legal counsel or authorized representative. The 30 day period may be extended by the executive officer for good cause. At the conclusion of the informal conference, the executive officer shall either affirm, modify or dismiss the citation, including any administrative fine levied or order of abatement issued. The executive officer shall state in writing the reasons for his or her action and serve a copy of the findings and decision to the cited person within 30 days from the date of the informal conference. Service shall be made by certified mail at the last known business address or residence address of the person cited. The decision shall be deemed to be a final order of the executive officer.
(c) If the geologist, geophysicist or certified specialist cited submits a written request for a hearing to appeal the citation within 30 days of the citation's issuance, the cited person shall be afforded an opportunity for a hearing, as provided for in subsection (b)(4) of section 125.9 of the Business and Professions Code.
(d) The cited person does not waive his or her right to request a hearing to appeal the citation by requesting an informal conference, after which conference the citation is affirmed by the executive officer. If the citation is dismissed after the informal conference, the request for a hearing on the matter of the citation shall be deemed to be withdrawn. If the citation is modified, the citation originally issued shall be considered withdrawn and a new citation issued. If a hearing is requested for the subsequent citation, it shall be requested in writing within 30 days of issuance of the subsequent citation in accordance with subsection (b)(4) of Section 125.9 of the Business and Professions Code.
(e) If, within 30 days of the date of issuance of the citation, the geologist, geophysicist or certified specialist cited has failed to file a written request to appeal the citation with the executive officer, the citation shall be deemed a final order.
NOTE

Authority cited: Sections 125.9 and 7818, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 11-22-95; operative 12-22-95 (Register 95, No. 47).
2. Change without regulatory effect amending subsections (a), (b), (d) and (e) filed 6-30-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 27).
§3063.4. Failure to Comply with Citations.
Note     •     History

(a) The failure of a geologist, geophysicist or certified specialist to comply with a citation or pay a fine after it is final is grounds for suspension or revocation of a registration.
(b) If a geologist, geophysicist or certified specialist does not appeal a citation and fails to pay all of the fine, the balance due for the fine shall be added to the renewal fee for the registration and the registration shall not be renewed until the fine is paid in full pursuant to subsection (b)(5) of Section 125.9 of the Business and Professions Code.
NOTE

Authority cited: Sections 125.9 and 7818, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 11-22-95; operative 12-22-95 (Register 95, No. 47).
§3064. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), the board shall consider the disciplinary guidelines entitled “Disciplinary Guidelines” (initially published July 1992, republished January 1996, revised June 1998) which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the board in its sole discretion determines that the facts of the particular case warrant such a deviation--for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Section 7818, Business and Professions Code; and Sections 11400.20 and 11400.21, Government Code. Reference: Sections 7860, 7861, 7863 and 7872, Business and Professions Code; and Sections 11400.20, 11400.21 and 11425.50(e), Government Code.
HISTORY

1. New section filed 6-27-97; operative 6-27-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 26).
2. Amendment filed 5-18-99; operative 6-17-99 (Register 99, No. 21).
§3065. Professional Standards and Code of Professional Conduct -- Professional Geology and Geophysics.
Note     •     History

To protect and safeguard the health, safety, welfare, and property of the public, and California's environmental quality, every person who is licensed by the Board for Professional Engineers and Land Surveyors (Board) as a professional geologist or professional geophysicist, including licensees employed in any manner by a governmental entity or in private practice, shall comply with the professional standards in this section. A violation of any of the following professional standards shall constitute unprofessional conduct and shall be sufficient grounds for disciplinary action.
(a) Compliance with Applicable Law:
A licensee shall provide all geologic and geophysical services in a manner consistent with applicable laws, codes, ordinances, rules and regulations. A licensee may obtain and rely upon the knowledge and advice of other professionals (e.g., architects, attorneys, professional engineers, other professional geologists and geophysicists, land surveyors, and other qualified persons) concerning the intent and meaning of such laws, codes, and regulations.
(b) Competence:
(1) Licensed geologists or licensed geophysicists (together with those whom the licensee may engage as consultants) shall perform or offer to perform only those professional services for which they are qualified by education, training, experience, and licensure as required by law, in the specific technical and scientific areas involved.
(2) When practicing geology or geophysics, a licensee shall act with competence and reasonable care, and shall apply the technical knowledge and skill which is ordinarily practiced by licensees in good standing, practicing in this state under similar circumstances and conditions.
(c) Representations:
(1) A licensee shall not misrepresent or permit the misrepresentation of his or her professional qualifications, affiliations; or purposes, or those of the institutions, organizations or other businesses with which they are associated.
(2) A licensee may advertise or solicit those professional services for which he or she is authorized by licensure, provided such services are within his or her field of competence.
(3) A licensee shall not misrepresent his or her qualifications to a prospective or existing client or employer.
(4) A licensee shall not misrepresent to a prospective or existing client, the licensee's scope of responsibility in connection with those professional services for which the licensee is receiving or will receive compensation, whether directly or indirectly. Specifically, a licensee who represents that a project was completed under his or her responsible charge (i.e., stamped and/or signed) must also have maintained responsible charge of the work.
(5) A licensee shall only express professional opinions which have a basis in fact, are within the scope of the licensee's own experience or knowledge, and are generally accepted geologic or geophysical principles.
(6) A licensee shall attribute proper credit to others for their professional work or professional contribution, and shall not misappropriate the professional work of others.
(7) A licensee shall not knowingly permit the publication or use of his or her data, reports, maps, plans, or other professional documents for any unlawful purpose.
(8) A licensee shall not falsely or maliciously attempt to injure, impugn or, in fact injure the professional reputation or business of others.
(9) A licensee shall not misrepresent data or its relative significance in any geologic or geophysical work product or oral conveyance of his or her professional opinion.
(10) A licensee shall not misrepresent or conceal the scope of his or her professional responsibility in connection with those professional services for which the licensee is claiming any responsibility or credit, or for which the licensee is receiving any compensation.
(11) When providing information to the Board pursuant to another's application for licensure to practice professional geology or geophysics, a licensee shall accurately represent his or her knowledge of the applicant's qualifications and qualifying experience.
(d) Conflict of Interest:
(1) A licensee shall not concurrently engage in any other business, occupation or have a financial interest in any entity that may impair his or her independent judgment, objectivity; or which may create a conflict of interest in rendering his or her professional services.
(2) A licensee shall not accept compensation for his or her professional services from more than one party on any project, endeavor, or proceeding unless the circumstances are fully disclosed and agreed to in writing by all concerned parties.
(3) If a licensee has any business association or financial interest which is substantial enough to influence his or her judgment in connection with the performance of professional services, the licensee shall fully disclose in writing to his or her client(s) or employer(s) the nature of the business association or financial interest. If the client(s) or employer(s) object(s) to such association or financial interest, the licensee shall either terminate such association or interest, or offer to give up the project or employment.
(4) A licensee shall not solicit or accept payments, rebates, refunds, commissions, or compensation, whether in the form of money or otherwise from other professionals, contractors, suppliers of material, systems or equipment in return for specifying their products or professional services to a client or employer of the licensee.
(e) Confidential Information:
As used in this section, “confidential information” means all information, specifically identified as confidential by the licensee's client, employer, representative, or other related entity. Confidential information obtained by a licensee in his or her professional capacity, shall not be disclosed by the licensee without prior permission, except under the following specific conditions:
(1) disclosures made in response to a subpoena or summons enforceable by an order of a court;
(2) disclosures made in response to an official inquiry from a governmental regulatory agency;
(3) disclosures made by a licensee to another licensee to the extent necessary for purposes of professional consultation;
(4) disclosures made when required by law, code, or regulation.
(5) disclosures made upon discovery of a hazard within the licensee's field of professional expertise, which, in the licensee's professional opinion, is a threat to the health, safety and welfare of the public.
(6) disclosures made when providing evidence to the Board concerning another licensee or unlicensed individual, who may have violated any part of the Geologist and Geophysicist Act or this Section;
(7) disclosures made regarding alleged illegal conduct; or
(8) disclosures made in an adjudicatory proceeding or pursuant to an order of the court.
(f) Document Submittal
(1) A licensee shall not misrepresent the completeness of any professional geologic or geophysical document submitted to any governmental or regulatory agency.
(2) A licensee shall not misrepresent the completeness of any professional geologic or geophysical document prepared for his or her client, employer, or other involved party.
NOTE

Authority cited: Sections 7818 and 7860(c)(3), Business and Professions Code. Reference: Section 7860(c)(3), Business and Professions Code.
HISTORY

1. New section filed 9-27-99; operative 10-27-99 (Register 99, No. 40).
2. Editorial correction of subsection (b)(2) designator and subsection (c)(4) (Register 99, No. 45).  
3. Amendment of section heading, section and Note filed 3-26-2008; operative 4-25-2008 (Register 2008, No. 13).
4. Editorial correction establishing correct subsection hierarchy and correcting typographical errors in subsections (c)(8) and (d)(3) (Register 2008, No. 18).
5. Editorial correction of subsection (d)(3) (Register 2008, No. 21).
6. Change without regulatory effect amending first paragraph and subsection (d)(1) filed 7-9-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 28).
§3066. License Notification.
Note     •     History

(a) Every licensee shall provide notice to his or her clients that he or she is licensed by the Board. Notice shall be provided by any of the following methods:
(1) Displaying his or her license certificate in a public area of the premises where the licensee provides the licensed service.
(2) Posting a notice in a public area of the premises where the licensee provides the licensed services, in at least 48-point type, that states that the named licensee is licensed by the Board.
(3) Providing a statement to each client, to be signed and dated by the client and retained in the licensee's records, that states that the client understands that the licensee is licensed by the Board.
(b) The party or parties in responsible charge of geologic and/or geophysical projects shall:
(1) Include a statement that he or she is licensed by the Board on contracts for service, bid documents, and/or responses to requests for proposals or qualifications, where the notice is placed immediately above the signature line for the client in at least 12-point type.
(2) Print his or her license number on the firm's correspondence.
(3) Print his or her license number on the firm's business cards bearing his or her name.
(c) A licensed principal or partner in a geologic or geophysical firm shall:
(1) Print his or her license number on all advertising including telephone directory and website.
NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Section 138, Business and Professions Code.
HISTORY

1. New section filed 3-15-2000; operative 4-14-2000 (Register 2000, No. 11).
§3067. Public Information System -- Disclosure.
Note     •     History

(a) The Board has established and maintains a public information system to provide members of the public with information regarding complaints and disciplinary or enforcement actions against professional geologists, geophysicists and unlicensed persons subject to the Board's jurisdiction. Such a system also provides the public with information regarding the license status of the Board's licensees and registrants.
Information subject to the public information system shall be disclosed to members of the public, upon request, by telephone, in person, or in writing (including fax or e-mail). Such information, when feasible and to the extent required or permitted by law, shall be made available by the Board in writing or by telephone. Requests for information shall be responded to within 10 days.
(b) The Board shall disclose the following information regarding past and current licensees:
(1) The name of the licensee, as it appears in the Board's records;
(2) The license number;
(3) The address of record;
(4) The license issue date;
(5) The license expiration date; and
(6) The license status and history.
(c) Unless otherwise required by law, the Board shall disclose the following information regarding disciplinary or enforcement action taken against licensees and unlicensed persons, if applicable:
(1) Total number of disciplinary and enforcement actions taken by the Board;
(2) Brief summary of disciplinary and enforcement actions taken by the Board; citations that have been satisfactorily resolved shall be disclosed as such;
(3) Current status of pending Accusations, Statements of Issues, and Citations filed by the Board. Disclosure of pending actions shall contain a disclaimer stating that any pending administrative action against the person is alleged and no final legal determination has yet been made. Further disclaimers or cautionary statements regarding such pending actions may also be made; and
(4) Information which is statutorily mandated to be disclosed.
(d) The Board shall disclose complaint information when the Executive Officer has determined that:
(1) The complaint information has a direct and immediate relationship to the health and safety of another person; and
(2) One or more of the following have occurred:
(A) A complaint involves a dangerous act or condition caused by the subject of the complaint that has or could result in a death, bodily injury, or severe consequences, and disclosure may protect the consumer or prevent additional harm to the public;
(B) A series of complaints against a party alleging a pattern of unlawful activity have been received by the Board and it has been determined that disclosure may protect the consumer or prevent additional harm to the public;
(C) A complaint has been referred to the Attorney General for filing of an Accusation or Statement of Issues; or
(D) A complaint has been referred to other law enforcement entity for prosecution.
(e) Complaint information that is determined to meet the conditions for disclosure listed in subsection (d) shall be incorporated into the public information system no later than 10 days after the conditions for disclosure have been met.
(f) Information about a complaint shall not be disclosed if it is determined by the Executive Officer that any of the following apply:
(1) Disclosure is prohibited by statute or regulation;
(2) Disclosure might compromise an investigation or prosecution; or
(3) Disclosure might endanger or injure the complainant or third party.
(g) When conditions for disclosure have been met, the Board shall disclose the following information regarding complaints received against licensees and unlicensed persons, if applicable:
(1) Total number of complaints meeting conditions of disclosure;
(2) Date of receipt and nature of any complaint;
(3) Disposition of each complaint by indicating whether the matter has been:
(A) Referred to formal disciplinary action;
(B) Disposed of through any other action, formal or informal; or
(C) Other disposition.
(4) Information which is statutorily mandated to be disclosed;
(5) Current status of criminal prosecution resulting from a complaint received by the Board;
(6) A description of the type of public information not included in the system (i.e., civil judgments, criminal convictions, unsubstantiated complaints); and
(7) Disclaimers indicating that the system does not constitute endorsement or non-endorsement of a person, and that the system may not contain all available information.
NOTE

Authority cited: Section 7818, Business and Professions Code. Reference: Sections 129 and 7819, Business and Professions Code; and Section 6253, Government Code.
HISTORY

1. New section filed 12-2-2005; operative 1-1-2006 (Register 2005, No. 48).
Division 31. * State Board of Examiners of Nursing Home Administrators

*Formerly Chapter 30 (Register 77, No. 4).
Article 1. General Provisions
§3100. Citation and Authority.
Note     •     History

NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Chapter 8.5, Division 2, Business and Professions Code.
HISTORY

1. Renumbering of Chapter 30 to Chapter 31, and new Section 3100 filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4). For prior history see Register 71, No. 43.
2. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§3100.5. Location of Offices.
Note     •     History

NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 3910, Business and Professions Code.
HISTORY

1. Renumbering of Section 3100 to Section 3100.5 filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4). For prior history, see Register 71, No. 43.
2. Repealer filed 9-8-81; designated effective 1-1-82 (Register 81, No. 37).
§3101. Gender.
Note     •     History

NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 3917, Business and Professions Code.
HISTORY

1. Amendment filed 9-8-81; designated effective 1-1-82 (Register 81, No. 37).
2. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§3102. Definitions.
Note     •     History

For the purpose of the rules and regulations contained in this chapter, the term:
(a) “Code” means the Business and Professions Code.
(b) “Board” means the Board of Nursing Home Administrators of the State of California.
(c) “Act” means “Nursing Home Administrator's Licensing Act” as contained in Chapter 8.5 of Division 2 of the Code.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 3904, Business and Professions Code.
HISTORY

1. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
2. Amendment of subsection (b) and new Note filed 4-18-95; operative 4-18-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 16).
§3103. Delegation of Certain Functions.
Note     •     History

The power and discretion conferred by law upon the Board to receive and file accusations; issue notices of hearing, statements to respondent and statements of issues; receive and file notices of defense; determine the time and place of hearings under Section 11508 of the Government Code; issue subpoenas and subpoenas duces tecum; set and calendar cases for hearing and perform other functions necessary to the business-like dispatch of the business of the Board in connection with proceedings under the provisions of Sections 11500 through 11528 of the Government Code, prior to the hearing of such proceedings; and the certification and delivery or mailing of copies of decisions under Section 11518 of said code are hereby delegated and conferred upon the executive officer, or, in his or her absence from the office f the Board, the acting executive officer.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 107, Business and Professions Code.
HISTORY

1. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
2. Amendment filed 9-8-81; designated effective 1-1-82 (Register 81, No. 37).
§3104. Filing of Names and Addresses.
Note     •     History

(a) Each person holding a license from the Board shall file his or her proper and current mailing address with the Board at its office in Sacramento, and shall, within thirty (30) days notify the Board at its said office of any and all changes of name and mailing address, giving both his or her old and new name and address.
(b) Each licensee shall also notify the board each time that he or she becomes the duly appointed administrator of a nursing home and each time that such an appointment terminates. Each notification shall include the name and address of the facility or facilities involved.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 3916, Business and Professions Code.
HISTORY

1. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
2. Amendment filed 11-3-81; designated effective 1-1-82 (Register 81, No. 45).
Article 2. Organization of the Board
§3107. Meetings.
Note     •     History

NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Sections 3915 and 3915.5, Business and Professions Code.
HISTORY

1. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
2. Repealer filed 9-8-81; designated effective 1-1-82 (Register 81, No. 37).
§3108. Officers.
History

HISTORY

1. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§3109. Employees.
Note     •     History

NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 3915, Business and Professions Code.
HISTORY

1. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
2. Repealer filed 5-21-82; designated effective 7-1-82 (Register 82, No. 21).
§3110. Rules of Order.

When not otherwise provided, Robert Rules of Order shall govern the procedure at all meetings of the Board.
Article 3. Applications and Pre-Examination Requirements
§3113. Form and Date for Filing Application for License.
Note     •     History

NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 3920, Business and Professions Code.
HISTORY

1. Repealer filed 12-10-82; effective thirtieth day thereafter (Register 82, No. 50).
§3114. Abandonment of Application.
Note     •     History

NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 3920, Business and Professions Code.
HISTORY

1. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
2. Repealer filed 12-10-82; effective thirtieth day thereafter (Register 82, No. 50).
§3115. Qualifications of Applicants Prior to July 1, 1973.
History

HISTORY

1. Repealer filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4). For prior history, see Register 72, No. 26.
§3116. Qualifications of Applicants.
Note     •     History

a) In order to qualify for the nursing home administrator examination, a person shall make application to the Board, pay the application fee established by the Board, be at least eighteen (18) years of age and have one of the following:
(1) A master's degree in nursing home administration or a related health administration field. The master's program shall have included an internship/residency of at least 480 hours in a skilled nursing facility or an intermediate care facility.
(2) A baccalaureate degree and a Board--approved administrator--in--training program of at least 1,000 hours.
(3) Ten (10) years of full--time work experience, within the immediately preceding fifteen (15) years, as a registered nurse in a nursing home and a Board--approved administrator--in--training program of at least 1,000 hours. At least 5 (five) years of the ten (10) years of work experience shall have been in a supervisory position.
(4) Ten (10) years of full--time work experience, within the immediately preceding fifteen (15) years, in any department of a nursing home; 60 semester units (or 90 quarter units) of college or university courses; and a Board--approved administrator--in--training program of at least 1,000 hours. At least five (5) years of the ten (10) years of work experience shall have been in a supervisory position.
(b) The educational degrees referred to in subdivisions (a) (1) and (2) of this section, and the college or university courses referred to in subdivision (a) (4) of this section shall have been obtained from a college or university recognized by the United States Department of Education or approved by the California State Superintendent of Public Instruction.
(c) A person who applies on the basis of work experience shall provide the Board with signed declarations which verify his or her work experience. Such declarations shall be signed by licensed nursing home administrators, physicians, or registered nurses who can attest to the veracity of the applicant's claims.
(d) The completion of college or university courses or degrees shall be evidenced by official transcripts of grades.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 3920, Business and Professions Code.
HISTORY

1. New section filed 6-20-72; effective thirtieth day thereafter (Register 72, No. 26).
2. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
3. Repealer and new section filed 9-11-80; effective thirtieth day thereafter (Register 80, No. 37).
4. Amendment filed 2-16-88; operative 1-1-89 (Register 88, No. 9). 
§3116.5. Applicants Licensed in Other States.
Note     •     History

(a) A person who is currently licensed as a nursing home administrator in another state and applies for licensure in California shall be admitted to the nursing home administrator examination, provided the applicant:
(1) Meets the minimum education requirements which existed in California at the time the applicant was originally licensed in another state. These requirements were/are as follows:

Prior to 7/1/73	 None
7/1/73 to 6/30/74	 30 semester units
7/1/74 to 6/30/75	 45 semester units
7/1/75 to 6/30/80	 60 semester units
Since 7/1/80	 Baccalaureate degree
(2) Furnishes, on a form provided by the Board, a certificate from another state Board of Examiners of Nursing Home Administrators stating that the applicant is currently licensed and is not on probation, awaiting disciplinary action, or under investigation.
(3) Pays the examination application fee, as prescribed in Section 3180.
(b) If the certificate from the other state indicates that the applicant scored at least 75 percent on the national exam, the applicant shall take only the California state part of the licensing examination. If the applicant scored less than 75 percent on the national examination, he or she shall take the national part of the examination, as well as the State part, in California.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Sections 3920 and 3925, Business and Professions Code.
HISTORY

1. New section filed 12-10-82; effective thirtieth day thereafter (Register 82, No. 50).
§3117. Educational Requirements.
Note     •     History

NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 3920, Business and Professions Code.
HISTORY

1. New section filed 6-20-72; effective thirtieth day thereafter (Register 72, No. 26).
2. Repealer filed 12-10-82; effective thirtieth day thereafter (Register 82, No. 50).
§3117.5. Filing Application for Licensing Examination.
Note     •     History

(a) An application for a nursing home administrator licensing examination shall be received by the Board, on a form provided by the Board (“AIT Application for Nursing Home Administrator Examination”, 73a10, Revised 1/97; “Application for Nursing Home Administrator Examination”, 73a1, Revised 1/97; “Application for Examination for Licensure as a Nursing Home Administrator”, 73a3a, Revised 1/97; “Application for Re-examination for Licensure as a Nursing Home Administrator”, 73a3, Revised 1/97), at least thirty (30) days prior to the date set for the examination. The application shall contain information the Board deems necessary to determine the applicant's qualifications and a statement whether the individual has been convicted of a crime. Each applicant shall meet the current requirements for examination.
(b) If an applicant fails to appear for an examination for which he or she has been scheduled, the application fee prescribed in section 3940 of the Code and the examination fees prescribed by Section 3180(b) shall be forfeited unless the applicant notifies the Board in writing, two days prior to the date the examination is scheduled, that he or she will be unable to appear as scheduled.
(c) If an applicant fails to take an examination within one year from the date of the application therefor, or within one year from the date of the Board's written notice of eligibility for the licensure examination, or if an applicant fails to reapply for an examination within one year from the date of an unsuccessful attempt to pass an examination, the Board shall not reschedule the applicant unless the applicant proves, to the satisfaction of the Board, that he or she had good cause for not having taken the examination within the one-year period allotted.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 3921, Business and Professions Code.
HISTORY

1. New section filed 12-10-82; effective thirtieth day thereafter (Register 82, No. 50).
2. Amendment of subsections (b) and (c) filed 2-16-88; operative 4-1-88 (Register 88, No. 9).
3. Amendment filed 1-27-97; operative 1-27-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 5).
§3118. Substantial Relationship Criteria.
Note     •     History

NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 481, Business and Professions Code.
HISTORY

1. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4). For prior history, see Register 75, No. 11.
2. Renumbering of Section 3118 to Section 3177 filed 9-8-81; designated effective 1-1-82 (Register 81, No. 37).
§3119. Criteria for Rehabilitation.
Note     •     History

NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Sections 475, 480-482, 490 and 3930, Business and Professions Code.
HISTORY

1. New section filed 1-29-75 as an emergency; effective upon filing (Register 75, No. 5).
2. Certificate of Compliance filed 3-13-75 (Register 75, No. 11).
3. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
4. Renumbering and amendment of Section 3119 to Section 3178 filed 9-8-81; designated effective 1-1-82 (Register 81, No. 37).
§3119.5. Rehabilitation Criteria for Suspension or Revocations.
Note     •     History

NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Sections 475, 480, 490 and 3930, Business and Professions Code.
HISTORY

1. New section filed 1-29-75 as an emergency; effective upon filing (Register 75, No. 5).
2. Certificate of Compliance filed 3-13-75 (Register 75, No. 11).
3. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
4. Repealer filed 9-8-81; designated effective 1-1-82 (Register 81, No. 37).
Article 4. Examinations
§3120. Scope of Examination.
Note     •     History

The nursing home administrator licensing examination shall cover the broad aspects of nursing home administration. The licensing examination may consist of a national examination, a state examination, or both.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 3921, Business and Professions Code.
HISTORY

1. Repealer and new section filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
2. Repealer and new section filed 12-10-82; effective thirtieth day thereafter (Register 82, No. 50).
3. Amendment filed 4-24-96; operative 5-24-96 (Register 96, No. 17).
§3122. Examination Results.
Note     •     History

(a) In order to make a passing grade on either the national or the state part of the examination, an examinee must earn a score of at least 75 percent.
(b) An applicant who fails either the national part of the examination or the state part, or both, shall be entitled to reexamination on the part or parts failed, upon submission of an application and the reexamination fee specified in Section 3180. An applicant who has passed one part of the examination but failed the other shall be allowed two more attempts, within a one-year period immediately following his or her initial failure, to pass the part failed without having to retake the entire examination.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Sections 135 and 3923, Business and Professions Code.
HISTORY

1. New section filed 4-11-83; effective thirtieth day thereafter (Register 83, No. 16). For prior history, see Registers 82, No. 50; 77, No. 4; and 73, No. 16.
§3123. Inspection of Examination Papers--Grading.
Note     •     History

NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 3921, Business and Professions Code.
HISTORY

1. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
2. Repealer filed 12-10-82; effective thirtieth day thereafter (Register 82, No. 50).
Article 5. Licensing
§3130. Initial License.
Note     •     History

(a) Upon receipt of a license application and the initial license fee prescribed by this section, the board shall issue a license to each qualified applicant. The initial license shall not be issued for a period of less than four months nor more than twenty-seven months and the initial license fee shall be based on the number of months of licensure prior to the expiration of the initial license under the birthdate renewal cycle, according to the pro-rated formula set forth below:

	Number of 	Prorated Initial
	Months of Licensure	License Fee

	4	$ 32
	5	40
	6	48
	7	55
	8	63
	9	71
	10	79
	11	87
	12	95
	13	103
	14	111
	15	119
	16	127
	17	135
	18	143
	19	150
	20	158
	21	166
	22	174
	23	182
	24	190
	25	198
	26	206
	27	214

(b) An applicant's eligibility for a license shall expire if he or she fails to submit a license application within one year after the date of the board's written notice of eligibility for licensure. An applicant whose eligibility for licensure has expired may reestablish eligibility by retaking and passing the national examination and the state examination, provided the applicant meets the current requirements for examination.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Sections 3920 and 3916, Business and Professions Code.
HISTORY

1. New section filed 2-16-88; operative 4-1-88 (Register 88, No.9).
2. Amendment of subsection (a) filed 1-26-98; operative 2-25-98 (Register 98, No. 5).
§3140. Renewal of Unexpired License.
Note     •     History

(a) The expiration date of an initial license shall be the last day of the birthmonth of the licensee in the: 
(1) Next odd numbered year if the licensee was born in an odd-numbered year; or
(2) Next even numbered year if the licensee was born in an even-numbered year.
Where the provisions of subsection (a) would cause a license to be issued for a period of more than twenty-seven months, such license shall expire on the last day of the birthmonth in the year the license was issued.
(b) Notwithstanding subsections a(1) and (2) above:
(1) a license issued during an odd-numbered year to an applicant born in an odd-numbered year shall expire on the last day of the applicant's birthmonth in the year the license was issued.
(2) A license issued during an even-numbered year to an applicant born in an even-numbered year shall expire on the last day of the applicant's birthmonth in the year the license was issued. Where the provisions of subsection (b) would cause a license to be issued for a period of less than four months, such license shall expire on the last day of the birthmonth of the licensee two years following the issue date.
(c) The following provisions shall govern the continuing education requirements needed by a nursing home administrator to renew his or her nursing home administrator's license:
(1) A nursing home administrator shall complete forty (40) hours of board-approved continuing education courses to renew his or her nursing home administrator's license.
(2) Notwithstanding subsection (c)(1), a nursing home administrator who is renewing an initial license shall complete the following hours of Board-approved continuing education courses:

Period of	Required Continuing
Initial Licensure	Education Hours

4 - 6 Months		10
7 - 9 Months		15
10 - 12 Months		20
13 - 15 Months		25
16 - 18 Months		30
19 - 21 Months		35
22 - 24 Months		40
25 - 27 Months		45
(d) To renew an unexpired license the licensee shall, not later than the date on which the license would otherwise expire, apply for renewal on a form provided by the Board, accompanied by the renewal fee prescribed by Section 3940 of the Code. An applicant may request either an active license or an inactive license. If an applicant requests an active license, he or she shall submit proof of completion of the number of hours of Board-approved continuing education prescribed by subsection (c) of this section.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Sections 152.6, 701, 703 and 3924, Business and Professions Code.
HISTORY

1. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4). For prior history, see Register 74, No. 14.
2. Amendment of subsections (b) and (c) filed 11-16-78; effective thirtieth day thereafter (Register 78, No. 46).
3. Amendment filed 5-21-82; designated effective 7-1-82 (Register 82, No. 21).
4. Repealer of first paragraph, new subsections (a)-(d)(2), redesignation and amendment of last paragraph as subsection (e) and amendment of Note filed 8-25-94; operative 9-26-94 (Register 94, No. 34).
5. Amendment of subsections (a), (d), (d)(1) and (e) filed 4-18-95; operative 4-18-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 16).
6. Amendment filed 1-26-98; operative 2-25-98 (Register 98, No. 5).
§3141. Renewal of an Expired License.
Note     •     History

A license which has expired may be renewed within three (3) years following the date of expiration. The licensee shall apply for renewal on a form provided by the Board accompanied by the renewal fee which was in effect on the last preceding regular renewal date. If the licensee requests an active license, he or she shall furnish proof of completion of the continuing education requirements as prescribed by Section 3140. If the license is renewed after its expiration, the licensee, as a condition precedent to renewal, shall also pay the delinquency fee prescribed by Section 3940 of the Code. Renewal under this section shall be effective on the date on which the application is filed or on the date on which applicable fees are paid, whichever occurs later. A renewed license shall continue in effect until midnight on the last day of the birthmonth of the licensee in the next odd numbered year if the licensee was born in an odd-numbered year; or the next even numbered year if the licensee was born in an even-numbered year, when it shall expire if it is not again renewed.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 3924, Business and Professions Code.
HISTORY

1. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
2. Amendment filed 5-21-82; designated effective 7-1-82 (Register 82, No. 21).
3. Change without regulatory effect amending section filed 7-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 27).
4. Amendment filed 8-13-97; operative 9-12-97 (Register 97, No. 33).
§3142. Suspended License.
Note     •     History

A licensee may not engage in licensed activity while his or her license is suspended. A suspended license may be renewed, as provided in this article.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Sections 3917, 3924, Business and Professions Code.
HISTORY

1. Amendment filed 5-21-82; designated effective 7-1-82 (Register 82, No. 21).
§3144. Revoked License.
Note     •     History

A revoked license is subject to expiration as provided in these regulations, but may not be renewed. If a license is reinstated after its expiration, the licensee, as a condition precedent to its reinstatement, shall pay, in addition to the renewal fee, the delinquency fee as prescribed in Section 3940 of the Code.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Sections 3917, 3924 and 3932, Business and Professions Code.
HISTORY

1. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
2. Amendment filed 5-21-82; designated effective 7-1-82 (Register 82, No. 21).
3. Amendment filed 8-13-97; operative 9-12-97 (Register 97, No. 33).
Article 6. Continuing Education
§3150. Continuing Education Requirements.
Note     •     History

NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 3924, Business and Professions Code.
HISTORY

1. New Article 6 (§§ 3150, 3152, 3156) filed 6-20-72; effective thirtieth day thereafter (Register 72, No. 26).
2. Repealer and new section filed 5-21-82; designated effective 7-1-82 (Register 82, No. 21).
3. Repealer filed 4-18-95; operative 4-18-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 16).
§3151. Continuing Education Credit.
Note     •     History

(a) A licensee who completes a course which has been approved by the Board for full credit shall receive one hour of credit for each class hour attended.
(b) A licensee who successfully completes a university or college course which has been approved by the Board for continuing education credit shall receive fifteen classroom hours of continuing education credit for each semester unit or ten hours of credit for each quarter unit.
(c) One hour of credit shall be awarded for each classroom hour completed as an instructor of a Board-approved course. No more than sixteen classroom hours may be acquired pursuant to this subsection during a two-year licensing period.
(d) One hour of credit shall be awarded for each week in which a licensee serves as the preceptor in an approved administrator-in-training program, regardless of the number of administrators-in-training concurrently in training. No more than twenty classroom hours may be acquired pursuant to this subsection during a two-year licensing period.
(e) Two hours of credit shall be awarded for attending a meeting of the Board. No more than two hours of continuing education may be acquired pursuant to this subsection during a two-year licensing period.
(f) Eight hours of credit shall be awarded for participating in a Board-sponsored state licensing examination item writing session. No more than eight hours of continuing education credit may be acquired pursuant to this subsection during a two-year licensing period.
(g) In order to receive full credit, a continuing-education course shall be directly related to the duties, functions, and responsibilities of a nursing home administrator. Half credit may be granted by the Board for a course in an allied field (such as nursing, medicine, pharmacy, mental health, occupational therapy, or law).
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 3924, Business and Professions Code.
HISTORY

1. New section filed 5-21-82; designated effective 7-1-82 (Register 82, No. 21).
2. New subsections (e) and (f), subsection relettering and amendment of newly designated subsection (g) filed 1-8-96; operative 2-7-96 (Register 96, No. 2).
§3152. Approval of Providers and Courses.
Note     •     History

(a) In order to request approval of a continuing education provider or course, the following shall be submitted to the Board on forms provided by the Board (“Application to Become a Provider of Continuing Education”, 73c1, Revised 1/97; “Provider Request for Course Approval”, 73c2, Revised 1/96):
(1) Application to become an approved provider of continuing education courses for nursing home administrators;
(2) Request for approval of a course for continuing education credit:
(A) From an approved provider; or
(B) From an individual licensee.
(b) The Board, may, in lieu of conducting its own investigation, accept the findings of the National Association of Boards for Nursing Home Administrators, and adopt these findings as its own.
(c) A request for course approval from a provider shall be submitted at least thirty (30) days prior to the first class session. A request from an individual licensee may be submitted before, during, or after completion of a course.
(d) After giving the provider a written notice and an opportunity to respond, the Board may withdraw approval of any provider or any course.
(e) Unless otherwise indicated on the written notification of approval, or unless approval is withdrawn by the Board at an earlier date, approval of each provider and of each course shall remain in effect until June 30 of the next succeeding odd-numbered year.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 3924, Business and Professions Code.
HISTORY

1. Repealer and new section filed 5-21-82; designated effective 7-1-82 (Register 82, No. 21).
2. Amendment of subsection (a)(2), new subsection (b) and subsection relettering filed 1-8-96; operative 2-7-96 (Register 96, No. 2).
3. Amendment of subsections (a) and (c) filed 1-27-97; operative 1-27-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 5).
§3156. Miscellaneous Credit.
Note     •     History

NOTE

Authority cited: Sections 3917, 3924(b), 3930(f) and 3940, Business and Professions Code. Reference: Sections 3916 and 3924, 3924(b), 3930(f) and 3940, Business and Professions Code.
HISTORY

1. Amendment filed 4-3-74; designated effective 7-1-74 (Register 74, No. 14).
2. Amendment of subsection (a) filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
3. Amendment filed 11-16-78; effective thirtieth day thereafter (Register 78, No. 46).
4. Repealer filed 5-21-82; designated effective 7-1-82 (Register 82, No. 21).
Article 7. Administrator-in-Training Programs
§3160. Qualifications of a Preceptor.
Note     •     History

(a) Any licensed nursing home administrator who applies on a form provided by the Board may be approved to serve as a preceptor for administrators-in-training if the individual has the following qualifications:
(1) Has served for at least two years as the designated administrator of a licensed nursing home; or at least four years as the designated Assistant Administrator of a licensed nursing home and has gained experience in all administrative functions of a nursing home;
(2) Has attended a Board-approved preceptor training session;
(3) Meets other criteria adopted by the Board.
(b) Unless approval is withdrawn by the board for cause at an earlier date, approval to act as a preceptor shall remain in effect until the expiration date shown in this subsection:

TIME OF APPROVAL	DATE OF EXPIRATION
Prior to April 30, 1981	April 30, 1983        
On or after April 30, 1981	3 years after date of approval
(c) A preceptorship may be renewed by applying for and attending a preceptor training session furnished or approved by the board.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Sections 3916 and 3920, Business and Professions Code.
HISTORY

1. New Article 7 (Sections 3160, 3162, 3164, 3166, 3167) filed 6-20-72; effective thirtieth day thereafter (Register 72, No. 26).
2. Amendment filed 6-27-74; effective thirtieth day thereafter (Register 74, No. 26).
3. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
4. Amendment filed 9-8-81; designated effective 1-1-82 (Register 81, No. 37).
5. New subsection (c) filed 11-3-81; designated effective 1-1-82 (Register 81, No. 45).
§3161. Qualifications of an Administrator-in-Training.
Note     •     History

(a) An individual may apply for the administrator-in-training program, on a form provided by the Board (“Application for Administrator-in-Training Program”, 73a8, Revised 1/97), if he or she has either of the following:
(1) A baccalaureate degree from a college or university recognized by the United States Department of Education or approved by the California Superintendent of Public Instruction; or
(2) The amount and types of full-time work experience described in either Section 3116(a)(3) or 3116(a)(4).
(b) Applications shall be received by the board at least 30 days prior to the requested program start date.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 3916, Business and Professions Code.
HISTORY

1. New section filed 11-3-81; designated effective 1-1-82 (Register 81, No. 45).
2. Amendment filed 1-27-97; operative 1-27-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 5).
§3162. Program Requirements.
Note     •     History

(a) An approved administrator-in-training program shall include a minimum of 20 hours per week and a maximum of 60 hours per week of supervised training and work experience in a skilled nursing facility or an intermediate care facility.
(b) A preceptor may not supervise more than two trainees during the same time period without Board approval.
(c) The preceptor for an administrator-in-training shall be the designated administrator of the facility at which the training is conducted. The designation of any other person as the preceptor must be specifically approved in advance by the Board.
(d) Upon approval of an administrator-in-training application, a letter of approval shall be furnished by the Board to the administrator-in-training, with a copy to the preceptor. The letter shall specify the earliest date on which training may commence. An approved administrator-in-training program shall be conducted continuously, except for approved absences, as provided for by Section 3167.
(e) An administrator-in-training whose training has been interrupted or discontinued may request authorization from the Board to resume training. The Board's approval or disapproval of such a request will be based on the following factors:
(1) The time elapsed since training ended;
(2) The reason or reasons for not completing the program previously;
(3) Evidence of the administrator-in-training's ability and determination to resume and complete the program;
(4) The availability of a preceptor who is able and willing to provide a training program which will meet the requirements of Section 3162(a) and (c).
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Sections 3916 and 3920, Business and Professions Code.
HISTORY

1. Amendment filed 6-27-74; effective thirtieth day thereafter (Register 74, No. 26).
2. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
3. Amendment filed 1-29-82; effective thirtieth day thereafter (Register 82, No. 5).
4. Amendment filed 12-10-82; effective thirtieth day thereafter (Register 82, No. 50).
5. Order of Repeal of subsection (a) filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
6. New subsection (a) filed 2-16-88; operative 4-1-88 (Register 88, No. 9).
7. Amendment of subsection (a) filed 1-8-96; operative 2-7-96 (Register 96, No. 2).
8. Change without regulatory effect amending subsection (a) filed 11-6-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 45).
§3164. Outline of Training Program.
Note     •     History

The preceptor shall make a pre-training assessment of the administrator-in-training applicant's background, including both education and experience. Based on the assessment, the preceptor shall prepare a detailed outline of the training program to be completed. Each training program shall be specifically designed for the particular administrator-in-training. The outline of the training program shall be submitted to the Board for approval at the time the application for training is submitted.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Sections 3916 and 3920, Business and Professions Code.
HISTORY

1. Amendment filed 6-27-74; effective thirtieth day thereafter (Register 74, No. 26).
2. Amendment of subsections (a) and (b) filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
3. Amendment filed 11-3-81; designated effective 1-1-82 (Register 81, No. 45).
§3165. Reports and Evaluations.
Note     •     History

(a) Reports of training shall be submitted to the Board, on forms prescribed by the Board, by the administrator-in-training and the preceptor within 10 days after the completion of 25 percent, 50 percent, 75 percent and 100 percent of the prescribed number of hours. The administrator-in-training and the preceptor shall be equally responsible for submitting reports on a timely basis.
(b) The administrator-in-training shall give written notice to the board:
(1) If the administrator-in-training is to be absent, or has been absent, from training for more than 20 consecutive working days or a cumulative total of more than 40 working days.
(2) If the administrator-in-training desires to change preceptors and/or facilities.
(c) If a training program is terminated before the administrator-in-training has completed the required number of hours, the administrator-in-training and the preceptor shall each notify the Board in writing within 10 days. Each shall state the reason or reasons the program was terminated.
(d) No material change in an approved training program shall be made unless approved by the Board. If a preceptor desires to make a material change in the amount or kind of training to be provided, he or she shall submit to the Board a written request for approval.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Sections 3916 and 3920, Business and Professions Code.
HISTORY

1. New section filed 11-3-81; designated effective 1-1-82 (Register 81, No. 45).
§3166. Withdrawal of Approval.
Note     •     History

If the Board determines that a preceptor and/or administrator-in-training are not substantially in compliance with these regulations, the Board shall notify the preceptor and the administrator-in-training in writing of the deficiencies noted and offer them an opportunity to explain, rectify, or dispute such deficiencies. If such deficiencies are not or cannot be rectified within a reasonable period of time, the Board shall take appropriate action. Such action may consist of one or more of the following measures:
(a) Give a verbal or written warning to the preceptor and/or the administrator-in-training.
(b) Disallow credit for part or all of the training completed to date.
(c) Halt the administrator-in-training's and withdraw the authority to complete the training program.
(d) Withdraw the licensee's authority to serve as a preceptor.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Sections 3916 and 3920, Business and Professions Code.
HISTORY

1. Amendment filed 9-8-81; designated effective 1-1-82 (Register 81, No. 37).
§3167. Approved Absences.
Note     •     History

(a) If an administrator-in-training is unable to participate in training for more than 20 consecutive working days, such nonparticipation shall be reported in writing to the Board. A vacation, a leave for military training, or any other planned absence of more than 20 consecutive working days shall be reported in advance. An illness or any other type of unanticipated absence of more than 20 consecutive working days shall be reported as soon as possible after training is resumed.
(b) Unless reported to and approved by the Board, an absence of more than 20 consecutive working days or a cumulative total of more than 40 working days may constitute grounds for disallowance for training credit or for withdrawal of program approval.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Sections 3916 and 3920, Business and Professions Code.
HISTORY

1. Repealer and new section filed 9-8-81; designated effective 1-1-82 (Register 81, No. 37).
Article 7.5. Citations and Fines
§2382. Issuance of Citations and Fines.
Note     •     History

(a) The bureau chief is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and fines for violations by a licensee or registrant of the provisions of law referred to in section 2383 of this article.
(b) A citation shall be issued whenever any fine is levied or any order of abatement is issued. Each citation shall be in writing and shall describe with particularity the nature and facts of the violation, including a reference to the statute or regulations alleged to have been violated. The citation shall inform the cited person that if he or she desires a hearing to contest the finding of a violation, that hearing shall be requested by written notice to the bureau chief within thirty (30) days of the issuance of the citation. The citation shall be served upon the licensee personally or by certified mail.
(c) The amount of any fine to be levied by the bureau chief shall take into consideration the factors listed in section 2384 of this article and shall be within the range set forth in section 2383 of this article. In no case shall the total exceed two thousand five hundred dollars ($2,500) for each investigation.
NOTE

Authority cited: Sections 125.9, 148, 9630 and 9631, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New article 7.5 and section filed 5-25-93; operative 6-24-93 (Register 93, No. 22).
2. Amendment of section and Note filed 10-2-96; operative 11-1-96 (Register 96, No. 40).
3. Change without regulatory effect amending section and Note filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2383. Fines.
Note     •     History

(a) The fine for a violation of the following provisions shall be from one hundred fifty dollars ($150) to one thousand five hundred dollars ($1,500):

	Rule	Description

	2340	Maintenance of records
	2370	Special trusts

	Business and Professions Code
	9679	Employing unlicensed salespersons
	9684	Advertising statements
	9702.2	Cemetery broker bond
	9719	Access during inspection
	9743	Scattering remains
	9749	Scattering of remains
	9785	Filing crematory report

	Health and Safety Code
	7050.5	Removal of remains from county
	7051	Removal of remains without authorization
	7051.5	Dental gold and silver
	7052	Disinterment without authority
	7054	Disposal in place other than cemetery
	7054.7(a)	Commingling of cremated remains
	8342	Cremation-casket requirement

	8360	Loans to officers/directors
	8362	Loans to officers/directors
	8733	Trustee fees
	8734	Bond requirement

	8738.2	Endowment care funds
	8747.5	Books and records-availability
	8751	Endowment care fund investments
	8777	Special care funds
	8778	Special care fund investments
	
(b) The fine for a violation of the following provisions shall be from one hundred dollars ($100) to one thousand dollars ($1,000):

	Rule	Description

	2339	Crematory contracts
	2351	Crematory report
	2381	Misrepresentation
	
	Business and Professions Code
	9682	Representations re resale of property
	9726	Misrepresentations
	9728	Discharge of salespersons-report
	9744	Cremated remains disposer-permit
	9745	Cremated remains disposer-annual report
	9767	Payment of regulatory charges
	9784	Cremation restrictions

	Health and Safety Code
	7053	Failure to release human remains
	8120	Notice re change in cemetery use
	8277	Contracts
	8278	Contract cancellation
	8330	Record of interment
	8331	Record of plot ownership
	8573	Pre-construction sale of crypts
	8726	Endowment care investments
	8732	Trustees
	8732.1	Trustees
	8780	Misrepresentation re endowment care
	8781	Misrepresentation re endowment care
	9550	Mausoleum construction without permit
	
(c) The fines for a violation of the following provisions shall be from fifty dollars ($50) to five hundred dollars ($500):

	Rule	Description

	2336	Nonendowment care signs
	2337	Nonendowment care signs
	2338	Cemetery broker signs
	2339.1	Cemetery contracts

	Business and Professions Code
	9680	Compensation to unlicensed brokers
	9709	Display license
	9710	Return license
	9711	Notice of change in location
	9713	Cemetery broker sign

	Health and Safety Code
	7055	Removal of human remains
	8276	Charges for markers
	8309	Regulations-availability
	8734	Bond
	8740	Nonendowment care signs
	8741	Endowment care signs-posting
	8744	Nonendowment care contracts
	8745	Revision of signs
	
(d) In his or her discretion, the bureau chief may issue a citation containing an order of abatement without levying a fine for the first violation of any provision set forth in subsections (a) through (c) above.
NOTE

Authority cited: Sections 125.9, 9630, 9631 and 9658, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New section filed 5-25-93; operative 6-24-93 (Register 93, No. 22).
2. Amendment of subsection (d) and Note filed 10-2-96; operative 11-1-96 (Register 96, No. 40).
3. Change without regulatory effect amending section and Note filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2384. Citation Factors.
Note     •     History

In assessing an administrative fine or issuing an order of abatement, the bureau chief shall give due consideration to the following factors:
(a) The nature and severity of the violation.
(b) The good or bad faith of the cited person or entity.
(c) History of violations of the same or similar nature.
(d) Evidence that the violation was willful.
(e) The extent to which the cited person or entity has cooperated with the department's investigation.
(f) The extent to which the cited person or entity has mitigated or attempted to mitigate any damage or injury caused by the violation.
(g) Such other matters as justice may require.
NOTE

Authority cited: Sections 125.9, 148, 9630 and 9631, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 5-25-93; operative 6-24-93 (Register 93, No. 22).
2. Amendment of first paragraph, subsection (e) and Note filed 10-2-96; operative 11-1-96 (Register 96, No. 40).
3. Change without regulatory effect amending first paragraph and Note filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2385. Failure to Comply with Order.
Note     •     History

(a) The time allowed for the abatement of a violation shall begin the first day after the order of abatement has been served or received. If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, the person cited may request an extension of time from the bureau chief in which to complete the correction. Such a request shall be in writing and shall be made within the time set forth for abatement. Any order granting a request for an extension shall be in writing and shall specify the new date for compliance.
(b) An order of abatement shall either be personally served or mailed by certified mail, return receipt requested. When an order of abatement is not contested or if the order is appealed and the person cited does not prevail, failure to abate the violation charged within the time allowed shall constitute a violation and failure to comply with the order of abatement.
NOTE

Authority cited: Sections 125.9, 148, 9630 and 9631, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 5-25-93; operative 6-24-93 (Register 93, No. 22).
2. Amendment adding subsection (a) designator, amendment of newly designated subsection (a), and amendment of Note filed 10-2-96; operative 11-1-96 (Register 96, No. 40).
3. Change without regulatory effect amending subsection (a) and Note filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2386. Contest of Citations.
Note     •     History

(a) In addition to requesting a hearing provided for in subdivision (b)(4) of Section 125.9 of the code, the person cited may, within ten (10) days after service or receipt of the citation, notify the bureau chief in writing of his or her request for an informal conference regarding the acts charged in the citation. The time allowed for the request shall begin the first day after the citation has been served or received.
(b) The bureau chief shall hold, within thirty (30) days from the receipt of the request, an informal conference with the person cited or his or her legal counsel or authorized representative. At the conclusion of the informal conference the bureau chief may affirm, modify or dismiss the citation, including any fine levied or order of abatement issued. The bureau chief shall state in writing the reasons for his or her action and serve or mail, as provided in subsection (b) of Section 2382, a copy of his or her findings and decision to the person cited within ten (10) days from the date of the informal conference. This decision shall mark the conclusion of the informal conference proceeding.
(c) The person cited does not waive his or her request for a hearing to contest a citation by requesting an informal conference after which the citation is affirmed by the bureau chief. If the citation is dismissed after the informal conference, the request for a hearing on the matter of the citation shall be deemed to be withdrawn. If the citation, including any fine levied or order of abatement, is modified, the citation originally issued shall be considered withdrawn and a new citation issued. If a hearing is requested for the subsequent citation, it shall be requested within thirty (30) days of the date of issuance in accordance with subdivision (b)(4) of Section 125.9 of the code.
NOTE

Authority cited: Sections 125.9, 148, 9630 and 9631, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 5-25-93; operative 6-24-93 (Register 93, No. 22).
2. Amendment of section and Note filed 10-2-96; operative 11-1-96 (Register 96, No. 40).
3. Change without regulatory effect amending section and Note filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2387. Unlicensed Practice.
Note     •     History

The bureau chief may issue citations against any unlicensed person who is acting in the capacity of a licensee under the jurisdiction of the department and who is not otherwise exempt from licensure. A citation issued pursuant to this section shall comply with Section 125.9 of the code. Each citation may contain an assessment of an administrative fine, an order of abatement fixing a reasonable period of time for abatement of the violation, or both an administrative fine and an order of abatement. Administrative fines shall be in a range from two hundred fifty dollars ($250) to two thousand five hundred dollars ($2,500) for each investigation. Any sanction authorized for activity under this section shall be separate from and in addition to any other civil or criminal remedies.
NOTE

Authority cited: Sections 125.9, 148, 9630 and 9631, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 5-25-93; operative 6-24-93 (Register 93, No. 22).
2. Amendment of section and Note filed 10-2-96; operative 11-1-96 (Register 96, No. 40).
3. Change without regulatory effect amending section and Note filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§2388. Failure to File Annual Report.
Note     •     History

(a) Any cemetery authority that does not file the annual report required by Section 9650 of the Business and Professions Code within the time prescribed by said Code shall be assessed a fine by the bureau chief in the amount of four hundred dollars ($400) per month for a maximum of five (5) months.  Failure to pay the fine within fifteen (15) days after receipt of written notification of the assessment or, where a timely request for waiver or reduction of the fine has been filed with the bureau chief, within fifteen (15) days after receipt of written notification of the bureau chief's decision in the matter, shall be cause for disciplinary action.
(b) A cemetery authority may request waiver or reduction of a fine by making a written request to the bureau chief therefore.  The request shall be postmarked within the time specified above for payment of the fine and shall be accompanied by a statement showing good cause for the request.
(c) The bureau chief may waive or reduce the fine where a timely request is made and where he or she determines, in his or her discretion, that the cemetery authority has made a sufficient showing of good cause for the waiver or reduction.
(d) In addition to requesting a hearing to be held pursuant to Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code, the person cited may, within fifteen (15) days after service or receipt of the citation, notify the bureau chief in writing of his or her request for an informal conference regarding the acts charged in the citation.  The time allowed for the request shall begin the first day after the citation has been served or received.  An informal conference shall be in accordance with the procedures delineated in Section 2386, subdivisions (b) and (c).
NOTE

Authority cited: Sections 125.9, 9630, 9631 and 9650.4, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 10-2-96; operative 11-1-96 (Register 96, No. 40).
2. Amendment of subsection (a) filed 6-17-97; operative 7-17-97 (Register 97, No. 25).
3. Change without regulatory effect amending section and Note filed 10-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 42).
§3170. Citations.
Note     •     History

The Executive Officer of the board may issue a citation to any person who holds a license from the board for a violation of any provision of law enforced by the board.
NOTE

Authority cited: Sections 125.9 and 3917, Business and Professions Code. Reference: Section 125.9, Business and Professions Code.
HISTORY

1. New article 7.5 (sections 3170-3170.5) and section filed 1-30-97; operative 3-1-97 (Register 97, No. 5).
§3170.1. Citation Format.
Note     •     History

Each citation:
(a) shall be in writing;
(b) shall describe the nature of the violation, including specific reference to the provision of law determined to have been violated;
(c) may contain an assessment of an administrative fine, an order of abatement fixing a reasonable period of time for abatement of the violation, or both an administrative fine and an order of abatement;
(d) shall inform the cited person that, if he or she desires an informal conference to contest the finding of a violation, the informal conference shall be requested by written notice to the board within 10 calendar days of service of the citation;
(e) shall inform the cited person that, if he or she desires a hearing to contest the finding of a violation, that hearing shall be requested by written notice to the board within 30 calendar days of service of the citation as provided for in subsection (b)(4) of Section 125.9 of the Business and Professions Code;
(f) shall be served upon the cited person personally or by certified mail, return receipt requested;
(g) shall inform the licensee that failure to pay a fine within 30 days of the date of assessment, unless the citation is being appealed, may result in disciplinary action being taken by the board. If a citation is not contested and a fine is not paid, the full amount of the assessed fine shall be added to the fee for renewal of the license.
NOTE

Authority cited: Sections 125.9 and 3917, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 1-30-97; operative 3-1-97 (Register 97, No. 5).
§3170.2. Citation Factors.
Note     •     History

In no event shall the administrative fine be less than $50 or exceed $2,500 for each violation, or for each count if the violation involves fraudulent billing submitted to an insurance company, the Medi-Cal program, or Medicare. In assessing the amount of an administrative fine, the Executive Officer shall consider the following factors:
(a) The good or bad faith exhibited by the cited person.
(b) The nature and severity of the violation.
(c) Evidence that the violation was or was not willful or grossly negligent.
(d) History of violations of the same or similar nature.
(e) The extent to which the cited person has cooperated with the board or the board's investigation.
(f) The extent to which the cited person has mitigated or attempted to mitigate any damage or injury caused by his or her violation.
(g) Whether the violation was related to patient care.
(h) Other matters as may be appropriate.
NOTE

Authority cited: Sections 125.9 and 3917, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 1-30-97; operative 3-1-97 (Register 97, No. 5).
§3170.3. Contest of Citations.
Note     •     History

(a) Any person served with a citation may contest the citation by appeal to the Board within thirty (30) days of service of the citation. Appeals shall be conducted pursuant to Government Code Section 11500 et seq.
(b) In addition to requesting a hearing before an administrative law judge, the person cited may, within ten (10) days after service of the citation, notify the Executive Officer in writing of his or her request for an informal conference with the Executive Officer or a committee of the board regarding the acts charged in the citation. At the time of requesting an informal conference, the person shall inform a the Executive Officer whether he or she shall be represented at the informal conference by legal counsel. Failure to notify the Executive Officer of legal representation shall not result in forfeiture of the right to have legal counsel present. Unless the request for an informal hearing is made within the 10-day period, the applicant's right to an informal hearing is deemed waived.
(c) A committee of the board or the Executive Officer shall, within 30 working days from receipt of the request, hold a informal conference with the person cited and/or his or her legal counsel or authorized representative. At the conclusion of the informal conference a committee of the board or the Executive Officer may affirm, modify or dismiss the citation, including any administrative fine levied or order of abatement issued. The committee of the board or the Executive Officer shall state in writing the reasons for his or her action and serve or mail, as provided in subsection (f) of section 3170.1, a copy of his or her findings and decision to the person cited within ten (10) working days from the date of the informal conference. The decision shall be deemed to be a final order.
(d) The person cited does not waive his or her request for a hearing to contest a citation by requesting an informal conference after which the citation is affirmed by a committee of the board or the Executive Officer. If the citation is dismissed after the informal conference, the request for a hearing on the matter of the citation shall be deemed to be withdrawn. If the citation, including any administrative fine levied or order of abatement, is modified or affirmed, the citation originally issued shall be considered withdrawn and a new citation, which shall not be subject to informal conference, shall be issued within two working days of the informal conference decision. The new citation shall be served in accordance with section 3170.1(f). If a hearing is requested for the subsequent citation, it shall be requested within 30 calendar days in accordance with subsection (b)(4) of Section 125.9 of the Business and Professions Code.
NOTE

Authority cited: Sections 125.9 and 3917, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 1-30-97; operative 3-1-97 (Register 97, No. 5).
2. Change without regulatory effect amending subsections (c) and (d) filed 7-16-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 29).
§3170.4. Failure to Comply with Order.
Note     •     History

(a) The time allowed for abatement of a violation shall begin the first day after the order of abatement has been served or received. If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, the person cited may request an extension of time from the Executive Officer in which to complete the correction. Such a request shall be in writing and shall be made within the time set forth for abatement.
(b) An order of abatement shall either be personally served or mailed by certified mail, return receipt requested.
(c) When an order of abatement is not contested, or if the order is appealed and the person or entity cited does not prevail, failure to abate the violation charged within the time specified in the citation shall constitute a violation and failure to comply with the order of abatement. The time allowed for the abatement of a violation shall begin when the order of abatement has been received. Failure to comply with an order of abatement may result in disciplinary action being taken by the board or other appropriate judicial relief being taken against the person cited.
NOTE

Authority cited: Sections 125.9 and 3917, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 1-30-97; operative 3-1-97 (Register 97, No. 5).
§3170.5. Unlicensed Practice.
Note     •     History

The Executive Officer may issue a citation, in accordance with Section 148 of the Business and Professions Code, against any unlicensed person who is acting in the capacity of a licensee under the jurisdiction of the board and who is not otherwise exempt from licensure. Each citation may contain an assessment of an administrative fine, or an order of abatement fixing a reasonable period of time for an abatement, or an administrative fine and order of abatement for each violation which shall be determined as provided for in section 3170.2. Any sanction authorized for activity under this section shall be separate from and in addition to any other civil or criminal remedies. The issuance and contest of citations under this section shall be governed by the provisions of this article.
NOTE

Authority cited: Sections 125.9, 148 and 3917, Business and Professions Code. Reference: Sections 125.9, 148 and 3917, Business and Professions Code.
HISTORY

1. New section filed 1-30-97; operative 3-1-97 (Register 97, No. 5).
Article 8. Administrator Responsibility and Disciplinary Actions
§3175. Responsibility.
Note     •     History

(a) As responsible managing officer of the facility, it is the responsibility of the administrator to plan, organize, direct, and control the day-to-day functions of a facility.
(b) The administrator shall be vested with adequate authority to comply with the laws, rules and regulations relating to the management of the facility.
(c) The administrator shall not be responsible for an act or omission which constitutes a violation of Division 2 of the code, by a person licensed pursuant to that division, unless the act or omission also constitutes a violation of a Department of Health Services Skilled and Intermediate Nursing Care Facility regulation (Chapters 3 and 4, Division 5, Title 22, California Administrative Code) and if the facility is responsible for implementation of the regulation.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 3903, Business and Professions Code.
HISTORY

1. New Article 8 (Sections 3175 and 3176) filed 4-17-73; effective thirtieth day thereafter (Register 73, No. 16).
2. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
3. Amendment of subsection (a), repealer of subsection (c), and new subsections (c) and (d) filed 11-16-78; effective thirtieth day thereafter (Register 78, No. 46).
4. Amendment of subsection (c) and repealer of subsection (d) filed 12-24-82; designated effective 2-1-83 (Register 82, No. 52).
§3175.5. Disciplinary Action.
Note     •     History

Grounds for disciplinary action include:
(a) Failure to comply with these regulations or the laws, rules and regulations relating to health facilities.
(b) The commission of any dishonest, corrupt or fraudulent act or act of physical or mental, including sexual, abuse in connection with the administration of, or any patient in, a nursing home.
(c) Violation of any federal or state statute or regulation regarding narcotics, dangerous drugs or controlled substances.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 3930, Business and Professions Code.
HISTORY

1. New section filed 11-16-78; effective thirtieth day thereafter (Register 78, No. 46).
2. Amendment of NOTE filed 8-29-85; effective thirtieth day thereafter (Register 85, No. 35).
§3176. Acting Without a License.
Note     •     History

NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 3905, Business and Professions Code.
HISTORY

1. Repealer filed 9-8-81; designated effective 1-1-82 (Register 81, No. 37).
§3177. Substantial Relationship Criteria.
Note     •     History

For the purposes of denial, suspension, or revocation of a license pursuant to Division 1.5 (commencing with Section 475) of the Code, a crime or act shall be considered to be substantially related to the qualifications, functions or duties of a licensed nursing home administrator if to a substantial degree it evidences present or potential unfitness of a licensed nursing home administrator to perform the functions authorized by this license in a manner consistent with the public health, safety, or welfare. Such crimes or acts shall include but not be limited to those involving the following:
(a) Using fraud or deception in applying for a license or in taking the examination provided for in Chapter 8.5 of Division 2 of the Code.
(b) A conviction of practicing medicine without a license in violation of Chapter 5 of Division 2 of the Code.
(c) Violating or attempting to violate, directly or indirectly, or assisting in or abetting the violation of, or conspiring to violate any provision or term of Chapter 8.5, Division 2 of the Code.
(d) Any crime or act involving the sale, gift, administration, or furnishing of “narcotics or dangerous drugs or dangerous devices” as defined in Section 4035 of the Code.
(e) Conviction of a crime involving fiscal dishonesty.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 481, Business and Professions Code.
HISTORY

1. Repealer filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4). For prior history, see Register 74, No. 5.
2. Renumbering of Section 3118 to Section 3177 filed 9-8-81; designated effective 1-1-82 (Register 81, No. 37).
§3178. Criteria for Rehabilitation.
Note     •     History

(a) The Board shall evaluate the rehabilitation of the applicant, licensee, or petitioner and his or her present eligibility for a license:
(1) When considering the denial of a license under the provisions of Section 480 of the Code:
(2) When considering the suspension or revocation of a license on the grounds that a licensed Nursing Home Administrator has been convicted of a crime;
(3) When considering a petition for reinstatement of a license under the provisions of Section 11522 of the Government Code.
(b) In evaluating the rehabilitation of the applicant, licensee, or petitioner, the Board shall consider the following criteria:
(1) The nature and severity of the act(s) or crime(s) under consideration.
(2) Evidence of any act(s) committed subsequent to the act(s) or crimes under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the Code when considering an applicant pursuant to subsection (a)(1) of this section.
(3) Total criminal record when considering a person pursuant to subsections (a)(2) and (a)(3) of this section.
(4) The time that has elapsed since commission of the act(s) or crime(s) under consideration.
(5) The extent to which the applicant, licensee, or petitioner has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant, licensee, or petitioner.
(6) Evidence, if any, of rehabilitation submitted by the applicant, licensee, or petitioner. Such evidence may include, but is not limited to, proof of additional training or education, evidence of service to the community, and, if applicable, evidence of expungement proceedings, pursuant to Section 1203.4 of the Penal Code.
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 482, Business and Professions Code.
HISTORY

1. Renumbering and amendment of Section 3119 to Section 3178 filed 9-8-81; designated effective 1-1-82 (Register 81, No. 37).
2. Amendment of NOTE filed 8-29-85; effective thirtieth day thereafter (Register 85, No. 35).
§3179. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), the Board shall consider the disciplinary guidelines entitled “Disciplinary Procedural Guidelines” [adopted May 11, 1995, revised August 17, 1995] which are hereby incorporated by reference. Deviation from these guidelines and orders, including the standard terms of probation is appropriate where the Board in its sole discretion determines that the facts of the particular case warrant such a deviation--for examples: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Section 3917, Business and Professions Code; Section 11400.20 and 11400.21, Government Code. Reference: Sections 11400.20 and 11425.50(e), Government Code.
HISTORY

1. New section filed 7-1-97; operative 7-1-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 27).
Article 9. Fees
§3180. Fees.
Note     •     History

Consistent with Business and Professions Code Section 3940, the following fees shall be in effect:
(a) The application fee for the administrator-in-training program shall be one hundred dollars ($100).
(b) The examination fees shall be:
(1) One hundred seventy-five dollars ($175) for a written national examination;
(2) Two hundred ten dollars ($210) for an automated national examination;
(3) One hundred forty dollars ($140) for a written state examination;
(4) One hundred fifty dollars ($150) for an automated state examination.
(c) The fee for an initial license shall be prorated as set forth in Section 3130.
(d) The renewal fee for an active license shall be one hundred ninety dollars ($190).
(e) The renewal fee for an inactive license shall be one hundred ninety dollars ($190).
(f) The preceptor certification fee shall be twenty-five dollars ($25) for each three-year period.
(g) The biennial fee for the approval of a continuing education provider shall be one hundred fifty dollars ($150).
(h) The biennial fee for approval of a continuing education course shall be fifteen dollars ($15).
NOTE

Authority cited: Section 3917, Business and Professions Code. Reference: Section 3940, Business and Professions Code.
HISTORY

1. New section filed 11-16-78; effective thirtieth day thereafter (Register 78, No. 46).
2. Renumbering and amendment of Section 3178 to Section 3180 and designation of new Article 9 filed 9-8-81; designated effective 1-1-82 (Register 81, No. 37).
3. Amendment of subsections (c) and (f) filed 11-3-81; designated effective 1-1-82 (Register 81, No. 45).
4. Amendment filed 2-16-88; operative 4-1-88 (Register 88, No.9).
5. Repealer and new section filed 4-18-95; operative 4-18-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 16).
6. Amendment of subsections (b)(1) and (b)(3) and repealer of subsection (b)(5) filed 1-27-97; operative 1-27-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 5).
7. Amendment of subsection (c) filed 1-26-98; operative 2-25-98 (Register 98, No. 5).
Division 32. Tax Preparer Program
Article 1. General Provisions
§3201. Definitions.
Note     •     History

For the purpose of the rules and regulations contained in this chapter, the following definitions shall apply:
(a) The term “administrator” means the Administrator--Tax Preparer Program.
(b) The term “Code” means, unless otherwise designated, Business and Professions Code.
(c) The term “Act” means Chapter 20.6 of Division 3 of the Business and Professions Code, which chapter is also cited as the Tax Preparers Act.
(d) The term “program” means the Tax Preparer Program, which includes all procedures, regulations, and activities authorized or associated with the Tax Preparers Act.
NOTE

Authority cited: Section 9891.11, Business and Professions Code. Reference: Sections 9891.1 and 9891.11, Business and Professions Code.
HISTORY

1. New Chapter 32 (Articles 1-5, §§ 3200-3242, not consecutive) filed 10-30-75; effective thirtieth day thereafter (Register 75, No. 44). For prior history, see Registers 72, No. 19 and 74, No. 42.
2. Order of Repeal of Chapter 32 (Articles 1-5, Sections 3200-3243, not consecutive) filed 8-26-82 by OAL pursuant to Government Code Section 11349.7(j) (Register 82, No. 35). For prior history, see Registers 77, No. 27 and 77, No. 10).
3. New Chapter 32 (Section 3230) filed 11-17-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 47).
4. Redesignation of Section 3230 into Article 5 and new Article 1 (Sections 3201 and 3202) filed 4-18-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 16).
§3202. Filing of Address.
Note

(a) All registered tax preparers and tax interviewers shall file a current mailing address with the administrator at the program's office in Sacramento and shall within 60 days notify the administrator of any and all changes of their mailing address, giving both the old and new address.
(b) All registered tax preparers and tax interviewers shall file the business name and address where he or she is engaged in the occupation as a registered tax preparer or tax interviewer with the administrator at the program's office in Sacramento and shall within 30 days notify the administrator of any changes thereto.
NOTE

Authority cited: Section 9891.11, Business and Professions Code. Reference: Sections 9891.12 and 9891.22, Business and Professions Code.
Article 2. Applications
§3205. Application for Registration.
Note     •     History

An application for registration as a registered tax preparer or tax interviewer shall be submitted to the administrator at the program's office in Sacramento on an application form prescribed and provided by the program. An application shall be accompanied by the fee prescribed in Section 3230 and a bond or other security in the amount prescribed by Section 3216.
NOTE

Authority cited: Section 9891.11, Business and Professions Code. Reference: Sections 9891.20, 9891.35 and 9891.42, Business and Professions Code.
HISTORY

1. New Article 2 (Sections 3205 and 3208) filed 4-18-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 16).
§3208. Abandonment of Application.
Note

An application shall be deemed abandoned and all fees previously paid shall be forfeited if an applicant fails to respond within 6 months of the administrator's written request for additional information concerning the application.
NOTE

Authority cited: Section 9891.11, Business and Professions Code. Reference: Section 9891.20, Business and Professions Code.
Article 3. Registrations
§3213. Approval of Continuing Education Courses.
Note     •     History

(a) In order to request approval of a continuing education course or an instruction course required by Section 9891.20 of the Code, a course provider shall apply for such approval on a form prescribed and provided by the administrator.
(b) An application for continuing education course approval shall be submitted to the administrator at least 90 days prior to the first class session.
(c) After giving a course provider written notice and an opportunity to respond, the administrator may withdraw approval of any education or instruction course.
(d) Unless otherwise indicated on the written notification of approval, or unless approval is withdrawn by the administrator at an earlier date, approval of each education or instruction course shall remain in effect until June 30 of the next succeeding odd-numbered year.
NOTE

Authority cited: Section 9891.11, Business and Professions Code. Reference: Section 9891.39, Business and Professions Code.
HISTORY

1. New Article 3 (Sections 3213-3216) filed 4-18-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 16).
§3214. Approved Providers.
Note

(a) Approved course providers of continuing education or instruction courses required by Section 9891.20 of the Code shall not grant partial credit for their course.
(b) Approved course providers shall maintain the following records for a period of two years in a place or places approved by the Administrator:
(1) The course outlines of each course given;
(2) A record of the times and places where each course was administered;
(3) The course instructor's vita or resume;
(4) The names of each student and his or her tax preparer or tax interviewer registration number or other identification number completing any approved course.
(c) All changes to the content of any previously approved course shall require the prior approval of the Administrator.
(d) Course approval shall be non-transferable.
NOTE

Authority cited: Section 9891.11, Business and Professions Code. Reference: Section 9891.39, Business and Professions Code.
§3215. Course Verification and Documentation.
Note

(a) Approved course providers of continuing education or instruction courses required by Section 9891.20 of the Code shall issue a document of proof, i.e., gradeslip, or transcript to each participant to show that the individual has met the established criteria for successful completion of a course.
(b) A certificate or diploma evidencing successful completion shall contain the following information:
(1) Name of the student and his or her tax preparer or tax interviewer registration number;
(2) Course title;
(3) Course provider name, address, and provider number;
(4) Date of course completion;
(5) Number of continuing education or instruction contact hours;
(6) Signature of instructor and/or provider, or provider designee;
(c) Course verification shall be issued within a reasonable time after the completion of the course, not to exceed ninety (90) days.
(d) A registered tax preparer or tax interviewer shall retain his or her continuing education course verification for a period of two years after the successful completion of the course.
(e) At the conclusion of each continuing education course, the provider shall solicit the participants' comments or evaluations of the course and shall submit a summary of such comments or evaluations to the Tax Preparer Program.
(f) The provider shall submit to the Tax Preparer Program the attendance records for a continuing education course within two weeks of its conclusion.
NOTE

Authority cited: Section 9891.11, Business and Professions Code. Reference: Section 9891.39, Business and Professions Code.
§3216. Tax Interviewer Bonds.
Note

A registered tax preparer, other than a tax preparer operating solely in the capacity of a tax interviewer, shall deposit with the division, prior to registration or registration renewal a bond or other security in the amount of two thousand dollars ($2,000).
A tax preparer shall increase the amount of his or her bond or security on deposit with the division by two thousand dollars ($2,000) for each tax interviewer associated with the tax preparer. In no event, however, shall the amount of the total bond or security on deposit with the division for any single tax preparer and associated tax interviewers be required to exceed fifty thousand dollars ($50,000).
NOTE

Authority cited: Section 9891.11, Business and Professions Code. Reference: Section 9891.35, Business and Professions Code; and Section 995.710, Code of Civil Procedure.
Article 4. Professional Rules
§3222. Maintenance of Business Records.
Note     •     History

Each registered tax preparer shall keep permanent books of account or records for six years after the end of the preparer's fiscal year reflecting his or her business activity.
NOTE

Authority cited: Section 9891.11, Business and Professions Code. Reference: Section 9891.28, Business and Professions Code.
HISTORY

1. New Article 4 (Section 3222) filed 4-18-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 16).
Article 5. Fees
§3230. Fees.
Note     •     History

Pursuant to Section 9891.42 of the Code, the following fees are established:
(a) The registration fee for a tax preparer is fifty dollars ($50).
(b) The registration fee for a tax interviewer is fifty dollars ($50).
(c) The tax preparer registration renewal fee for the registration period commencing on November 1, 1992 and thereafter is fifty dollars ($50).
(d) The tax interviewer registration renewal fee for the registration period commencing on November 1, 1992 and thereafter is fifty dollars ($50).
(e) The fee for a branch office is twenty-five dollars ($25).
NOTE

Authority cited: Section 9891.11, Business and Professions Code. Reference: Section 9891.42, Business and Professions Code.
HISTORY

1. New chapter 32 (articles 1-5, sections 3200-3242, not consecutive) filed 10-30-75; effective thirtieth day thereafter (Register 75, No. 44). For prior history, see Registers 72, No. 19 and 74, No. 42.
2. Order of repeal of chapter 32 (articles 1-5, sections 3200-3243, not consecutive) filed 8-26-82 by OAL pursuant to Government Code section 11349.7(j) (Register 82, No. 35). For prior history, see Registers 77, No. 27 and 77, No. 10.
3. New chapter 32 (section 3230) filed 11-17-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 47).
4. Redesignation of section 3230 into article 5 filed 4-18-84; effective upon filing pursuant to Government Code Section 11346.2(d)(Register 84, No. 16).
5. Amendment of subsections (c) and (d) filed 8-29-85; effective upon filing pursuant to Government Code section 11346.2(d) (Register 85, No. 35).
6. Amendment of subsections (c) and (d) filed 9-16-86; effective upon filing pursuant to Government Code section 11346.2(d) (Register 86, No. 38).
7. Amendment filed 8-16-88; operative 8-16-88 pursuant to Government Code section 11346.2(d) (Register 88, No. 34).
8. Amendment of subsections (c) and (d), and new subsection (e) filed 7-15-92; operative 8-14-92 (Register 92, No. 29).
Article 6. Miscellaneous
§3236. Criteria for Evaluation of Rehabilitation.
Note     •     History

(a) When considering the denial of a registration under Section 480 of the Code, the Administrator, in evaluating the rehabilitation of the application and his or her present eligibility for registration, will consider the following criteria:
(1) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the Code.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(5) Evidence, if any, of rehabilitation submitted by the applicant.
(b) When considering the suspension or revocation of a registration on the grounds of conviction of a crime, the Administrator, in evaluating the rehabilitation of the registered tax preparer or tax interviewer and his or her present eligibility for registration will consider the following criteria:
(1) Nature and severity of the act(s) or offense(s).
(2) Total criminal record.
(3) Extent of time that has elapsed since commission of the act(s) or offense(s).
(4) Whether the registered tax preparer or tax interviewer has complied with any or all terms of parole, probation, restitution or any other sanctions lawfully imposed against the registrant such person.
(5) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(6) Evidence, if any, of rehabilitation submitted by the registered tax preparer or tax interviewer.
NOTE

Authority cited: Section 9891.11, Business and Professions Code. Reference: Sections 475, 480, 482 and 9891.25, Business and Professions Code.
HISTORY

1. New Article 6 (Section 3236) filed 4-18-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 16).
Division 33. Bureau of Automotive Repair
Chapter 1. Automotive Repair Dealers and Official Stations and Adjusters
Article 1. General Provisions
§3300. Location of Office. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 9882, 9887.1 and 9888.2, Business and Professions Code. Reference: Sections 9882 and 9887.1, Business and Professions Code.
HISTORY

1. New chapter 33 (sections 3300-3303, 3304-3315, 3316, 3320, 3321, 3325- 3327) filed 3-6-72 as an emergency; effective upon filing (Register 72, No. 11).
2. Certificate of Compliance filed 5-11-72 (Register 72, No. 20).
3. Amendment filed 7-25-75; effective thirtieth day thereafter (Register 75, No. 30).
4. Redesignation of sections 3300-3395 as subchapter 1 filed 3-15-79 as an emergency; effective upon filing (Register 79, No. 11).
5. Amendment of NOTE filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
6. Amendment filed 3-28-86; effective thirtieth day thereafter (Register 86, No. 13).
7. Amendment of subchapter 1 heading filed 9-26-90; operative 10-26-90 (Register 90, No. 44).
8. Editorial correction of printing error removing duplicate text (Register 91, No. 32).
9. Change without regulatory effect repealing section filed 5-8-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 19).
§3301. Continuation of Existing Regulations.
Note     •     History

NOTE

Authority Cited: Section 9882, Business and Professions Code.
HISTORY

1. Repealer filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3302. Tenses, Gender and Number.
Note     •     History

NOTE

Authority cited: Section 9882, Business and Professions Code.
HISTORY

1. Repealer filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3303. Definitions.
Note     •     History

In this chapter, unless the context otherwise requires:
(a) “Code” means the Business and Professions Code.
(b) “Department” means the Department of Consumer Affairs.
(c) “Act” means the Automotive Repair Act as contained in Chapter 20.3, Division 3 of the Business and Professions Code.
(d) “Passenger vehicle” means a motor vehicle used for private transportation or recreational purposes, including recreational vehicles and excluding commercial vehicles.
(e) “Commercial vehicle” means a vehicle designed, used or maintained primarily for the transportation of persons or property for hire, compensation or profit.
(f) “Recreational vehicle” means a motor vehicle designed or altered for recreational purposes or for human habitation and includes a motor vehicle used for transporting camper units.
(g) “Compensation” means any form of remuneration received for repairing or diagnosing malfunctions of motor vehicles. Where repair or diagnostic work is performed pursuant to a warranty, compensation is presumed to have been paid, whether the warranty has been obtained in connection with the purchase of a motor vehicle or otherwise.
(h) “Repair of motor vehicles” as used in subdivision (e) of Section 9880.1 of the Act shall not include the repair of that portion of a recreational vehicle which is intended for human habitation and which is unrelated to the operation of the vehicle, or a transmission fluid change.
(i) “Transmission fluid change” means changing the transmission fluid without removing the transmission pan or changing the transmission filter.
(j) “Authorization” means consent. Authorization shall consist of the customer's signature on the work order, taken before repair work begins. Authorization shall be valid without the customer's signature only when oral or electronic authorization is documented in accordance with applicable sections of these regulations.
(k) “Building” means a permanent structure with walls, a floor, and a roof.
(l) “Auto body repair shop” means an automotive repair dealer who performs repairs or reconstruction of automobile or truck bodies, structures, or frames. Auto body repair shop does not include an automotive repair dealer also licensed by the department of Motor Vehicles as a motor vehicle dealer who engages in either the activity of up-fitting or down-fitting it's vehicle inventory, or performs those repairs that may be performed without utilizing the tools or equipment required by Section 3351.5.
(m) “Section” or “Sectioning” means the replacement of less than a whole part or component by splicing the part or component at non-factory seams.
(n) “Corrosion protection” means a coating applied to the vehicle to create a corrosion resistant barrier that protects the structure or component from the elements to which it is exposed.
(o) “Structure” means those components or parts that are designed to support weight, absorb collision energy, and absorb road shock.
(p) “Crash part” means a replacement for any of the non-mechanical sheet metal or plastic parts which generally constitute the exterior of a motor vehicle, including inner and outer panels.
(q) “Original Equipment Manufacturer crash part” or “OEM crash part” means a crash part made for or by the original vehicle manufacturer that manufactured, fabricated or supplied a vehicle or a component part.
(r) “Non-Original Equipment Manufacturer aftermarket crash part” or “non-OEM aftermarket crash part” means aftermarket crash parts not made for or by the manufacturer of the motor vehicle.
NOTE

Authority cited: Sections 9882, 9884.9, 9884.19 and 9887.1, Business and Professions Code. Reference: Sections 9880.1(a), (e) and (f), 9882, 9884.7(a)(2), 9884.9, 9889.50, 9889.51 and 9889.52, Business and Professions Code.
HISTORY

1. New subsections (f) through (o) filed 12-29-72; effective thirtieth day thereafter (Register 72, No. 53).
2. Amendment of subsection (o) and new subsection (p) filed 6-9-78; effective thirtieth day thereafter (Register 78, No. 23).
3. Amendment filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
4. Amendment of subsection (e) filed 8-18-92; operative 9-17-92 (Register 92, No. 37).
5. Amendment of subsection (h), new subsection (i) and subsection relettering filed 3-7-97; operative 4-6-97 (Register 97, No. 10).
6. New subsections (m)-(s) and amendment of Note filed 10-20-97; operative 11-19-97 (Register 97, No. 43).
7. Amendment of subsection (k) and amendment of Note filed 5-2-2002; operative 6-1-2002 (Register 2002, No. 18).
8. Change without regulatory effect repealing subsection (j), relettering subsections and amending newly designated subsections (m) and (o)-(r) filed 6-5-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 23).
§3303.1. Public Access to License, Administrative Action, and Complaint Information.
Note     •     History

It is the policy of the bureau that information regarding licenses, administrative actions and complaints shall be made available, pursuant to the California Public Records Act (Chapter 3.5 of Division 7 of Title 1 of the Government Code, commencing with Section 6250) to any person who requests that information. The following provisions implement departmental policy within the bureau by establishing an information system designed to provide individual members of the public with information about bureau registrants and licensees. Information subject to public disclosure shall be provided to members of the public, upon request, by telephone, in person, or in writing (including fax or e-mail). The information, when feasible and to the extent required or permitted by law, shall be made available by the bureau in writing. Requests for information shall be responded to within ten (10) days. 
(a) The bureau will disclose the following information, as applicable, regarding past and current registrants or licensees: 
(1) The name of the registrant or licensee, as it appears in the bureau's records, including all fictitious or business names shown therein. 
(2) The registration or license number. 
(3) The address of record. 
(4) The date of original registration or licensure. 
(5) The current status of the registration or license. 
(6) The date the registration or license will expire, or has expired, and, if applicable, the date the registration or license was suspended, revoked, cancelled or otherwise terminated. 
(b) The bureau will disclose the following information regarding administrative action taken by the bureau against registrants or licensees: 
(1) The total number of administrative actions taken. 
(2) A brief summary of the violations alleged in the administrative actions. 
(3) The current status of pending administrative actions, if any. Disclosure of pending actions shall contain a disclaimer stating that the pending administrative action(s) against the registrant(s) or licensee(s) is/are alleged and no final legal determination has yet been made. Further disclaimers or cautionary statements regarding pending actions may also be made. 
(4) The final disposition, if any, of the administrative actions, including any discipline or penalty imposed. Citations that have been satisfactorily resolved shall be disclosed as such. 
(5) Any additional information that is statutorily mandated to be disclosed. 
(c)(1) The bureau will disclose complaint information when the Chief, or the Chief's designee, has determined that any of the following conditions have been met: 
(A) The complaint information has a direct and immediate relationship to the health and safety of another person. 
(B) The complaint involves a dangerous act or condition caused by the subject of the complaint that has or could result in death, bodily injury or severe consequences and disclosure may protect the consumer and/or prevent additional harm to the public. 
(C) A series of complaints against a registrant or licensee has been received by the bureau, alleging a pattern of unlawful activity, and it has been determined that disclosure may help to protect the consumer and/or prevent additional harm to the public. 
(D) The complaint has resulted in the issuance of a citation by the bureau. 
(E) The allegations in the complaint are part of an administrative action that has been referred to the Attorney General for filing of an Accusation or Statement of Issues. 
(F) The complaint has been referred to a law enforcement agency for prosecution. 
(2) The bureau will not provide copies of actual complaints and no personal information will be disclosed. Information about a complaint will not be disclosed if it is determined by the Chief or the Chief's designee, that any of the following apply: 
(A) Disclosure is prohibited by statute or regulation. 
(B) Disclosure might compromise any investigation or prosecution. 
(C) Disclosure might endanger or injure the complainant or a third party. 
(3) When the conditions for disclosure listed in paragraph (1) of this subsection have been met, and none of the conditions listed in paragraph (2) are found to be applicable, the bureau will disclose the following information regarding complaints received against registrants or licensees: 
(A) The total number of complaints that meet the conditions for disclosure. 
(B) The date of receipt and the nature of each disclosable complaint. 
(C) The disposition of each disclosable complaint, indicating whether the matter has been: 
1. referred for administrative action; 
2. disposed of through any other action, formal or informal; or 
3. resolved by other disposition. 
(D) Information that is statutorily mandated to be disclosed. 
(E) A description of the type of public information not included (i.e., civil judgements, criminal convictions, unsubstantiated complaints). 
(4) All disclosures of complaint information shall include disclaimers indicating that the disclosure does not constitute endorsement or non-endorsement of the registrant or licensee, and that not all available information may be included. 
(d) For the purposes of this section, “administrative action” shall mean an Accusation or Statement of Issues filed by the bureau, or a Citation issued by the bureau. 
NOTE

Authority cited: Section 9882, Business and Professions Code; and Sections 6253 and 6253.4, Government Code. Reference: Sections 27, 129 and 9882, Business and Professions Code; and Sections 6253, 6253.1 and 6254, Government Code.
HISTORY

1. New section filed 6-5-81; effective thirtieth day thereafter (Register 81, No. 23).
2. Amendment of section heading, repealer and new section and amendment of Note filed 6-20-2007; operative 7-20-2007 (Register 2007, No. 25).
§3303.2. Review of Applications for Licensure, Registration and Certification; Processing Time.
Note     •     History

(a) An applicant for an initial license, registration or certification shall be informed in writing within 14 days whether the application is complete and accepted for filing or is incomplete and what specific information is required.
(b) An applicant for initial licensure as an official lamp, brake or smog check station shall be informed in writing, within 45 days after completion of the application, of the bureau's decision whether the applicant meets the requirements for licensure. Inspection of the applicant's station shall be performed during that time period. In the event that the inspection indicates a deficiency, the time period may be extended by that time necessary for correcting the deficiency.
(c) An applicant for initial licensure as a smog check technician shall be informed in writing, within 70 days after completion of the application, of the bureau's decision whether the applicant meets the requirements to take the technician examination.
(d) An applicant for initial licensure as an adjuster shall be informed in writing, within 70 days after completion of the application, of the bureau's decision whether the applicant meets the requirements for licensure. This period may be extended by the time necessary for rescheduling an examination if the applicant fails the examination or fails to take the examination at the time first scheduled by the bureau.
(e) An applicant for initial registration as an automotive repair dealer shall be informed in writing, within 45 days after completion of the application, of the bureau's decision whether the applicant meets the requirements for registration.
(f) An applicant for initial licensure as a fleet facility shall be informed in writing, within 15 days after completion of the application, of the bureau's decision whether the applicant meets the requirements for licensure.
(g) An applicant for certification as an instructor of Smog check technicians shall be informed in writing, within 45 days after completion of the application, as to whether the applicant meets the requirements for certification.
(h) An applicant for initial certification as an institution providing training to Smog check technicians shall be informed in writing, within 70 days after completion of the application, of the bureau's decision as to whether the applicant meets the requirements for certification. Inspection of the applicant's training facility shall be performed during that time period. In the event that the inspection indicates a deficiency, the time period may be extended by that time necessary for correcting the deficiency.
(i) An applicant applying for certification as a Gold Shield station shall be informed in writing, within 45 days after the bureau has received a completed Gold Shield Application form (GSR-1 (08/05/97)) which is incorporated by reference, of the bureau's decision that the station meets, or does not meet, the eligibility requirements, or the basis for disapproving the certification. Inspection of the applicant's station shall be performed during that time period. In the event that the inspection indicates a deficiency, the time period may be extended by that time necessary for correcting the deficiency. A representative of the bureau may make an inspection of the applicant's station. A certification may be issued only for an applicant that meets the specifications contained in Article 10, of this Chapter.
(j) “Completion of the application” as used in this section means that a completed application and required fees have been filed by the applicant and received by the bureau.
(k) The minimum, maximum and median processing times for initial licensure, or a Gold Shield  (GS) station certification from the time of receipt of the initial application until the bureau made a final decision on the application, or the GS station certification were:

	Lamp	Brake	Smog Check
	Station	Station	Technician

(1) Minimum	14 days	15 days 	21 days
(2) Median	20 days	21 days 	50 days
(3) Maximum	44 days	29 days 	120 days

	Lamp	Brake
	Adjuster	Adjuster
(1) Minimum	15 days	21 days
(2) Median	52 days	50 days
(3) Maximum	101 days	103 days 

			Technician
	Automotive	Smog Check	Training
	Repair Dealer	Station	Institution

(1) Minimum	17 days	3 days	10 days
(2) Median	39 days	22 days	61 days
(3) Maximum	97 days	120 days	347 days	

			Technician
	Fleet	Smog Check	Training
	Facility	Inspector	Instructor

(1) Minimum	1 day	2 days	2 days
(2) Median	10 days	9 days	22 days
(3) Maximum	28 days	112 days	264 days

	Gold Shield
	Station

(1) Minimum	30 days
(2) Median	42 days
(3) Maximum	72 days

(l) An applicant for certification to blend, fill or sell emissions inspection system (EIS) calibration gases pursuant to section 44036.5 of the Health and Safety Code shall be informed in writing, within 70 days after completion of the application of the bureau's decision as to whether the applicant meets the requirements for certification. The minimum, maximum and median processing times for initial certification for such applicants from the time of receipt of the initial application until the bureau made a final decision on the application has been as follows:

	(1) Minimum	40 days
	(2) Median	53 days
	(3) Maximum	73 days
NOTE

Authority cited: Sections 9882 and 9887.1, Business and Professions Code; Sections 44001.5, 44002, 44014, 44031, 44036.5 and 44045.5,  Health and Safety Code; and Section 15376, Government Code. Reference: Section 15376, Government Code; Section 44014.2, Health and Safety Code; and Section 20, Title 1, Government Code.
HISTORY

1. New section filed 11-25-83; effective thirtieth day thereafter (Register 83, No. 48).
2. Amendment filed 9-26-90; operative 10-26-90 (Register 90, No. 44).
3. Editorial correction of printing error of subsection (j) Brake Adjuster median from printed 21 to correct 50 days (Register 91, No. 46).
4. Amendment filed 8-20-91; operative 9-19-91 (Register 92, No. 1).
5. Amendment of subsection (c), new subsection (d), subsection relettering, and amendment of subsections (g)-(h) and Note filed 6-23-95 as an emergency; operative 6-23-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-21-95 or emergency language will be repealed by      operation of law on the following day.
6. Certificate of Compliance as to 6-23-95 order transmitted to OAL 10-20-95 and filed 12-6-95 (Register 95, No. 49).
7. New subsection (i), subsection relettering, amendment of newly designated subsection (k), and amendment of Note filed 4-23-97 as an emergency; operative 4-23-97 (Register 97, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-21-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-23-97 order, including further amendment of subsection (i), transmitted to OAL 8-19-97 and filed 9-30-97 (Register 97, No. 40).
9. Amendment of subsection (l) filed 6-9-2003; operative 7-9-2003 (Register 2003, No. 24).
10. Change without regulatory effect amending subsections (g)-(i) and (k)-(l) filed 10-11-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§3303.3. Current Address Required.
Note     •     History

Each registrant or licensee of the bureau shall have on file at the principal office of the bureau his or her correct mailing and street address. A registrant or licensee shall within 14 days notify the bureau of any changes in mailing or street address giving both the old and new addresses.
NOTE

Authority cited: Section 9882, Business and Professions Code; and Section 44002, Health and Safety Code. Reference: Sections 9882 and 9882.4, Business and Professions Code; and Section 44002, Health and Safety Code.
HISTORY

1. New section filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
§3303.4. Nondiscrimination Clause. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 9882, 9887.1, 9887.2 and 9888.2, Business and Professions Code; and Section 44030, Health and Safety Code. Reference: Sections 9880, 9880.2, 9888.1, 9888.2, 9888.3 and 9889.31, Business and Professions Code; Sections 44002, 44014, 44030, 44033 and 44034, Health and Safety Code; and Section 15376, Government Code.
HISTORY

1. New section filed 12-8-98 as an emergency; operative 12-8-98 (Register 98, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-8-99 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 5).  
§3303.4.1. Applicant Compliance with PRWORA. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 9882, 9887.1, 9887.2 and 9888.2, Business and Professions Code; and Section 44030, Health and Safety Code. Reference: Sections 9880, 9880.2, 9888.1, 9888.2, 9888.3 and 9889.31, Business and Professions Code; Sections 44002, 44014, 44030, 44033 and 44034, Health and Safety Code; and Section 15376, Government Code.
HISTORY

1. New section filed 12-8-98 as an emergency; operative 12-8-98 (Register 98, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-8-99 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2002, No. 42).
§3303.4.2. Requirements for Licensure for Certain Aliens. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 9882, 9887.1, 9887.2 and 9888.2, Business and Professions Code; and Section 44030, Health and Safety Code. Reference: Sections 9880, 9880.2, 9888.1, 9888.2, 9888.3 and 9889.31, Business and Professions Code; Sections 44002, 44014, 44030, 44033 and 44034, Health and Safety Code; and Section 15376, Government Code.
HISTORY

1. New section filed 12-8-98 as an emergency; operative 12-8-98 (Register 98, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-8-99 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2002, No. 42).
§3303.4.3. PRWORA Verification. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 9882, 9887.1, 9887.2 and 9888.2, Business and Professions Code; and Section 44030, Health and Safety Code. Reference: Sections 9880, 9880.2, 9888.1, 9888.2, 9888.3 and 9889.31, Business and Professions Code; Sections 44002, 44014, 44030, 44033 and 44034, Health and Safety Code; and Section 15376, Government Code.
HISTORY

1. New section filed 12-8-98 as an emergency; operative 12-8-98 (Register 98, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-8-99 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2002, No. 42).
§3303.4.4. No Refund of Application Fee. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 9882, 9887.1 and 9887.2, Business and Professions Code. Reference: Sections 44034 and 44034.1, Health and Safety Code; Sections 158 and 163.5, Business and Professions Code;  and Section 13142, Government Code.
HISTORY

1. New section filed 12-8-98 as an emergency; operative 12-8-98 (Register 98, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-8-99 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2002, No. 42).
Article 2. Licensing of Official Stations and Adjusters
§3304. Scope of Regulations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 9882, Business and Professions Code.
HISTORY

1. Repealer filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3305. Station Performance, Work Area and Adjuster Required.
Note     •     History

(a) All adjusting, inspecting, servicing, and repairing of brake systems and lamp systems for the purpose of issuing any certificate of compliance or adjustment shall be performed in official stations, by official adjusters, in accordance with the following, in descending order of precedence, as applicable:
(1) Vehicle Manufacturers' current standards, specifications and recommended procedures, as published in the manufacturers' vehicle service and repair manuals.
(2) Current standards, specifications, procedures, directives, manuals, bulletins and instructions issued by vehicle and equipment or device manufacturers.
(3) Standards, specifications and recommended procedures found in current industry-standard reference manuals and periodicals published by nationally recognized repair information providers.
(4) The bureau's Handbook for Brake Adjusters and Stations, February 2003, which is hereby incorporated by reference.
(5) The bureau's Handbook for Lamp Adjusters and Stations, February 2003, which is hereby incorporated by reference.
(b) The specific activities for which an official station is licensed shall be performed only in an area of the station that has been approved by the bureau. Other work may be performed in the approved area, as desired. The work area shall be within a building and shall be large enough to accommodate the motor vehicle being serviced. The bureau may make an exception to the preceding requirement by approving a work area adjacent to a building for purposes of inspecting and adjusting equipment and devices on buses, trucks, truck tractors, trailers, and semitrailers. The work area shall be kept clean and orderly.
(c) The services of an officially licensed adjuster appropriate to each type and class of station license held shall be available at each official station, except a fleet owner station, not less than 40 hours weekly or not less than half of the hours the station is open for business weekly, whichever is less. Fleet owner stations are required to provide the services of a licensed adjuster only for certification procedures.
NOTE

Authority cited: Sections 9882, 9887.1 and 9888.2, Business and Professional Code. Reference: Sections 9888.2 and 9888.4, Business and Professions Code.
HISTORY

1. Amendment filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
2. Amendment of subsections (a) and (c) filed 5-11-90; operative 6-10-90 (Register 90, No. 26).
3. Editorial correction of HISTORY 2. (Register 91, No. 30).
4. Amendment of subsection (a) filed 8-20-91; operative 9-19-91 (Register 92, No. 1).
5. Editorial correction of subsection (b), restoring inadvertently omitted text (Register 2002, No. 23).
6. Amendment of section heading and section filed 1-23-2007; operative 2-22-2007 (Register 2007, No. 4).
§3306. Licensing Official Stations; Inspection; Term, Renewal and Replacement of Licenses.
Note     •     History

Official station licenses shall be issued and renewed in accordance with the following procedures:
(a) Licenses will be issued only after an on-site inspection of the station by a bureau representative confirms that the applicant meets the qualifications prescribed in these regulations. A station license shall expire one year from date of issue.
(b) The late renewal fee shall be $7.50 if the bureau receives the renewal application within 30 days after the date of expiration.
(c) In the event of a change of ownership of a licensed business, a new Application for Station License, Form R-4 (Rev 11/05), which is hereby incorporated by reference, and a fee of $10 shall be submitted to the bureau. In determining whether a fee is required, the following shall apply:
(1) “Change of ownership” means any change in legal ownership of the license or the licensed business, including the addition or the deletion of a partner, the transfer of any ownership interest between members of a family (such as by sale, gift, or the death of the legal owner or one of the owners), change of the business entity by incorporation of the business or a change in the corporate status that requires a new corporate number as issued by the Secretary of State.
(2) “Change of address” means any relocation of a licensed business not involving a change of ownership and any change in the mailing address, including a change resulting from street renumbering.
NOTE

Authority cited: Sections 9882 and 9887.1, Business and Professions Code. Reference: Sections 152.6, 163.5, 9887.1, 9887.2 and 9887.3, Business and Professions Code.
HISTORY

1. Amendment filed 6-26-74; designated effective 8-1-74 (Register 74, No. 26).
2. Amendment of subsection (e)(2) filed 5-8-75; effective thirtieth day thereafter (Register 75, No. 19).
3. Amendment filed 12-23-76; effective thirtieth day thereafter (Register 76, No. 52).
4. Amendment of subsection (a) filed 6-9-78; effective thirtieth day thereafter (Register 78, No. 23).
5. Amendment filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
6. Editorial correction of printing error inadvertently misstating authority section (Register 91, No. 6).
7. Amendment of section heading and section filed 1-23-2007; operative 2-22-2007 (Register 2007, No. 4).
8. Amendment of subsection (c) filed 2-1-2012; operative 2-1-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 5).
§3307. Display of Licenses and Posting of Prices; Equipment Maintenance; Records.
Note     •     History

Official stations shall comply with the following provisions governing display of licenses, maintenance of equipment, and record keeping.
(a) An official station license shall be placed under glass or other transparent cover and prominently displayed in an area of the station frequented by customers.
(b) Licenses of all official adjusters employed at a licensed station shall be mounted under glass or other transparent cover and prominently displayed in an area of the station frequented by customers.
(c) Each official station, except a fleet owner station, shall display an official station sign that meets the specifications in section 3309, and the sign shall be displayed in a location where it is clearly visible to the general public from outside the station.
(d) Each official station, except a fleet owner station, may make a reasonable charge for the work performed and shall post conspicuously, in an area frequented by customers, a list of prices for the specific activities for which it is licensed. Prices may be stated either as a fixed fee or an hourly rate on a time-and-material basis. No added charge shall be imposed for the issuance of official lamp adjustment or official brake adjustment certificates, or certifications on enforcement documents of the correction of lamp or brake violations. No charge relating to repair, replacement of parts, or adjustment of lamps or brakes shall be imposed in addition to the posted price for such adjustment or inspection unless such additional work and added charges are authorized in advance by the vehicle owner or operator.
(e) All adjusting, servicing, and testing instruments, machines, devices and equipment shall be maintained in good condition. Instruments, machines, devices and equipment requiring calibration or adjustment shall be calibrated or adjusted in accordance with the instructions of the manufacturers and the requirements of the bureau.
(f) Each licensee shall make, keep, and have available for inspection upon request of the bureau, records showing the transactions as a licensee for a period of not less than three (3) years after completion of any transaction to which the records refer, including, but not limited to, records of all lamp adjustment certificates and brake adjustment certificates issued by the licensee.
NOTE

Authority cited: Sections 9882.2, Business and Professional Code. Reference: Sections 9884.11, 9888.2 and 9888.3, Business and Professional Code.
HISTORY

1. Amendment of subsection (f) filed 6-26-74; designated effective 8-1-74 (Register 74, No. 26).
2. Amendment of subsection (e) filed 7-25-75; effective thirtieth day thereafter (Register 75, No. 30).
3. Amendment filed 12-23-76; effective thirtieth day thereafter (Register 76, No. 52).
4. Amendment of subsection (e) filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
5. Amendment of subsections (b), (d) and (f) filed 5-11-90; operative 6-10-90 (Register 90, No. 26).
6. Editorial correction of printing error restoring subsection (f) (Register 91, No. 45).
7. Editorial correction amending subsection (d) (Register 2003, No. 8).
8. Amendment of section heading and section filed 1-23-2007; operative 2-22-2007 (Register 2007, No. 4).
§3308. Official Station That Stops Operating As an Official Station.
Note     •     History

An official station shall stop performing the functions for which it has been licensed when it no longer has the services of a licensed adjuster, or when its station license has expired or has been surrendered, suspended, or revoked. The station must dispose of materials related to its formerly licensed activity according to these provisions.
(a) An official station that no longer has the services of a licensed adjuster shall immediately remove or cover the official station sign in accordance with subsection (b) of this section. If the station does not employ a licensed adjuster within 60 days, the station shall surrender its official station license to the bureau and shall return to the bureau all unused certificates of adjustments bought by the station to carry out the function for which it is no longer licensed.
(b) An official station that is no longer authorized to perform the function for which it has been licensed shall remove or cover the sign pertaining to the licensed function. A station that has a multipurpose sign shall cover those portions of the sign that pertain to the functions for which it is no longer licensed.
(c) When an official station license has expired or has been surrendered, suspended, or revoked, the station shall return to the bureau all unused certificates purchased by the station to carry out the function for which it is no longer licensed.
NOTE

Authority cited: Sections 9882, 9887.1 and 9888.2, Business and Professional Code. Reference: Sections 9887.1, 9888.2 and 9889.7, Business and Professional Code.
HISTORY

1. Repealer and new section filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
2. Amendment filed 5-11-90; operative 6-10-90 (Register 90, No. 26).
3. Amendment filed 1-23-2007; operative 2-22-2007 (Register 2007, No. 4).
§3309. Official Station Signs.
Note     •     History

Official station signs shall meet the specifications illustrated in this section and shall be displayed in accordance with subsection (c) of section 3307 of this article. A station that performs more than one official function may display a separate sign to designate each function or it my display one multipurpose sign appropriate to the official functions for which the station is licensed.
(a) Official station signs displayed separately to designate each function for which the station is licensed shall meet the following specifications:
(1) Single function signs shall have the dimensions shown in Figure 1.
(2) Single function signs shall be bordered and lettered in light chrome yellow; and the background shall be royal blue.
(3) Single function signs shall have lettering dimensions shown in Figure 2.

View Graphic

FIGURE 1. SIGN DIMENSIONS

View Graphic

FIGURE 2. LETTERING DIMENSIONS
(b) Multipurpose station signs displayed to designate the functions for which the station is licensed shall meet the following specifications:
(1) Multipurpose signs shall have the overall dimensions, shield size, placement, and lettering size shown in Figures 3 and 4.
(2) Multipurpose signs shall have lettering, shield border and station designation(s) in light chrome yellow; and the background shall be royal blue.
(3) The space to the right of the official station shield in a multipurpose sign shall be used to designate the official functions of the station, and such designation shall meet the requirements of paragraph (1) of subsection (b) of this section.

View Graphic

FIGURE 3. DIMENSIONS, MULTIPURPOSE SIGN

View Graphic

FIGURE 4. MULTIPURPOSE SIGN
NOTE

Authority cited: Sections 9882 and 9888.2, Business and Professions Code.Reference: Section 9888.2, Business and Professions Code.
HISTORY

1. Repealer of subsection (c) filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
2. Amendment filed 5-11-90; operative 6-10-90 (Register 90, No. 26).
3. Amendment of FIGURES 2 and 4 filed 10-23-91; operative 11-22-91 (Register 92, No. 35).
4. Amendment filed 1-23-2007; operative 2-22-2007 (Register 2007, No. 4).
§3310. Licensing Official Lamp and Brake Adjusters.
Note     •     History

(a) There shall be one class of official lamp adjusters' license. Official lamp adjusters' licenses may be issued to persons who have shown by examination that they are qualified to test, inspect, adjust, and repair the lamps and related electrical systems on all vehicles.
(b) There shall be three classes of official brake adjusters' licenses:
(1) Class A official brake adjusters' licenses may be issued to persons who have shown by examination that they are qualified to test, inspect, adjust, and repair the brakes and brake system on all vehicles.
(2) Class B official brake adjusters' licenses may be issued to persons who have shown by examination that they are qualified to test, inspect, adjust, and repair all brakes and brake systems on all buses, trucks, and truck tractors, trailers, and semitrailers.
(3) Class C official brake adjusters' licenses may be issued to persons who have shown by examination that they are qualified to test, inspect adjust, and repair all brakes and brake systems on all trucks and truck tractors having a manufacturer's gross vehicle weight rating of less than 10,000 pounds and all trailers and semitrailers which do not use compressed air or vacuum to actuate the brakes, and all passenger vehicles including motorcycles and motor-driven cycles.
(c) A person desiring to be licensed as an official adjuster shall submit a separate Brake Adjuster or Lamp Adjuster Application form, Lic (Rev.8/00), which is incorporated by reference, for each license or license class desired. A separate license shall be required for each license type or license class.
(d) Each application shall be accompanied by the fee prescribed in section 9887.2 of the Business and Professions Code, except that the late renewal fee shall be $7.50 if the bureau receives the renewal application within 30 days after the date of expiration. An applicant who fails the examination may submit an application for another examination and in each such instance shall pay the prescribed application fee.
(e) Official adjusters' licenses shall expire four years from date of issue. When any person licensed as an adjuster ceases to be employed at an official station, the person's right to act as an official adjuster shall immediately cease. The person shall not engage in the activity of official adjuster until the person is again employed at an appropriate official station.
NOTE

Authority cited: Sections 9882, 9887.1, 9887.2 and 9888.2, Business and Professions Code. Reference: Sections 163.5, 9887.1, 9887.2 and 9888.2, Business and Professions Code.
HISTORY

1. Amendment of subsections (d), (e), (f) and (g) filed 10-4-72 as an emergency; effective upon filing (Register 72, No. 41).
2. Certificate of Compliance filed 12-22-72 (Register 72, No. 52).
3. Amendment filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
4. Amendment filed 5-11-90; operative 6-10-90 (Register 90, No. 26).
5. Editorial correction of subsection (b)(3) (Register 2002, No. 23).
6. Amendment filed 1-23-2007; operative 2-22-2007 (Register 2007, No. 4).
Article 3. Official Lamp Adjusting Stations
§3315. Classes of Official Lamp Adjusting Stations.
Note     •     History

Classes of official lamp adjusting stations are established as follows:
(a) Class A official lamp adjusting stations shall be equipped to test, inspect, adjust, and repair all lamps and related electrical systems on all vehicles.
(b) Class B-limited (BL) official lamp adjusting stations shall be equipped to adjust all lamps with aiming pads on all passenger vehicles and commercial vehicles 80 inches or less in width. These stations shall be equipped to test, inspect, and repair all lamps and related electrical systems on all vehicles except motorcycles and motor-driven cycles.
NOTE

Authority cited: Sections 9882, 9887.1 and 9888.2, Business and Professions Code. Reference: Sections 9887.1, 9887.2, 9887.3 and 9888.2, Business and Professions Code.
HISTORY

1. Amendment filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
2. Amendment filed 1-23-2007; operative 2-22-2007 (Register 2007, No. 4).
§3316. Lamp Adjusting Station Operation and Equipment Requirements.
Note     •     History

The operation of official lamp adjusting stations shall be subject to the following provisions:
(a) Class A official lamp adjusting stations shall provide an aiming screen or an optical type headlamp-aiming machine. Class A stations may provide, in addition, a mechanical type headlamp aiming machine and related calibration equipment. A Class BL station that limits its lamp aiming to lamps with aiming pads shall provide a mechanical type headlamp aiming machine and related calibration equipment.
Each official lamp adjusting station shall be equipped with a voltmeter and other tools necessary for proper lamp servicing.
(b) Equipment for aiming headlamps and auxiliarylamps shall be approved by the bureau. Aiming equipment shall be used only in the work area prescribed in subsection (b) of Section 3305 of this chapter, and as follows:
(1) Aiming screens may be used for all headlamps and auxiliary lamps. Provision shall be made so that the screen can be shaded sufficiently from both direct and ambient light during daylight hours to perform aiming functions adequately.
(2) Optical type headlamp aiming machines may be used for all headlamps and auxiliary lamps.
(3) Mechanical type headlamp aiming machines shall be used only for lamps manufactured with three aiming pads on the lens.
(c) Each official lamp adjusting station shall maintain in a location readily accessible to licensed adjusters a current copy of the following:
(1) The bureau's Handbook for Lamp Adjusters and Stations, referenced in subsection (a) of Section 3305 of this Chapter. 
(2) All appropriate and current lamp adjustment standards, specifications, directives, manuals, bulletins and instructions issued by motor vehicle and lamp manufacturers that are applicable to vehicles for which the station adjusts lamps.
(3) Service manuals and operating instructions issued by the manufacturers for all headlamp aiming instruments, machines, devices and equipment used by the station.
(d) Effective April 1, 1999, licensed stations shall purchase certificates of adjustment from the bureau for a fee of three dollars and fifty cents ($3.50) each and shall not purchase or otherwise obtain such certificates from any other source. Full payment is required at the time certificates are ordered. Certificates are not exchangeable following delivery. A licensed station shall not sell or otherwise transfer unused certificates of adjustment. Issuance of a lamp adjustment certificate shall be in accordance with the following provisions:
(1) When a lamp adjustment certificate is issued to an applicant for an authorized emergency vehicle permit, the certificate shall certify that the vehicle has been inspected, that all lamps and related electrical systems meet all requirements of the Vehicle Code and bureau regulations, and that all lamps capable of adjustment are properly adjusted.
(2) Where all of the lamps, lighting equipment, and related electrical systems on a vehicle have been inspected and found to be in compliance with all requirements of the Vehicle Code and bureau regulations, the certificate shall certify that the entire system meets all of those requirements.
(3) When a customer asks for a certificate of lamp adjustment in conjunction with clearance of an enforcement form, the adjuster may, if requested, inspect and certify only the portion of the lighting system specified as defective on the enforcement form. Where the entire system has not been tested or inspected or one or more defects have been corrected, the certificate shall indicate which tests or inspections have been performed, or which defect or defects have been corrected.
(4) A certificate shall be valid for 90 days after its issuance to a consumer.
(e) After correcting specified defects, official lamp adjusters shall certify that defects indicated on citations or other enforcement forms have been corrected.
(1) The adjuster shall inform the customer of any other defective conditions present or likely to occur in the future, which have come to the adjuster's attention in conjunction with inspection of the vehicle and correction of specified defects.
(2) If the customer does not authorize additional repairs to correct other defects found during the inspection, the adjuster shall certify that only the specific defects listed on the enforcement form have been corrected.
(3) Only a licensed adjuster employed at an official adjusting station may sign an enforcement form as an official adjuster. The adjuster's license number, class, and official station number shall be included with the signature.
(4) Certification by a licensed adjuster on an enforcement form that a violation has been corrected shall include the date of correction, the station's and the adjuster's license numbers, and the adjuster's signature.
NOTE

Authority cited: Sections 9882, 9887.1 and 9888.2, Business and Professions Code. Reference: Sections 9887.1, 9888.2, 9889.16 and 9889.19, Business and Professions Code; and Section 40616, Vehicle Code.
HISTORY

1. Amendment of subsection (d) filed 8-16-73 as an emergency; effective upon filing (Register 73, No. 33).
2. Certificate of Compliance filed 12-4-73 (Register 73, No. 49).
3. Amendment filed 12-23-76; effective thirtieth day thereafter (Register 76, No. 52).
4. Amendment of subsection (d), repealer of subsection (e) and relettering and amendment of subsection (f) to subsection (e) filed 3-11-81; effective thirtieth day thereafter (Register 81, No. 11).
5. Amendment of subsection (d) filed 10-20-81; effective thirtieth day thereafter (Register 81, No. 43).
6. Amendment filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
7. Amendment of subsection (d) filed 7-12-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 28).
8. Amendment of subsection (d) filed 3-28-86; effective thirtieth day thereafter (Register 86, No. 13).
9. Editorial correction of printing error in subsection (d)(2) (Register 91, No. 6).
10. New subsection (d)(4) filed 10-23-91; operative 11-22-91 (Register 92, No. 35).
11. Amendment of subsection (d) filed 4-1-99; operative 4-1-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 14).
12. Editorial correction of subsection (d) (Register 99, No. 16).
13. Amendment of section heading and section filed 1-23-2007; operative 2-22-2007 (Register 2007, No. 4).
Article 4. Official Brake Adjusting Stations
§3320. Classes of Official Brake Adjusting Stations.
Note     •     History

Classes of official brake adjusting stations are established as follows:
(a) Class A official brake adjusting stations shall be equipped to test, inspect, adjust, and repair all brakes and brake systems on all vehicles.
(b) Class B official brake adjusting stations shall be equipped to test, inspect, adjust, and repair all brakes and brake systems on all buses, trucks, truck tractors, trailers, and semitrailers.
(c) Class C official brake adjusting stations shall be equipped to test, inspect, adjust, and repair all brakes and brake systems on all trucks or truck tractors having a manufacturer's gross vehicle weight rating of less than 10,000 pounds, all trailers and semitrailers that do not use compressed air or vacuum to actuate the brakes, and all passenger vehicles including motorcycles and motor-driven cycles.
NOTE

Authority cited: Sections 9882, 9887.1 and 9888.2, Business and Professions Code. Reference: Sections 9887.1, 9887.3 and 9888.2, Business and Professions Code.
HISTORY

1. Amendment filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
2. Amendment filed 1-23-2007; operative 2-22-2007 (Register 2007, No. 4).
§3321. Brake Adjusting Station Operation and Equipment Requirements.
Note     •     History

The operation of official brake adjusting stations shall be subject to the following provisions:
(a) Each station shall be equipped with the following tools according to the class of station.
(1) All stations shall be equipped with:
(A) Suitable hand tools.
(B) A brake drum diameter gauge capable of measuring increments of 0.005 inch.
(C) A disc brake rotor thickness gauge capable of measuring increments of 0.001 inch.
(D) A disc brake rotor runout gauge capable of measuring increments of 0.001 inch.
(E) Brake lining gauges capable of measuring thickness of remaining usable brake lining either in fractions of an inch or in percentage of lining remaining.
(F) Torque wrenches capable of measuring torsion in accordance with vehicle manufacturer's installation and adjustment specifications.
(2) Class A and B stations shall be equipped with:
(A) A vacuum brake test kit with a gauge capable of measuring in inches of mercury
(B) An airbrake pressure test gauge accurate to +1 psi.
(b) Each station shall maintain in a location readily accessible to its licensed adjusters a current copy of the following:
(1) The bureau's Handbook for Brake Adjusters and Stations, referenced in subsection (a) of Section 3305 of this Chapter.
(2) All appropriate and current standards, specifications, directives, manuals, bulletins, and instructions issued by motor vehicle, brake, and brake equipment manufacturers that are applicable to vehicles for which the station adjusts brakes.
(3) Service manuals and operating instructions issued by the manufacturers for all brake inspection tools, instruments, machines, devices and equipment used by the station.
(c) Effective April 1, 1999, licensed stations shall purchase certificates of adjustment from the bureau for a fee of three dollars and fifty cents ($3.50) and shall not purchase or otherwise obtain such certificates from any other source. A licensed station shall not sell or otherwise transfer unused certificates of adjustment. Full payment is required at the time certificates are ordered. Certificates are not exchangeable following delivery. Issuance of a brake adjustment certificate shall be in accordance with the following provisions:
(1) When a brake adjustment certificate is issued to an applicant for an authorized emergency vehicle permit, the certificate shall certify that the vehicle has been road-tested and that the entire braking system meets all requirements of the Vehicle Code and bureau regulations.
(2) Where the entire brake system on any vehicle has been inspected or tested and found to be in compliance with all requirements of the Vehicle Code and bureau regulations, and the vehicle has been road-tested, the certificate shall certify that the entire system meets all such requirements.
(3) When a customer asks for a certificate of brake adjustment in conjunction with clearance of an enforcement form, the adjuster may, if requested, inspect and certify only the portion of the brake system specified as defective on the enforcement form. Where the entire system has not been tested or inspected or one or more defects have been corrected, the certificate shall indicate which tests or inspections have been performed, or which defect or defects have been corrected.
(4) A certificate shall be valid for 90 days after its issuance to a consumer.
(d) After correcting specified defects, official brake adjusters shall certify that defects indicated on citations or other enforcement forms have been corrected.
(1) The adjuster shall inform the customer of any other defective conditions present or likely to occur in the future, which have come to the adjuster's attention in conjunction with inspection of the vehicle and correction of specified defects. The adjuster shall inform the customer of the percentage of braking material left on pads/shoes, as appropriate.
(2) If the customer does not authorize additional repairs to correct other defects found during the inspection, the adjuster shall certify that only the specific defects listed on the enforcement form have been corrected.
(3) Only a licensed adjuster employed at an official adjusting station may sign an enforcement form as an official adjuster. The adjuster's license number, the license class, and the official station license number shall be included with the signature.
(4) Certification by a licensed adjuster on an enforcement form that a violation has been corrected shall include the date of correction, the station's and the adjuster's license numbers, and the adjuster's signature.
NOTE

Authority cited: Sections 9882, 9887.1 and 9888.2, Business and Professions Code. Reference: Sections 9887.1, 9888.2 and 9889.16, Business and Professions Code; and Section 40616, Vehicle Code.
HISTORY

1. Amendment of subsection (c) filed 8-16-73 as an emergency, effective upon filing (Register 73, No. 33).
2. Certificate of Compliance filed 12-4-73 (Register 73, No. 49).
3. Amendment filed 12-23-76; effective thirtieth day thereafter (Register 76, No. 52).
4. Amendment of subsection (c) filed 10-20-81; effective thirtieth day thereafter (Register 81, No. 43).
5. Amendment filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
6. Amendment of subsection (c) filed 7-12-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 28).
7. Amendment of subsection (c) filed 3-28-86; effective thirtieth day thereafter (Register 86, No. 13).
8. New subsection (c)(4) filed 10-23-91; operative 11-22-91 (Register 92, No. 35).
9. Amendment of subsection (c) filed 4-1-99; operative 4-1-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 14).
10. Amendment of section heading and section filed 1-23-2007; operative 2-22-2007 (Register 2007, No. 4).
Article 5. Official Motor Vehicle Pollution Control Device Installation and Inspection Stations [Repealed]
HISTORY

1. Repealer of article 5 (sections 3325-3330) filed 5-11-90; operative 6-10-90 (Register 90, No. 26). For prior history of sections 3328 and 3329, see Register 83, No. 9; for prior history of section 3330, see Register 77, No. 30.
Article 5.5. Motor Vehicle Inspection Program
§3340.1. Definitions.
Note     •     History

“Acceleration Simulation Mode” or “ASM” means a type of vehicle emissions test conducted with the test vehicle on a chassis dynamometer to simulate on-road acceleration operating conditions. 
“After repairs test” means a test performed on a vehicle after repairs have been made to that vehicle as a result of failing an inspection at a smog check station.
“ARD-exempt heavy-duty station” means a smog check test-and-repair station or a smog check test-only station that only tests and/or repairs commercial vehicles which have a gross vehicle weight rating of 10,000 pounds or greater.
“Basic area” or “Basic vehicle inspection and maintenance program area” means the smog check program conducted in any area of the state which is not classified as an enhanced vehicle inspection and maintenance program area.
“Bureau” or “BAR” means the Bureau of Automotive Repair.
“Chassis dynamometer” is a treadmill-like device for a vehicle that is used to simulate on-road acceleration operating conditions.
“Clean piping,” for the purposes of Health and Safety Code section 44072.10(c)(1), means the use of a substitute exhaust emissions sample in place of the actual test vehicle's exhaust in order to cause the EIS to issue a certificate of compliance for the test vehicle.
“Comparative Failure Rate” or “CFR” means that the station's failure rate, under the Gold Shield Program, must be comparable to the test-only station failure rate for all non-directed vehicles of the same model-year. The station's failure rate, using initial tests, by model-year, of non-directed vehicles is applied to an industry-wide failure rate for test-only stations, calculated quarterly by smog check program area, using initial tests, by model-year, of non-directed vehicles inspected, and includes an allowable deviation to compensate for the random distribution of passing and failing vehicles based upon a 95 percent confidence level. This paragraph shall remain in effect through December 31, 2012.
“Consumer Assistance Program” or “CAP” means a program of the Bureau of Automotive Repair that provides eligible motor vehicle owners the options of Repair Assistance and Vehicle Retirement.
“Dismantler” means an automobile dismantler, as defined in Section 220 of the Vehicle Code and licensed pursuant to Section 11500 of the Vehicle Code, who has contracted with the Bureau to retire vehicles from operation.
“Emissions inspection system” or “EIS” means a tamper-resistant instrument which meets the requirements of subdivision (b) of section 44036 of the Health and Safety Code and which is certified by the bureau for use in the California Smog Check program.
“Enhanced area” or “Enhanced vehicle inspection and maintenance program area” means the smog check program conducted in any part of an urbanized area of the state which is classified by the Environmental Protection Agency as a serious, severe or extreme nonattainment area for ozone or a moderate or serious nonattainment area for carbon monoxide with a design value greater than 12.7 ppm.
“Excessive Test Deviation Rate” occurs under any of the following circumstances in a calendar quarter:
(1) The rate for which the ignition timing test is not performed exceeds the statewide average for similar vehicles where 90% of similar vehicles received the test.
(2) The rate for which the fuel cap test is not performed exceeds the statewide average for similar vehicles where 90% of similar vehicles received the test.
(3) The rate for which the low pressure fuel evaporative test is not performed exceeds the statewide average for similar vehicles where 90% of similar vehicles received the test.
(4) The rate for which the OBDII inspection is not performed exceeds the statewide average for similar vehicles where 90% of similar vehicles received the test.
(5) The rate for which inspections are aborted exceeds 125% of the statewide average for similar vehicles on test equipment of the same manufacturer.
(6) The rate for which inspections are restarted exceeds 125% of the statewide average for similar vehicles.
(7) The rate for which vehicles are initially inspected with the maximum allowable number of OBDII readiness monitors unset, as specified in Section 3340.42.2 (b), exceeds 125% of the statewide average for similar vehicles.
“Follow-up Pass Rate” (FPR) means a performance measure that evaluates whether vehicles previously certified by each station or technician are passing, in their current cycle, at higher than expected rates. Expected rates are calculated by averaging passing rates for similar vehicles, and then adjusting the rates to account for an individual vehicle's odometer reading, the type of emissions inspection (ASM or TSI) performed in the current inspection cycle on the vehicle, the amount of time since the last certification for the vehicle, and the initial test results in the previous inspection cycle. An FPR score is assigned to both licensed smog check stations and technicians, and is based on the current inspection cycle test results of vehicles that were previously certified by stations and technicians. An FPR score ranges from zero to one, with zero representing the lowest possible score and one representing the highest possible score. FPR data reports are updated in January and July each year. Stations and technicians with insufficient inspection histories from which to calculate an FPR score will not receive an FPR score. 
“Gaseous fuel” means fuel composed of propane, liquefied or compressed natural gas.
“Gear Shift Incident” means an inspection where data from the VID indicates the technician did not follow the gear selection procedure specified in the Smog Check Inspection Procedures Manual that is incorporated by reference in Section 3340.45.
“Gold Shield station” means a registered Automotive Repair Dealer who is also a smog check test-and-repair station which has been certified by the department and meets all the requirements specified in Article 10 of these regulations. This paragraph shall remain in effect through December 31, 2012.
“Heavy duty vehicle” means a vehicle with a manufacturer's gross vehicle weight rating of 8501 pounds or more.
“Household” means a family of persons or any group of two or more unrelated persons that reside together and share common living expenses.
“Implementation area” means a geographical area, in which a local district has requested implementation of a biennial inspection program pursuant to section 44003 of the Health and Safety Code.
“Initial test” means the first Smog Check inspection of a vehicle done in official test mode or pre-test mode and performed within one hundred eighty (180) days prior to a registration renewal date or a change of ownership date for that vehicle. An initial test does not include tests that are aborted before completion or tests done in the training or manual modes of the EIS.
“Non-directed vehicle” means a vehicle that was not required to be inspected at a station pursuant to Sections 44010.5 or 44014.7 of the Health and Safety Code.
“Repair Assistance” means a component of the Consumer Assistance Program (CAP) that provides financial assistance for emissions-related repairs to help eligible motor vehicle owners bring their vehicles into compliance with the requirements of the Smog Check Program.
“Repair-Only station” means a station licensed by the bureau to diagnose and repair vehicles in the smog check program. 
“Revivable Junk Receipt” means a receipt showing proof that the vehicle is recorded and titled as “junked” by the Department of Motor Vehicles.
“Similar Vehicle Failure Rate” or “SVFR” means a calendar quarter comparison of the initial test failure rate of vehicles at an individual station to the initial test failure rate for similar vehicles inspected statewide, taking into account the vehicle odometer reading, time since passing the last inspection, and initial test results in the previous cycle. Vehicles for which data is not available to adequately establish an initial test failure rate will not be used in the SVFR calculation. This paragraph shall become effective July 1, 2012.
“Similar vehicles” means vehicles with the same Vehicle Lookup Table Row ID, or at a minimum, vehicles with the same model-year, make, and engine displacement.
“Smog Check Inspector” or “Inspector” means an individual licensed by the bureau to inspect, and certify the emissions control systems on vehicles subject to the Smog Check Program in all areas of the state. 
“Smog check program” or “program” means the motor vehicles inspection program conducted pursuant to section 44005 of the Health and Safety Code, and as hereby described in this article.
“Smog Check Repair Technician” or “Repair Technician” means an individual licensed by the bureau to diagnose, adjust, and repair the emissions control systems on vehicles subject to the Smog Check Program at smog check stations in all areas of the state. 
“Smog check station” or “station” means a smog check test-only station or smog check test-and-repair station licensed by the bureau in the smog check program.
“Smog check technician” or “technician” means an individual who holds a smog check repair technician and/or inspector licenses pursuant to section 3340.28 of this article.
“Smog check test-and-repair station” or “test-and-repair station” means a smog check station licensed by the bureau to test, inspect, diagnose and repair vehicles in the smog check program.
“Smog check test-only station” or “test-only station” means a smog check station licensed by the bureau to test and inspect vehicles in the smog check program.
“STAR” means a voluntary certification program that applies to a registered Automotive Repair Dealer that is also a licensed smog check test-and-repair station or a test-only station that meets all requirements specified in Article 10 of these regulations.
“Technician Information Table” means the bureau's electronic list of licensed technicians authorized to perform official Smog Check inspections at a specific station.
“Test Deviation” occurs under any of the following conditions: 
(1) The station fails to inspect ignition timing on a vehicle that should receive this test.
(2) The station fails to perform the fuel cap test on a vehicle that should receive this test.
(3) The station fails to perform the low pressure fuel evaporative test on a vehicle that should receive this test.
(4) The station fails to perform an OBDII inspection on a vehicle that should receive an OBDII inspection. 
(5) The station aborts an inspection.
(6) The station restarts an inspection. 
(7) The station performs an initial inspection on a vehicle with the maximum allowable number of OBDII readiness monitors unset, as specified in Section 3340.42.2 (b).
“Two-Speed Idle” or “TSI” means a type of vehicle emissions test conducted with the vehicle transmission in neutral or park while the engine is run at two different engine speeds. 
“Vehicle Information Database” or “VID” means a centralized computer database and computer network, which is readily accessible by all licensed smog check technicians on a real time basis.
“Vehicle Inspection Report” or “VIR” means an official smog check inspection report that is printed from an emissions inspection system and given to the registered vehicle owner(s) or their legal representative.
“Vehicle Retirement” means a component of the Consumer Assistance Program (CAP) that provides payments to eligible motor vehicle owners who choose to voluntarily retire their vehicles from operation rather than make emissions-related repairs to bring the vehicles into compliance with the requirements of the Smog Check Program.
“VLT Row ID” means the vehicle lookup table row identification number that identifies a vehicle using information about its body type, model-year, make, model, engine displacement, and transmission type.
NOTE

Authority cited: Sections 44001.5, 44002, 44072.10, 44091 and 44095, Health and Safety Code; and Section 9882, Business and Professions Code. Reference: Sections 44001.3, 44005, 44010.5, 44011, 44012, 44014, 44014.2, 44014.5, 44017, 44017.1, 44030, 44036, 44037.1, 44056, 44062.1, 44070, 44072.10, 44092, 44093, 44094 and 44103, Health and Safety Code; Sections 220 and 11500, Vehicle Code; and Section 11505, Government Code.
HISTORY

1. New article 5.5 (sections 3340.1-3340.50.5) filed 3-23-84; effective upon filing pursuant to Government Code section 11346.2(d) (Register 84, No. 12).
2. New subsection (j) filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
3. Amendment filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
4. New subsection (k) filed 5-11-90; operative 6-10-90 (Register 90, No. 26).
5. Repealer of subsection (e), subsection relettering, amendment of newly designated subsections (e) and (k), new subsections (l)-(o) and Note filed 6-23-95 as an emergency; operative 6-23-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-21-95 or emergency language will be repealed by operation of law on the following day.
6. New subsection (p) and amendment of Note filed 8-17-95 as an emergency; operative 8-17-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-15-95 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-23-95 order including amendment of subsection (m) transmitted to OAL 10-20-95 and filed 12-6-95 (Register 95, No. 49).
8. Certificate of Compliance as to 8-17-95 order transmitted to OAL 12-15-95 and filed 1-25-96 (Register 96, No. 4).
9. Amendment of subsection (g) filed 4-29-96 as an emergency; operative 4-29-96 (Register 96, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-27-96 or emergency language will be repealed by operation of law on the following day.
10. Amendment of subsection (c) and (d), new subsection (e) and subsection relettering, repealer of previously designated subsection (f), and amendment of subsections (g), (k) and (l) filed 7-26-96 as an emergency; operative 7-26-96 (Register 96, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-25-96 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 4-29-96 order transmitted to OAL 8-21-96 and filed 9-30-96 (Register 96, No. 40).
12. Editorial correction of subsection (p) (Register 97, No. 2).
13. Certificate of Compliance as to 7-26-96 order, including further amendment of subsection (g), transmitted to OAL 11-19-96 and filed 1-6-97 (Register 97, No. 2).
14. New subsections (q) and (r) and amendment of Note filed 4-23-97 as an emergency; operative 4-23-97 (Register 97, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-21-97 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 4-23-97 order, including new subsections (s)-(t) and further amendment of Note, transmitted to OAL 8-19-97 and filed 9-30-97 (Register 97, No. 40).
16. New subsections (u)-(x) and amendment of Note filed 10-30-98 as an emergency; operative 10-30-98 (Register 98, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-99 or emergency language will be repealed by operation of law on the following day.
17. New subsections (ad)-(ag) and amendment of Note filed 12-3-98 as an emergency; operative 12-3-98 (Register 98, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-2-99 or emergency language will be repealed by operation of law on the following day.
18. New subsections (u)-(x) and amendment of Note refiled 2-25-99 as an emergency; operative 3-1-99 (Register 99, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-29-99 or emergency language will be repealed by operation of law on the following day.
19. New subsections (ad)-(ag) and amendment of Note refiled 3-30-99 as an emergency; operative 4-2-99 (Register 99, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-99 or emergency language will be repealed by operation of law on the following day.
20. Certificate of Compliance as to 2-25-99 emergency, including amendment of subsection (x) and Note, transmitted to OAL 3-18-99 and filed 4-15-99; effective 5-1-99 (Register 99, No. 16).
21. New subsections (ad)-(ag) and amendment of Note refiled 7-26-99 as an emergency; operative 8-2-99 (Register 99, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-99 or emergency language will be repealed by operation of law on the following day.
22. Certificate of Compliance as to 7-26-99 order, including further amendment of subsections (ad)-(ag) and Note, transmitted to OAL 11-18-99 and filed 1-3-2000 (Register 2000, No. 1).
23. Amendment of subsection (v) and repealer of subsection (w) filed 3-27-2000 as an emergency; operative 3-27-2000 (Register 2000, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-25-2000 or emergency language will be repealed by operation of law on the following day.
24. Amendment of subsection (v), repealer of subsection (af), redesignation and amendment of subsections (x)-(ag) as subsections (w)-(z), new subsection (aa) and amendment of Note filed 6-26-2000 as an emergency; operative 7-1-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-30-2000 or emergency language will be repealed by operation of law on the following day.
25. Amendment of subsection (v), repealer of subsection (af), redesignation and amendment of subsections (x)-(ag) as subsections (w)-(z), new subsection (aa) and amendment of Note refiled 10-30-2000 as an emergency; operative 10-30-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-27-2001 or emergency language will be repealed by operation of law on the following day.
26. Certificate of Compliance as to 10-30-2000 order, including further amendment of subsections (v)-(y), new subsection (z), subsection relettering, and amendment of newly designated subsection (bb), transmitted to OAL 2-9-2001 and filed 3-27-2001 (Register 2001, No. 13).
27. Amendment of subsection (g), new subsection (t), subsection relettering and amendment of Note filed 3-3-2003; operative 4-2-2003 (Register 2003, No. 10).
28. Amendment of subsection (q), repealer and new subsections (r) and (s), new subsection (u), repealer of former subsection (v) and subsection relettering filed 4-28-2003; operative 5-28-2003 (Register 2003, No. 18).
29. Editorial correction restoring inadvertently omitted subsection (h) (Register 2006, No. 19).
30. Amendment of subsections (c)-(g), (i)-(j), (q)-(v) and (bb)-(cc) filed 5-30-2006; operative 6-29-2006 (Register 2006, No. 22).
31. Change without regulatory effect repealing and adopting new section filed 5-19-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 21).
32. Amendment filed 11-1-2011; operative 11-1-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 44).
33. New definitions of “Repair-Only station,” “Smog Check Inspector” and “Smog Check Repair Technician,” amendment of definition of “Smog check technician” and repealer of definition of “Supervising technician” filed 2-1-2012; operative 2-1-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 5).
§3340.5. Vehicles Exempt from Inspections.
Note     •     History

(a) In addition to the vehicles exempted from the program by section 44011 of the Health and Safety Code, the following vehicles are exempted:
(1) any two cylinder vehicle.
(2) any vehicle powered exclusively by electricity.
(3) any two-cycle powered vehicle.
(4) any vehicle powered by diesel fuel until December 31, 2009.
(b) Vehicles powered by liquid petroleum gas or liquid natural gas are not exempt from the program.
(c) On and after January 1, 2010, 1998 model year and newer diesel-powered vehicles, with a gross vehicle weight rating up to and including 14,000 pounds, are not exempt from the program.
NOTE

Authority cited: Sections 44002 and 44011, Health and Safety Code; and Section 9882, Business and Professions Code. Reference: Section 44011, Health and Safety Code.
HISTORY

1. New subsection (c) filed 3-28-86; effective thirtieth day thereafter (Register 86, No. 13).
2. Amendment filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
3. Amendment of subsection (a)(2) and new subsections (a)(4) and (c) filed 12-16-2009; operative 12-16-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
§3340.6. Vehicles Subject to Inspection upon Change of Ownership and Initial Registration in California.
Note     •     History

This program shall not replace any requirements contained in Sections 4000.1 and 4000.2 of the Vehicle Code for inspection upon change of ownership or initial registration in California.
NOTE

Authority cited: Section 44002, Health and Safety Code; and sections 4000.1 and 4000.2, Vehicle Code. Reference: Sections 44005 and 44011, Health and Safety Code.
HISTORY

1. Editorial correction of printing error inadvertently omitting Authority and Reference  (Register 91, No. 6).
§3340.7. Fee for Inspection at State-Contracted Test-Only Facility.
Note     •     History

(a) The fee for an inspection at a test-only facility operating under the contract in existence on the effective date of this section shall be as negotiated with the department, and shall not exceed the department's actual cost of the test-only service. This fee shall remain operative in all regions of the state until implementation of subsection (b). Thereafter, the inspection fees shall be as provided in subsection (b).
(b) Upon commencement of testing by a contractor pursuant to an amended contract, or a new contract developed in the competitive bidding process, the fee for inspection at test-only facilities operated by the contractor shall be the fee as negotiated with the department.
(c) The department shall publish notice of each negotiated inspection fee, initially and as it may subsequently be modified, in one or more newspapers of general circulation in each region of the state in which the contractor's test-only facilities are to charge the fee. The department may also publish such notice in the California Regulatory Notice Register.
NOTE

Authority cited: Section 44002, Health and Safety Code. Reference: Sections 44014.5 and 44015, Health and Safety Code.
HISTORY

1. New section filed 8-17-95 as an emergency; operative 8-17-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-15-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of subsection (b) (Register 96, No. 4).
3. Certificate of Compliance as to 8-17-95 order transmitted to OAL 12-15-95 and filed 1-25-96 (Register 96, No. 4).
§3340.8. Economic Hardship Extension. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 44002, 44015.3 and 44060, Health and Safety Code; and Section 9882, Business and Professions Code. Reference: Sections 44014.5, 44015, 44017, 44060 and 44062.1, Health and Safety Code; and Section 11519, Vehicle Code.
HISTORY

1. New section filed 11-20-95 as an emergency; operative 11-20-95 (Register 95, No. 47). A Certificate of Compliance must be transmitted to OAL by 3-19-96 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of subsection (a) (Register 96, No. 14).
3. Certificate of Compliance as to 11-20-95 order, including amendment of subsection (e), transmitted to OAL 3-8-96 and filed 4-5-96 (Register 96, No. 14).
4. Repealer filed 10-30-98 as an emergency; operative 10-30-98 (Register 98, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-99 or emergency language will be repealed by operation of law on the following day.
5. Repealer refiled 2-25-99 as an emergency; operative 3-1-99 (Register 99, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-25-99 emergency transmitted to OAL 3-18-99 and filed 4-15-99; effective 5-1-99 (Register 99, No. 16).
§3340.9. Repair Assistance Program. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 44001.5, 44002 and 44095, Health and Safety Code. Reference: Sections 44014.7, 44015, 44017, 44017.1, 44020, 44062.1, 44092, 44093, 44094 and 44095, Health and Safety Code.
HISTORY

1. New section and Form RAP-APP filed 10-30-98 as an emergency; operative 10-30-98 (Register 98, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-99 or emergency language will be repealed by operation of law on the following day.
2. New  section and Form RAP-APP refiled 2-25-99 as an emergency; operative 3-1-99 (Register 99, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-29-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-25-99 emergency, including amendment of subsections (b)(2)-(3) and (b)(5)(A)-(B) and new version of form RAP-APP, transmitted to OAL 3-18-99 and filed 4-15-99; effective 5-1-99 (Register 99, No. 16).
4. Amendment of section heading, section and Note, and repealer and new forms filed 3-27-2000 as an emergency; operative 3-27-2000 (Register 2000, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-25-2000 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 3340.9 (including Form RAP-APP) to section 3394.6 filed 6-26-2000 as an emergency; operative 7-1-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-30-2000 or emergency language will be repealed by operation of law on the following day.
6. Renumbering of former section 3340.9 (including Form RAP-APP) to section 3394.6 refiled 10-30-2000 as an emergency; operative 10-30-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-27-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 10-30-2000 order transmitted to OAL 2-9-2001 and filed 3-27-2001 (Register 2001, No. 13).
§3340.10. Licensing of Smog Check Stations.
Note     •     History

A registered automotive repair dealer may be licensed as a smog check station in accordance with the following:
(a) Application. An applicant for an initial or renewal license shall submit an application to the bureau on form R-12 (01/11) “Application for Smog Check Station License,” which is hereby incorporated by reference, along with the fee required in subsection (b).
(b) Fees. Fees are established as follows:
(1) Initial license fee--$100.00.
(2) Renewal license fee if submitted on or before the date of license expiration--$100.00.
(3) Delinquency fee if a renewal license fee is submitted after the date of license expiration--$50.00, which shall be assessed in addition to the $100.00 renewal license fee.
(c) Term of License. A station license shall expire one year from the last day of the month in which the license was issued unless renewed, suspended, rescinded, or terminated by operation of law. The bureau may advance the expiration date to correspond with the automotive repair dealer's registration expiration date. A licensee whose license has expired shall immediately cease to inspect, test, diagnose or repair vehicles or issue certificates as part of the smog check program.
(d) Inspection. An inspection of the applicant's facility shall be made by a representative of the bureau. A license may be issued only for an applicant that meets the qualifications prescribed in this article.
(e) Replacement License. In determining whether a fee is required for a replacement license, the definitions given in section 3306(c)(1) and (2) of this chapter shall apply.
(1) In the event of a change of name or address of a licensee, a new application shall be submitted to the bureau and no fee will be required.
(2) In the event of a change of ownership of a licensed business, a new application and a license fee of $100.00 shall be submitted to the bureau.
(3) In the event a license is lost, destroyed, or mutilated, application shall be made to the bureau for a duplicate license. The person to whom the license was issued shall furnish satisfactory proof of licensure. Upon receipt of application, the bureau shall issue a duplicate license for the unexpired term of the license. Any lost license that is later found shall be returned to the bureau. 
(f) No person shall operate a smog check station unless a license to do so has been issued by the department.
NOTE

Authority cited: Sections 44002 and 44034, Health and Safety Code; and Sections 163.5 and 9882, Business and Professions Code. Reference: Sections 44030, 44033 and 44034, Health and Safety Code.
HISTORY

1. Amendment of subsections (b) and (e)(2) filed 6-21-89; operative 6-21-89 (Register 89, No. 25).
2. Amendment filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
3. Amendment of subsections (a) and (c) filed 7-26-96 as an emergency; operative 7-26-96 (Register 96, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-25-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 7-26-96 order, including further amendment of subsection (c), transmitted to OAL 11-19-96 and filed 1-6-97 (Register 97, No. 2).
5. Amendment of form R-12, Application for Smog Check Station License (incorporated by reference), amendment of subsection (a) and repealer of form 79-4 filed 2-1-2012; operative 2-1-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 5).
§3340.15. General Requirements for Smog Check Stations.
Note     •     History

A smog check station shall meet the following requirements for licensure and shall comply with these requirements at all times while licensed.
(a) The testing and repairing of vehicles shall be performed only in a work area of the station that has been approved by the bureau during the licensing inspection. Other work may be performed in the approved area, as desired. Except for heavy-duty vehicles, the work area shall be within a building and shall be large enough to accommodate the type of vehicle being serviced. In the case of the testing and repair of heavy-duty vehicles the work area need not be in a building, but the emissions inspection system used at the station may only be used within a building. The work area shall be kept clean and orderly.
(b) A licensed inspector and/or repair technician shall be present during all hours the station is open for the business. Testing and/or repairing of vehicles pursuant to the Smog Check Program shall be performed by a licensed inspector and/or repair technician, consistent with their license classification.
(c) The station, inspector, and/or repair technician licenses shall be posted prominently under glass or other transparent material in an area frequented by customers.
(e) The station shall post conspicuously in an area frequented by customers a list of price ranges for the specific activities for which it is licensed. The posted prices shall include the price charged by the station for inspections, and, if a separate price is charged for reinspections, the reinspection price. The station shall also post the inspection prices for vans and/or heavy-duty vehicles if those prices differ from the passenger car inspection price. If the station imposes an hourly labor charge for repairs, the hourly labor rate shall be posted. The price of issuance of a certificate of compliance or noncompliance charged by the bureau shall be posted separately from the price of the inspection and of the reinspection, if any.
(f) The station shall make, keep secure, and have available for inspection on request of the bureau, or its representative, legible records showing the station's transactions as a licensee for a period of not less than three years after completion of any transaction to which the records refer. All records shall be open for reasonable inspection and/or reproduction by the bureau or its representative. Station records required to be maintained shall include copies of:
(1) All certificates of compliance and certificates of noncompliance in stock and/or issued,
(2) Repair orders relating to the inspection and repair activities, and
(3) Vehicle inspection reports generated either manually or by the emissions inspection system.
The above listed station records shall be maintained in such a manner that the records for each transaction are kept together, so as to facilitate access to those records by the bureau or its representative. In this regard, the second copy of an issued certificate shall be attached to the final invoice record.
(g) A smog check station shall be open and available to the general public for Smog Check Program services.
(h) A smog check station shall afford the bureau or its representative reasonable access during normal business hours to the station for the bureau's quality assurance efforts to evaluate the effectiveness of tests and/or repairs made to vehicles subject to the Smog Check Program.
(i) A licensed smog check station shall not sublet inspections or repairs required as part of the Smog Check Program, except for the following:
(1) Repairs of a vehicle's exhaust system which are normally performed by muffler shops, provided that the malfunction has been previously diagnosed by the specific smog check station originally authorized by the customer to perform repairs to the vehicle.
(2) Repairs of those individual components that have been previously diagnosed as being defective and that have been removed by the specific smog check station originally authorized by the customer to perform repairs to the vehicle.
(3) Repairs of diesel-powered vehicles provided the specific smog check station has obtained authorization from the customer to sublet repairs to the vehicle.
(4) Repairs to a vehicle's transmission provided the specific smog check station has obtained authorization from the customer to sublet repairs to the vehicle.
(5) Corrections to the vehicle's on-board computer systems' software provided that the malfunction has been previously diagnosed by the specific smog check station originally authorized by the customer to perform repairs to the vehicle.
(j) With respect to the sublet of repairs, the smog check station originally authorized by the customer to perform the repairs shall be responsible for any repair in the same manner as if station or its employees had done the repair.
NOTE

Authority cited: Section 44002 and 44030, Health and Safety Code; and Section 9882 and 9884.9(b), Business and Professions Code. Reference: Sections 44014, 44030, 44032, 44033, 44036, 44037 and 44045.5, Health and Safety Code.
HISTORY

1. Amendment of subsection (g) and repealer of subsection (h) filed 3-28-84; effective thirtieth day thereafter (Register 86, No. 13).
2. Amendment of subsection (d) filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
3. Amendment filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
4. Editorial correction of printing error in subsection (g) (Register 91, No. 6).
5. Amendment of subsection (e) filed 10-23-91; operative 11-22-91 (Register 92, No. 35).
6. Amendment of subsection (d) filed 8-18-92; operative 9-17-92 (Register 92, No. 37).
7. Repealer of subsection (b), subsection relettering, amendment of newly designated subsection (b), new subsection (c), and amendment of subsection (d) and Note filed 6-23-95 as an emergency; operative 6-23-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-21-95 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 6-23-95 order transmitted to OAL 10-20-95 and filed 12-6-95 (Register 95, No. 49).
9. New subsections (h)-(i)(2) and amendment of Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
10. Editorial correction of History 9 (Register 97, No. 29).
11. Certificate of Compliance as to 4-15-97 order, including amendment of subsections (i)-(i)(2), transmitted to OAL 8-11-97 and filed 9-18-97 (Register 97, No. 38).
12. Amendment of subsection (a) filed 6-9-2003; operative 7-9-2003 (Register 2003, No. 24).
13. Change without regulatory effect amending section filed 10-11-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
14. New subsections (i)(3)-(j) and amendment of Note filed 12-16-2009; operative 12-16-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
15. Amendment of subsection (b), repealer of subsection (c), subsection relettering and amendment of newly designated subsection (c) filed 2-1-2012; operative 2-1-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 5).
§3340.16. Test-Only Station Requirements.
Note     •     History

(a) A smog check test-only station operating in other than an enhanced program area shall have all testing equipment and emission application and reference manuals necessary to test and/or inspect all affected vehicles, including the following:
(1) An emissions inspection system, in accordance with the bureau's BAR-97 Emissions Inspection System Specifications as provided in subsection (a) of section 3340.17 of this article.
(2) An ignition timing light, which measures ignition advance.
(3) A hand vacuum pump and a vacuum gauge. 
(4) Basic hand tools necessary to inspect vehicle ignition, fuel delivery, and emission control systems.
(5) A device capable of retrieving trouble codes from vehicles with on-board computers, along with instructions on how to extract codes, and definitions of codes found.
(6) The most currently available emission control system application information as contained in any of the nationally distributed and periodically updated manuals that address emission control systems applications; vacuum routing diagrams for all vehicles being tested; electronic component location manuals; and specifications for those functional tests currently prescribed by the bureau.
(7) The most currently available bureau manuals and bulletins.
(8) An evaporative emission control inspection system that meets subsections (a) through (h) and (j) of section 2.8 of the emissions inspection system specifications referenced in subsection (b) of section 3340.17 of this Article.
(9) Low-pressure fuel evaporative test equipment that has been certified by the bureau as compliant with the Low-Pressure Fuel Evaporative Tester (LPFET) Specifications dated October 2006 and hereby incorporated by reference. The test equipment shall be maintained and calibrated in accordance with the LPFET Specifications referenced in this paragraph and in accordance with the manufacturer's specifications. Vehicle data low-pressure fuel evaporative test results shall be transmitted to a database specified by the department in accordance with the procedures contained in the LPFET Specifications referenced in this paragraph, which include the form, manner and frequency of data transmittals.
(b) A smog check test-only station operating in an enhanced program area shall have all of the equipment and materials specified by and conform to the requirements of subsection (a) above, except for paragraphs (1) and (5), and an emissions inspection system in accordance with the bureau's BAR-97 Emissions Inspection System Specifications as provided in subsection (b) of section 3340.17 of this article. A smog check test-only station operating in an enhanced area shall have a tire pressure gauge capable of accurately measuring tire pressure at the specification for the vehicles being tested and inspected using the ASM test procedure.
(c) A smog check test-only station shall post conspicuously, in an area frequented by consumers, a notice to the effect that the station is licensed to test vehicles only, and cannot make any required diagnosis or repairs to a vehicle which has failed a smog check test.
(d) A smog check test-only station shall not engage in any automotive repair work.
(e) Effective through December 31, 2012, no smog check test-only station may refer a consumer to a particular automotive repair dealer or provider of smog check repair services. The test-only station shall make available to each customer a list prepared by the bureau of all smog check stations in that region licensed to make repairs of vehicular emission control systems, which shall include licensed stations certified under the Gold Shield program. Stations and technicians are prohibited from altering or revising the list supplied by the bureau. For the purpose of this subsection, the term “make available” means to grant access to.
(f) Effective January 1, 2013, no smog check test-only station may refer a consumer to a provider of smog check repair services in which the owner of the test-only station has a financial interest. 
(1) A financial interest includes any ownership in both stations, or any compensation for business referrals by either station including, but not limited to, direct payment, barter agreements, or “quid pro quo” arrangements. 
(2) The test-only station shall provide consumers with instructions regarding how to access on the bureau's website an updated list, compiled by region, of stations licensed to make repairs of vehicular emission control systems, including STAR test-and-repair stations. 
(g) Effective through December 31, 2012, a smog check test-only station shall not have ownership in, corporate interest in, nor any other financial interest in a smog check test-and-repair station within a geographical radius of 50 statute miles of the test-only station.
(h) A smog check station owned either wholly or partially by the same party(s) that owns a station that provides repair services, which is located adjacent to, or in the same business park, strip mall, or industrial complex as the first station, shall not qualify as a test-only station. 
NOTE

Authority cited: Sections 44001.5, 44002, 44013 and 44036, Health and Safety Code; and Section 9882, Business and Professions Code. Reference: Sections 44010, 44012, 44013, 44014, 44014.5, 44015, 44017.1, 44033, 44036 and 44037.1, Health and Safety Code.
HISTORY

1. Amendment filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
2. New subsection (c) filed 5-11-90; operative 6-10-90 (Register 90, No. 26).
3. Editorial correction of HISTORY 2. (Register 90, No. 45).
4. Amendment of subsection (a)(5) filed 10-23-91; operative 11-22-91 (Register 92, No. 35).
5. Amendment of section heading filed 8-18-92; operative 9-17-92 (Register 92, No. 37).
6. Amendment of subsections (a)-(a)(5), new subsections (a)(9) and (b) and subsection relettering, and amendment of newly designated subsection (c) filed 7-26-96 as an emergency; operative 7-26-96 (Register 96, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-25-96 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of subsection (a)(3) (Register 97, No. 2).
8. Certificate of Compliance as to 7-26-96 order, including further amendment of subsection (a)(5) and repealer of subsection (a)(9), transmitted to OAL 11-19-96 and filed 1-6-97 (Register 97, No. 2).
9. Amendment of section heading and subsection (a)(6)(B), repealer and new subsection (d), new subsections (e) and (f) and amendment of Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
10. Editorial correction of History 9 (Register 97, No. 29).
11. Editorial correction of subsection (f) (Register 97, No. 38).
12. Certificate of Compliance as to 4-15-97 order transmitted to OAL 8-11-97 and filed 9-18-97 (Register 97, No. 38).
13. New subsection (a)(9) filed 11-12-98 as an emergency; operative 11-12-98 (Register 98, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-12-99 or emergency language will be repealed by operation of law on the following day.
14. Editorial correction repositioning subsection (a)(9) (Register 98, No. 47).
15. Certificate of Compliance as to 11-12-98 order transmitted to OAL 3-10-99 and filed 4-21-99 (Register 99, No. 17).
16. Amendment of subsections (a)(6)(A)-(E), (a)(7) and (b) filed 2-1-2001; operative 2-1-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 5). 
17. Amendment of subsections (a)(1), (a)(9) and (b) filed 2-15-2002 as an emergency; operative 2-15-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-17-2002 or emergency language will be repealed by operation of law on the following day.
18. Certificate of Compliance as to 2-15-2002 order transmitted to OAL 6-13-2002 and filed 7-26-2002 (Register 2002, No. 30). 
19. Amendment of subsections (a), (a)(1) and (b) filed 6-9-2003; operative 7-9-2003 (Register 2003, No. 24).
20. Editorial correction of subsection (e) (Register 2004, No. 22).
21. Amendment of section and Note filed 5-30-2006; operative 6-29-2006 (Register 2006, No. 22).
22. New subsection (a)(10) and amendment of Note filed 8-1-2007; operative 8-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 31).
23. Repealer of subsections (a)(6)-(a)(6)(F), subsection renumbering and amendment of newly designated subsection (a)(9) filed 12-16-2009; operative 12-16-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
24. Amendment of subsections (b) and (e), new subsections (f)-(f)(2), subsection relettering, amendment of newly designated subsection (g) and new subsection (h) filed 11-1-2011; operative 11-1-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 44).
§3340.16.4. Smog Check Repair-Only Station Requirements.
Note     •     History

(a) A smog check repair-only station operating in any program area shall have the equipment and materials specified by, and conform to the requirements of, subsection (a) of section 3340.16 of this article except for paragraphs (1) and (9) and, in addition, shall have engine diagnostic equipment and repair tools that are capable of diagnosing and repairing engine ignition systems, fuel systems, emission control systems, computer engine control systems, and other related components for each vehicle type that the station diagnoses and repairs. The equipment or repair tools may be separate units, or part of a multi-functional unit. At a minimum, the station shall have the following materials, tools, and equipment: 
(1) An ignition analyzer or ignition oscilloscope capable of displaying ignition system operation of vehicles subject to the smog check program. At a minimum, the device shall display: 
(A) Primary ignition system voltage and coil oscillations; and
(B) Firing voltage and spark duration of the secondary ignition in either analog or digital form. For distributor-equipped systems, the device shall be capable of displaying this information for all cylinders at the same time. 
(2) A compression tester.
(3) A tachometer/dwell meter. 
(4) A fuel pressure gauge capable of measuring the higher pressures of fuel-injected vehicles. 
(5) A propane enrichment kit. 
(6) An ammeter capable of measuring amps and milliamps. 
(7) A high impedance digital volt/ohmmeter. 
(8) Hand tools necessary to adjust, maintain, and repair vehicular ignition, fuel delivery, and emission control systems. 
(9) Diagnostic and repair information for all vehicles being tested and repaired. Such information may be in printed or electronic form and may be nationally distributed and periodically updated references that contain repair and emission procedures. These references must be up to date and include current model year supplements for automobile emission control systems. Electronic references shall be provided in printed form upon request from the bureau. 
(10) The most currently available bureau test and repair manuals. 
(11) Automotive computer diagnostic and repair manuals. 
(12) Electronic component location manuals. 
(13) A device capable of retrieving trouble codes from vehicles with on-board computers, along with instructions on how to extract codes, and definitions of codes. This device shall have the ability to display and store data streams from the on-board computer systems of vehicles. The device shall be On-Board Diagnostic II compliant, and shall have enhanced diagnostic test modes. Diagnostic data modules required to operate the device shall be kept updated to the current available calendar year. 
(14) An electronic device capable of graphically displaying any electrical or electronic signal used by an automotive computer system. The device shall have the capability of displaying the electrical or electronic signal using a voltage and time scale that is adjustable. The device shall have the capability of capturing and displaying a high frequency abnormal signal, regardless of time per division setting, or screen refresh rate. 
(15) A tire pressure gauge capable of accurately measuring tire pressure.
(b) A station may be licensed and operate without the equipment prescribed in subsection (a) paragraphs 1, 3 and 5 if that station, as a matter of policy, repairs vehicles powered by diesel engines or engines originating from diesel compression ignition designs only. 
(c) All diagnostic and repair equipment shall be, as necessary, calibrated or adjusted in accordance with the instructions of the manufacturer, and maintained in good working condition.
(d) A smog check repair-only station shall not accept a vehicle for repair if any of the following conditions apply: 
(1) The station does not have adequate equipment, personnel, tools or reference materials to repair the vehicle, should the vehicle fail its inspection; or
(2) The station, as a matter of policy, does not repair certain types, makes or models of vehicles; or
(3) The station, as a matter of policy, does not repair certain types of vehicle inspection failures. 
(e) A smog check repair-only station may not refer a consumer to a particular station for a smog check inspection or repair services in which the owner of the repair-only station has a financial interest. 
(1) A financial interest includes any ownership in both stations, or any compensation for business referrals by either station including, but not limited to, direct payment, barter agreements, or “quid pro quo” arrangements. 
(2) A repair-only station shall provide consumers with instructions regarding how to access on the bureau's website an updated list, compiled by region, of STAR certified smog check stations.
NOTE

Authority cited: Section 44002, Health and Safety Code; and Section 9882, Business and Professions Code. Reference: Sections 44010.5, 44012, 44014.5(e), 44014.7, 44030(b) and 44036(b), Health and Safety Code. 
HISTORY

1. New section filed 2-1-2012; operative 2-1-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 5).
§3340.16.5. Test-and-Repair Station Requirements.
Note     •     History

(a) A smog check test-and-repair station operating in any program area shall have the equipment and materials specified by, and conform to the requirements of, subsection (a) of section 3340.16 and subsection (a) of section 3340.16.4 of this article.  
(b) A smog check test-and-repair station operating in an enhanced area shall have all of the equipment and materials specified by, and conform to the requirements of subsection (a) above, and:
(1) An emissions inspection system in accordance with the bureau's  BAR-97 Emissions Inspection System Specifications as provided in subsection (b) of section 3340.17 of this article.
(2) A tire pressure gauge capable of accurately measuring tire pressure at the specification for the vehicles being tested and inspected using the ASM test procedure.
(c) A smog check test-and-repair station that has accepted a vehicle for inspection shall disclose both orally and in writing on the written estimate provided pursuant to Section 9884.9 of the Business and Professions Code, before the initial inspection of the vehicle, if the vehicle is potentially affected by any of the following conditions:
(1) The station does not have adequate equipment, personnel, tools or reference materials to repair the vehicle, should the vehicle fail its inspection; or
(2) The station, as a matter of policy, does not repair certain types, makes or models of vehicles; or
(3) The station, as a matter of policy, does not repair certain types of vehicle inspection failures.
(d) Effective through December 31, 2012, a smog check test-and-repair station shall not refer a consumer to a particular test-only station for the testing and certification of a vehicle that has been directed to a test-only station for its biennial smog check pursuant to Section 44010.5 and 44014.7 of the Health and Safety Code. Test-and-repair stations shall make available to each customer that presents a test-only directed vehicle for initial testing a list prepared by the bureau of those smog check test-only stations in that region licensed to perform initial tests of, and to certify test-only directed vehicles. Stations and inspectors and/or repair technicians are prohibited from altering or revising the list supplied by the bureau. For the purpose of this subsection, the term “make available” means to grant access to.
(e) Effective January 1, 2013, a smog check test-and-repair station may not refer a consumer to a STAR certified station in which the owner of the test-and-repair station has a financial interest for the purpose of having the vehicle inspected pursuant to Sections 44010.5 and 44014.7 of the Health and Safety Code. 
(1) A financial interest includes any ownership in both stations, or any compensation for business referrals by either station including, but not limited to, direct payment, barter agreements, or “quid pro quo” arrangements.
(2) Stations that are not STAR certified shall provide consumers with instructions regarding how to access on the bureau's website an updated list, compiled by region, of STAR certified smog check stations.
(f) Effective through December 31, 2012, a smog check test-and-repair station shall not have ownership in, corporate interest in, nor any other financial interest in a smog check test-only station within a geographical radius of 50 statute miles of the test-and-repair station.
NOTE

Authority cited: Section 44002, Health and Safety Code; and Section 9882, Business and Professions Code. Reference: Sections 44012, 44014.5(e), 44030(b) and 44036(b), Health and Safety Code.
HISTORY

1. Amendment filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
2. New subsection (a)(8) and subsection renumbering filed 10-23-91; operative 11-22-91 (Register 92, No. 35).
3. Amendment of section heading and subsection (a) filed 8-18-92; operative 9-17-92 (Register 92, No. 37).
4. Repealer of subsection (c) and amendment of Note filed 4-29-96 as an emergency; operative 4-29-96 (Register 96, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-27-96 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a) and (a)(3), repealer of subsection (a)(5) and subsection renumbering, amendment of newly designated subsections (a)(6)-)(a)(9), new subsections (a)(11)-(b)(2) and subsection relettering filed 7-26-96 as an emergency; operative 7-26-96 (Register 96, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-25-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 4-29-96 order transmitted to OAL 8-21-96 and filed 9-30-96 (Register 96, No. 40).
7. Editorial correction of subsection (a)(8) (Register 97, No. 2).
8. Certificate of Compliance as to 7-26-96 order, including further amendment of subsection (a), repealer of subsection (a)(13) and amendment of subsection (b)(2), transmitted to OAL 11-19-96 and filed 1-6-97 (Register 97, No. 2).
9. Amendment of section heading and subsections (a) and (c), and new subsection (d) filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
10. Editorial correction of History 9 (Register 97, No. 29).
11. Certificate of Compliance as to 4-15-97 order transmitted to OAL 8-11-97 and filed 9-18-97 (Register 97, No. 38).
12. New subsections (a)(13) and (b)(3) filed 2-1-2001; operative 2-1-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 5). 
13. Amendment of subsections (a)-(a)(1), new subsections (a)(1)(A)-(B), amendment of subsection (b)(2) and amendment of Note filed 11-27-2001; operative 12-27-2001 (Register 2001, No. 48).
14. Amendment of subsection (b)(1) filed 2-15-2002 as an emergency; operative 2-15-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-17-2002 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 2-15-2002 order transmitted to OAL 6-13-2002 and filed 7-26-2002 (Register 2002, No. 30). 
16. Amendment of section and Note filed 5-30-2006; operative 6-29-2006 (Register 2006, No. 22).
17. Amendment of subsections (b)(3) and (d), new subsections (e)-(e)(2), subsection relettering and amendment of newly designated subsection (f) filed 11-1-2011; operative 11-1-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 44).
18. Amendment of subsection (a), repealer of subsections (a)(1)-(13) and (b)(2), subsection renumbering and amendment of subsection (d) and Note filed 2-1-2012; operative 2-1-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 5).
§3340.16.6. Requirement for Telephone Line. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 44002 and 44036(b), Health and Safety Code. Reference: Sections 44012 and 44036(b), Health and Safety Code.
HISTORY

1. New section filed 5-11-90; operative 6-10-90 (Register 90, No. 26).
2. Amendment filed 6-9-2003; operative 7-9-2003 (Register 2003, No. 24).
3. Repealer filed 5-30-2006; operative 6-29-2006 (Register 2006, No. 22).
§3340.16.7. Test Equipment and Electronic Transmission Requirements. [Repealed]
Note     •     History

NOTE

Authority cited: Section 44002, 44036 and 44037.1, Health and Safety Code. Reference: Sections 44012, 44036(b) and 44037.1, Health and Safety Code.
HISTORY

1. New section filed 4-29-96 as an emergency; operative 4-29-96 (Register 96, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-27-96 or emergency language will be repealed by operation of law on the following day.
2. Amendment of subsection (a) and repealer and new subsection (b) filed 7-26-96 as an emergency; operative 7-26-96 (Register 96, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-25-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-29-96 order transmitted to OAL 8-21-96 and filed 9-30-96 (Register 96, No. 40).
4. Certificate of Compliance as to 7-26-96 order transmitted to OAL 11-19-96 and filed 1-6-97 (Register 97, No. 2).
5. Repealer filed 2-15-2002 as an emergency; operative 2-15-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-17-2002 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-15-2002 order transmitted to OAL 6-13-2002 and filed 7-26-2002 (Register 2002, No. 30). 
§3340.17. Test Equipment, Electronic Transmission, Maintenance and Calibration Requirements.
Note     •     History

(a) Each smog check test-only and test-and-repair station operating in other than an enhanced program area shall have a BAR certified emissions inspection system, as specified in subsection (b), except that the hardware and the software necessary to conduct dynamometer based, loaded-mode emissions shall not be required. Vehicle data emission test results shall be transmitted to the department's centralized data base in accordance with the procedures contained in the specifications referenced in subsection (b), which include the form, manner and frequency of data transmittals. The emissions inspection system shall be maintained and calibrated in accordance with the specifications referenced in subsection (b), and in accordance with the manufacturer's specifications. The emissions inspection system shall have the most current software and hardware updates required by the bureau.
(b) Each smog check test-only and test-and-repair station operating in an enhanced area shall have a BAR-certified emissions inspection system that meets the specifications contained in the BAR-97 Emissions Inspection System Specifications dated May 1996, as revised through July 2009, hereby incorporated by  reference. Vehicle data emission test results shall be transmitted to the department's centralized data base in accordance with the procedures contained in these specifications, which include the form, manner and frequency of data transmittals. The emissions inspection system shall be maintained and calibrated in accordance with the bureau's BAR-97 Emissions Inspection System Specifications referenced in this subsection, and in accordance with the manufacturer's specifications. The emissions inspection system shall have the most current software and hardware updates required by the bureau.
(c) All other diagnostic and repair equipment shall be maintained in good working condition. All equipment requiring calibration or adjustment shall be calibrated or adjusted in accordance with the instructions of the manufacturer, as approved by the bureau.
(d) An emissions inspection system shall only be used within a building and shall not be used in an environment that would subject the emissions inspection system to excessive heat, cold, dust, or moisture. The specifications for environmental conditions are referenced in the bureau's “BAR Exhaust Gas Analyzer Specifications” dated 1980, as herein incorporated by reference, and in the BAR-97 Emissions Inspection System Specifications referenced in subsection (b) of this section.
(e) Emissions inspection systems shall be calibrated only with BAR-approved gases that are certified in accordance with section 3340.18 of this article.
(f) Only bureau-authorized representatives or authorized manufacturer representatives shall have access to the emissions inspection system for service or inspection.
(g) Emission inspection systems that the bureau finds do not comply with the hardware and software requirements and specifications established in this article will be disabled from communicating with the bureau's centralized computer database and network, also known as the Vehicle Information Database (VID), and thereby prohibited from being used to perform smog check inspections, and to transmit certificates of compliance to the Department of Motor Vehicles, until they are brought into compliance. When any non-compliant EIS communicates with the VID, the Bureau will send a command from the database to disable the ability of the EIS to perform Smog Check tests or inspections.
(h) All emissions inspection systems prescribed by subdivision (b) of section 44036 of the Health and Safety Code and used in the smog check program must be connected via modem to a standard, single-party business telephone line, or in the alternative to a high-speed or broadband connection, in order to transmit required program information. The telephone line, or high-speed or broadband connection, must not be used for any other purpose, nor may it be connected to more than one emissions inspection system, nor may it have call waiting or any other special feature that would interfere with the modem's operation or the operation of the high-speed or broadband connection. Smog Check stations shall keep this telephone line, or high-speed or broadband connection, connected to the emissions inspection system at all times.
NOTE

Authority cited: Sections 44002, 44036 and 44037.1, Health and Safety Code; and Section 9882, Business and Professions Code. Reference: Sections 44012, 44036 and 44037.1, Health and Safety Code.
HISTORY

1. Amendment filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
2. Editorial correction of printing error restoring subsection (c) (Register 91, No. 6).
3. Amendment of subsections (a) and (c) filed 4-29-96 as an emergency; operative 4-29-96 (Register 96, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-27-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-29-96 order transmitted to OAL 8-21-96 and filed 9-30-96 (Register 96, No. 40).
5. Amendment of section heading, section and Note filed 2-15-2002 as an emergency; operative 2-15-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-17-2002 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-15-2002 order transmitted to OAL 6-13-2002 and filed 7-26-2002 (Register 2002, No. 30). 
7. Redesignation and amendment of former subsection (a) as subsection (a)(1), new subsection (a)(2) and amendment of subsection (d) filed 6-9-2003; operative 7-9-2003 (Register 2003, No. 24).
8. Editorial correction of subsection (a)(2) (Register 2005, No. 44).
9. Amendment of section and Note filed 5-30-2006; operative 6-29-2006 (Register 2006, No. 22).
10. Amendment of subsections (b) and (g) filed 11-5-2009; operative 12-5-2009 (Register 2009, No. 45).
11. Amendment of subsections (a) and (b) filed 2-1-2012; operative 2-1-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 5).
§3340.18. Certification of Emissions Inspection System Calibration Gases and Blenders of Gases.
Note     •     History

Emissions inspection system calibration gases used by smog check stations and gas blenders who provide such calibration gases shall be certified by the bureau in accordance with the requirements of the bureau's “Specifications and Accreditation Procedures for Calibration and Audit Gases Used in the California Emissions I/M Program” publication dated January 1990, as herein incorporated by reference.
NOTE

Authority cited: Sections 44002 and 44036.5. Health and Safety Code. Reference: Section 44036.5. Health and Safety Code.
HISTORY

1. New section filed 9-26-90; operative 10-26-90 (Register 90, No. 44).
2. Editorial correction of History 1 (Register 95, No. 47).
3. Amendment of section heading and section filed 6-9-2003; operative 7-9-2003 (Register 2003, No. 24).
4. Change without regulatory effect amending section heading and section filed 10-11-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§3340.20. Acknowledgment and Waiver Requirement for Licensed Test-and-Repair Stations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 44002, Health and Safety Code. Reference: Section 44033(b) and (c), Health and Safety Code.
HISTORY

1. Repealer filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
§3340.22. Smog Check Station Signs.
Note     •     History

Each smog check test-only, repair-only, and test-and-repair station shall display an identifying sign that meets the following specifications:
(a) Dimensions. The sign shall be 24 inches wide and 30 inches high.
(b) Sign Material. The sign shall be made of 0.040 aluminum or steel.
(c) Content. Camera-ready design and content of the sign shall be supplied by the bureau.
NOTE

Authority cited: Section 44002, Health and Safety Code. Reference: Section 44033(a), Health and Safety Code.
HISTORY

1. Amendment filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
2. Amendment of first paragraph filed 2-1-2012; operative 2-1-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 5).
§3340.22.1. Smog Check Station Service Signs.
Note     •     History

(a) Separate sign requirements shall apply to the following types of stations which provide smog check program services:
(1) Smog check stations which only inspect and/or repair heavy-duty vehicles.
(2) Smog check stations which do not inspect and/or repair heavy-duty vehicles.
(3) Smog check stations that only inspect and/or repair vehicles powered by diesel engines or engines originating from diesel compression ignition designs. 
(b) The service signs required by subdivision (a) shall be made of 0.040 aluminum or steel stock and shall be 24 inches wide and 8 inches high. Camera-ready design and content of required signs are available from the bureau upon request.
(c) Service signs shall be securely attached to the bottom of or immediately below the smog check station signs required by section 3340.22 of this article. 
NOTE

Authority cited: Section 44002, Health and Safety Code. Reference: Sections 44033(a) and 44045.5, Health and Safety Code.
HISTORY

1. New section filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
2. Repealer of subsection (a)(2), subsection renumbering, and amendment of  Note filed 6-23-95 as an emergency; operative 6-23-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-21-95 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-23-95 order transmitted to OAL 10-20-95 and filed 12-6-95 (Register 95, No. 49).
4. Amendment of subsection (a), new subsections (a)(4) and (a)(5), amendment of subsections (b) and (c) and repealer of Figures 2-5 filed 7-26-96 as an emergency; operative 7-26-96 (Register 96, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-25-96 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction of section heading (Register 97, No. 2).
6. Certificate of Compliance as to 7-26-96 order transmitted to OAL 11-19-96 and filed 1-6-97 (Register 97, No. 2).
7. Repealer of subsections (a)(4)-(5) filed 2-1-2001; operative 2-1-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 5). 
8. Repealer of subsection (a)(1), subsection renumbering, new subsection (a)(3) and amendment of subsection (c) filed 2-1-2012; operative 2-1-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 5).
§3340.22.2. Smog Check Station Repair Cost Limit Sign.
Note     •     History

(a) The sign required by Section 44017.3 of the Health and Safety Code shall be provided by the bureau and shall have the following dimensions and specifications.
(1) Sign shall be 22 inches wide and 16 inches high.
(2) Sign shall be in black typeface on white background.
(3) Sign wording and point size shall be as supplied by the bureau.
(4) Typeface shall be Bookman.
(b) If a sign no longer meets the outlined specifications or is no longer readily legible, it will be replaced by the bureau.
NOTE

Authority cited: Sections 44002 and 44017.3, Health and Safety Code. Reference: Section 44017.3, Health and Safety Code.
HISTORY

1. New section filed 10-23-91; operative 11-22-91 (Register 92, No. 35).
2. Amendment of subsection (b) filed 8-18-92; operative 9-17-92 (Register 92, No. 37).
3. Amendment of subsections (a)(3) and (b) filed 5-8-95 as an emergency; operative 5-8-95 (Register 95, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-5-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-8-95 order transmitted to OAL 8-31-95 and filed 9-25-95 (Register 95, No. 39).
5. Amendment of subsections (a)(1) and (a)(4) filed 2-1-2001; operative 2-1-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 5). 
§3340.22.3. Replacement of Signs. 
Note     •     History

The bureau may require the replacement of any sign mandated by section 3340.22, 3340.22.1 or 3340.22.2 of this chapter, if such sign fails to meet applicable specifications or is no longer readily legible.
NOTE

Authority cited: Section 44002, Health and Safety Code. Reference: Sections 44017.3 and 44033(a), Health and  Safety Code.
HISTORY

1. New section filed 8-18-92; operative 9-17-92 (Register 92, No. 37).
§3340.23. Licensed Smog Check Station That Ceases Operating As a Licensed Station.
Note     •     History

A smog check station shall cease performing the functions for which it has been licensed when it no longer has in its employ an inspector or repair technician, licensed for the appropriate category of vehicle being tested or repaired, or when its license has expired or has been surrendered, suspended, or revoked. Such station must dispose of materials related to its formerly licensed activity according to these provisions:
(a) Loss of Services of Licensed Inspector or Repair Technician. A licensed station that no longer has in its employ a smog check inspector or repair technician, licensed for the appropriate category of vehicle being tested or repaired, shall immediately remove or cover the smog check station sign in accordance with subsection (b) of this section. If the station does not have in its employ, within 60 days, a smog check inspector or repair technician, licensed for the appropriate category of vehicle being tested or repaired, the station shall surrender its station license to the bureau and shall return to the bureau all unused certificates of compliance and noncompliance.
(b) Removal of Sign. A licensed station that is no longer authorized to perform the function for which it was licensed shall remove or cover the smog check station sign.
(c) Return of Certificates. When a station license has expired or has been surrendered, suspended or revoked, the station shall return to the bureau all unused certificates purchased by the station.
NOTE

Authority cited: Section 44002, Health and Safety Code. Reference: Sections 44030(a) and (b), 44031, 44032, 44033 and 44045.5, Health and Safety Code.
HISTORY

1. Amendment filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
2. Amendment of first paragraph, subsection (a) and Note filed 6-23-95 as an emergency; operative 6-23-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-21-95 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-23-95 order transmitted to OAL 10-20-95 and filed 12-6-95 (Register 95, No. 49).
4. Amendment of first paragraph and subsection (a) filed 2-1-2012; operative 2-1-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 5).
§3340.24. Suspension, Revocation, and Reinstatement of Licenses.
Note     •     History

(a) Any disciplinary or reinstatement proceeding under this article involving licensed stations, licensed technicians, or fleet owners licensed pursuant to section 44020 of the Health and Safety Code shall be conducted in accordance with chapter 5 (commencing with section 11500) of division 3, Title 2 of the Government Code.
(b) The bureau may suspend or revoke the license of or pursue other legal action against a licensee, if the licensee knowingly and willfully resists, delays, or obstructs any employee of the bureau or any employee of the quality assurance contractor of the bureau in carrying out the lawful performance of his or her duties.
(c) The bureau may suspend or revoke the license of or pursue other legal action against a licensee, if the licensee falsely or fraudulently issues or obtains a certificate of compliance or a certificate of noncompliance.
(d) The bureau may suspend or revoke the license of or pursue other legal action against a licensee that fails to complete retraining when required by the department, pursuant to section 44045.6 of the Health and Safety Code.
NOTE

Authority cited: Sections 44002 and 44035, Health and Safety Code. Reference: Sections 44020, 44031.5, 44035, 44045.6, 44050 and 44072.2, Health and Safety Code; and Section 11500, et seq., Government Code.
HISTORY

1. Amendment filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
2. Amendment of first paragraph, subsection (d) and Note filed 6-23-95 as an emergency; operative 6-23-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-21-95 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-23-95 order transmitted to OAL 10-20-95 and filed 12-6-95 (Register 95, No. 49).
§3340.25. Licensing of Inspectors. [Repealed]
Note     •     History

NOTE

Authority cited: Section 44002, Health and Safety Code; and 163.5, Business and Professions Code. Reference: Sections 44015, 44031 and 44031.5, Health and Safety Code.
HISTORY

1. Amendment of subsections (a), (e) and (f) filed 6-21-89; operative 6-21-89 pursuant to Government Code section 11346.2(d) (Register 89, No. 25).
2. Amendment filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
3. Repealer filed 6-23-95 as an emergency; operative 6-23-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-21-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-23-95 order transmitted to OAL 10-20-95 and filed 12-6-95 (Register 95, No. 49).
§3340.28. Licenses and Qualifications for Smog Check Inspectors and Repair Technicians.
Note     •     History

(a) An individual may qualify for the following Smog Check licenses: 
(1) Smog Check Inspector. The Smog Check Inspector license allows an individual to inspect, and certify the emissions control systems on vehicles subject to the Smog Check Program in all areas of the state. The Smog Check Inspector license expires pursuant to the requirements in subsection (d) of section 3340.29 of this Article. 
(2) Smog Check Repair Technician. The Smog Check Repair Technician license allows an individual to diagnose, adjust, and repair the emissions control systems on vehicles subject to the Smog Check Program at smog check stations in all areas of the state. The Smog Check Repair Technician license expires pursuant to the requirements in subsection (d) of section 3340.29 of this Article.
(b) Smog Check Inspector Qualifications.
The Smog Check Inspector license requires an examination. The qualifications to take the examination for the Smog Check Inspector license are:
(1) The applicant must provide proof, satisfactory to the bureau, of:
(A) The successful completion of bureau specified engine and emission control training within the last two years, and successful completion of the bureau's smog check training within the last two years; or
(B) At the bureau's discretion, successful completion of a competency assessment within the last two years, and successful completion of the bureau's smog check training within the last two years; or
(C) The applicant must provide proof, satisfactory to the bureau, of meeting the qualifications established in subsection (c)(1) and successful completion of the bureau's smog check training within the last two years. 
(2) Update Training. The bureau may require update training as part of the requirements for license renewal. An applicant for renewal of a Smog Check Inspector license must provide proof, satisfactory to the bureau, of successful completion of bureau specified update training. At the bureau's discretion, a Smog Check Inspector may take a challenge test in lieu of taking the update training.
(c) Smog Check Repair Technician Qualifications. The Smog Check Repair Technician license requires an examination. The qualifications to take the examination for the Smog Check Repair Technician license are: 
(1) The applicant must provide proof, satisfactory to the bureau, of:
(A) Possession of an Associate of Arts or Associate of Science degree or higher in Automotive Technology, from a state accredited or recognized college, public school, or trade school, and one year automotive repair experience in the engine performance area; or 
(B) Possession of a certificate in automotive technology, from a state accredited or recognized college, public school, or trade school with a minimum of 720 hours course work that includes at least 280 hours course work in the engine performance area, and one year of automotive repair experience in the engine performance area; or 
(C) A minimum of two years of automotive repair experience in the engine performance area, and successful completion of bureau specified diagnostic and repair training within the last five years; or
(D) The applicant must provide proof, satisfactory to the bureau, of certification in the categories of Electrical/Electronic Systems (A6), Engine Performance (A8) and Advanced Engine Performance Specialist (L1) from the National Institute for Automotive Service Excellence, or other such established and nationally recognized automotive repair certification institution as determined by the bureau. 
(2) Update Training. The bureau may require update training as part of the requirements for license renewal. An applicant for renewal of a license must provide proof, satisfactory to the bureau, of successful completion of a minimum of 16 hours of bureau specified update training. At the bureau's discretion, a repair technician may take a challenge test in lieu of taking the update training. 
(d) A single license that allows the applicant to perform the services described in subsections (a)(1) and (2) may be issued to applicants who qualify for and pass the exam for both license types. 
(e) Upon renewal of an unexpired Basic Area Technician license or an Advanced Emission Specialist Technician license issued prior to the effective date of this regulation, the licensee may apply to renew as a Smog Check Inspector, Smog Check Repair Technician, or both. 
(f) An applicant for renewal of a Smog Check Repair Technician license who does not possess certification pursuant to subsection (c)(1)(D) of this section must provide proof, satisfactory to the bureau, of successful completion of the bureau specified diagnostic and repair training within the last five years. 
NOTE

Authority cited: Sections 44002, 44014 and 44045.5, Health and Safety Code; and Section 9882, Business and Professions Code. Reference: Section 44014, 44031.5(e) and 44045.5, Health and Safety Code.
HISTORY

1. New section filed 6-23-95 as an emergency; operative 6-23-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-21-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-23-95 order transmitted to OAL 10-20-95 and filed 12-6-95 (Register 95, No. 49).
3. Amendment of section and Note filed 7-26-96 as an emergency; operative 7-26-96 (Register 96, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-25-96 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of subsections (a)(2), (b)(2)(A), (b)(2)(C), (b)(3)(B), (b)(3)(C) and (b)(4)(A) (Register 97, No. 2).
5. Certificate of Compliance as to 7-26-96 order, including amendment of subsection (a)(2), repealer of subsections (a)(4) and (b)(3)-(b)(3)(A), subsection relettering and renumbering, and amendment of newly designated subsection (b)(4)(B), transmitted to OAL 11-19-96 and filed 1-6-97 (Register 97, No. 2).
6. Amendment filed 2-1-2001; operative 2-1-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 5). 
7. Amendment of section and Note filed 12-18-2008; operative 1-17-2009 (Register 2008, No. 51).
8. Amendment of section heading and section filed 2-1-2012; operative 2-1-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 5).
§3340.29. Licensing of Smog Check Inspectors and Repair Technicians.
Note     •     History

(a) An applicant for a license as an inspector or repair technician shall submit an application with appropriate documents to the bureau on form (10/11) Inspector/Tech App 1A “Application for Initial Smog Check Inspector, and/or Smog Check Repair Technician License,” which is hereby incorporated by reference, together with an application fee of $20.00. If the applicant fails to include all required documentation, or complete all questions regarding the applicant's background, or otherwise fails to submit a complete original application the fee shall not be refunded and a license shall not be issued. 
(b) An applicant for an inspector or repair technician license shall be subject to the following requirements:
(1) An applicant for an inspector or repair technician license shall pay an examination fee and successfully complete and pass the appropriate examination in order to receive a license.
(2) An applicant that receives a notice of qualification to take an examination, pursuant to section 3303.2 of this Article, shall take the appropriate examination within 90 days of receipt of notification of qualification to take the examination. A qualified applicant may attempt to pass the examination two times per application. After two attempts the applicant shall submit a new application to the bureau, pay an application fee of $20, pay the examination fee and successfully complete and pass the appropriate examination.
(c) An initial application shall be subject to the review procedures specified in section 3303.2. of Article 1 of this Chapter.
(d) Initial license for a Smog Check Inspector or Smog Check Repair Technician shall expire on the last day of the licensee's birth month. If the initial license is issued more than six months prior to the licensee's birth month the license shall expire no less than 18 months from the issuance date. If the initial license is issued within six months of the licensee's birth month, the license shall expire no more than 30 months from the issuance date. License expiration dates are calculated from the date the department is notified that an applicant has passed the licensing examination. Subsequent renewal licenses will expire on the last day of the birth month, two years thereafter. The bureau may advance the expiration date of an inspector or repair technician license for the purpose of synchronizing license expiration dates. Withholding a license for enforcement purposes, or issuance of a temporary license due to family support obligations, does not change the expiration date as calculated above.
(e) To renew a license, the inspector or repair technician shall submit a renewal fee of $20 and pay the examination fee, as applicable, and successfully complete and pass the appropriate examination, as applicable, prior to the expiration date of the license.
(f) The selection of an examination may be based on, but is not limited to, the applicant's professional or vocational certifications, education, experience, and/or disciplinary and citation history, at the bureau's discretion. 
NOTE

Authority cited: Sections 44002, 44013(b), 44016, 44031.5, 44034, 44034.1 and 44045.5, Health and Safety Code; and Sections 163.5 and 9882, Business and Professions Code. Reference: Sections 44012, 44014, 44015(a) and (b), 44030(a), 44031.5, 44032, 44034, 44034.1, 44035, 44045.5 and 44045.6, Health and Safety Code; and Section 1798.17, Civil Code.
HISTORY

1. New section filed 6-23-95 as an emergency; operative 6-23-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-21-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-23-95 order transmitted to OAL 10-20-95 and filed 12-6-95 (Register 95, No. 49).
3. Amendment of subsection (a), repealer of subsection (b)(2) and subsection renumbering, amendment of newly designated subsection (b)(2) and subsections (d), (e) and (f), repealer of subsections (f)(1) and (f)(2) and deletion of (f)(3) designator and amendment of formerly designated (f)(3) and Note filed 7-26-96 as an emergency; operative 7-26-96 (Register 96, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-25-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 7-26-96 order, including further amendment of subsections (d)-(f), transmitted to OAL 11-19-96 and filed 1-6-97 (Register 97, No. 2).
5. Amendment of subsections (a), (e) and (f) filed 2-1-2001; operative 2-1-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 5). 
6. Amendment of section and Note filed 12-18-2008; operative 1-17-2009 (Register 2008, No. 51).
7. Amendment of section heading and section filed 2-1-2012; operative 2-1-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 5).
§3340.30. General Requirements for Smog Check Inspectors and/or Repair Technicians.
Note     •     History

A licensed smog check inspector and/or repair technician shall comply with the following requirements at all times while licensed:
(a) Inspect, test and repair vehicles, as applicable, in accordance with section 44012 of the Health and Safety Code, section 44035 of the Health and Safety Code, and section 3340.42 of this article.
(b) Maintain on file with the bureau a correct mailing address pursuant to section 3303.3 of Article 1 of this Chapter.
(c) Notify the bureau in writing within two weeks of any change of employment.
(d) Upon expiration of the inspector and/or repair technician license immediately cease to inspect, test, or repair failed vehicles, as applicable.
NOTE

Authority cited: Sections 44002, 44013(b), 44016, 44031.5 and 44034, Health and Safety Code; and Section 163.5, Business and Professions Code. Reference: Sections 44012, 44015(a) and (b), 44030(a), 44031.5, 44032, 44034, 44034.1, 44035, 44045.5 and 44045.6, Health and Safety Code.
HISTORY

1. New subsection (h) filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
2. Amendment filed 6-21-89; operative 6-21-89 pursuant to Government Code section 11346.2(d) (Register 89, No. 25).
3. Amendment filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
4. Amendment of subsections (b) and (e) filed 5-11-90; operative 6-10-90 (Register 90, No. 26).
5. Amendment of subsections (b)(1)-(2) filed 8-18-92; operative 9-17-92 (Register 92, No. 37).
6. Editorial correction adding inadvertently omitted amendment of subsections (a), (c), (f) and Note filed 8-16-94 as an emergency; operative 8-16-94 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL 12-14-94 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 8-16-94 order transmitted to OAL 12-12-94 and filed 1-24-95 (Register 95, No. 4).
8. Editorial correction of section heading (Register 95, No. 16).
9. Repealer and new section filed 6-23-95 as an emergency; operative 6-23-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-21-95 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 6-23-95 order transmitted to OAL 10-20-95 and filed 12-6-95 (Register 95, No. 49).
11. Amendment of section heading and section filed 2-1-2012; operative 2-1-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 5).
§3340.31. Retraining of Licensed Smog Check Inspectors and/or Repair Technicians.
Note     •     History

(a) Licensed inspectors or repair technicians receiving citations pursuant to subdivision (b) of Section 44050 of the Health and Safety Code, or found lacking in skills pursuant to subdivision (b) of Section 44031.5 of the Health and Safety Code, or found lacking in skills pursuant to subdivision (c) of Section 44045.6 of the Health and Safety Code, shall be required to undergo retraining at institutions and by instructors certified by the bureau pursuant to Sections 44030.5 and 44045.6 of the Health and Safety Code.
(b) Failure by a licensed inspector or repair technician to complete retraining when required by the department shall be grounds for revocation or suspension of the license, pursuant to section 44045.6 of the Health and Safety Code.
NOTE

Authority cited: Section 44002, Health and Safety Code. Reference: Sections 44030.5, 44031.5(b), 44045.6, 44050 and 44072.2, Health and Safety Code.
HISTORY

1. New section filed 6-21-89; operative 6-21-89 pursuant to Government Code Section 11346.2(d) (Register 89, No. 25).
2. Amendment of section heading, section and Note filed 6-23-95 as an emergency; operative 6-23-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-21-95 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-23-95 order transmitted to OAL 10-20-95 and filed 12-6-95 (Register 95, No. 49).
4. Amendment of section heading and section filed 2-1-2012; operative 2-1-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 5).
§3340.32. Standards for the Certification of Institutions Providing Retraining to Licensed Technicians or Prerequisite Training to Those Seeking to Become Licensed Technicians.
Note     •     History

(a) An institution providing prerequisite training under subdivisions (a) and (b) of section 44045.6 of the Health and Safety Code to those seeking to become licensed technicians, or providing retraining to licensed technicians cited under the provisions of subdivision (c) of section 44045.6 of the Health and Safety Code, or providing retraining to licensed technicians cited under the provisions of subdivision (b) of section 44050 of the Health and Safety Code, or providing retraining to licensed technicians under the provisions of subdivision (b) of section 44031.5 of the Health and Safety Code must be certified by the bureau prior to providing that training or retraining.
(b) A school may be certified to instruct one or more of the following smog technician training courses:
(1) The Basic Smog Technician courses which consist of the Basic Clean Air Car Course, the Citation Retraining Course for Basic Area Technicians, the Bureau Training Program, and the Update Training for Basic Area Technicians.
(2) The Advanced Smog Technician courses which consist of the Advanced Clean Air Car Course, the BAR 97 Transition Course, the Citation Retraining Course for Advanced Emission Specialist Technicians, the Bureau Training Program, and the Update Training Course for Advanced Emission Specialist Technicians.
(c) To become certified, an institution shall submit an application to the bureau on form TS-1 (10-99), “Application to Become a BAR Certified Training Institution.”
(d) An initial application shall be subject to the review procedures specified in Section 3303.2. of Article 1 of this Chapter.
(e) An applicant shall meet the following requirements:
(1) All institutions wishing to be certified to offer training to qualify an individual for a technician license shall provide satisfactory evidence of:
(A) Approval from the Department's Bureau for Private Postsecondary and Vocational Education, if applicable. That approval shall remain current at all times.
(B) Possession of current course materials.
(C) Lecture and shop facilities sufficient to adequately train all participating students.
(D) Instructors certified by the bureau pursuant to Section 3340.33 of this article to offer instruction.
(E) Having functional access to a bureau-designated web site and having an electronic mail address where the institution can receive electronic information from, and send electronic information to the bureau.
(2) An institution wishing to be certified to offer Basic Smog Technician courses shall have the following tools and materials in quantities sufficient to adequately train all participating students:
(A) An emissions inspection system as provided by and in accordance with, subsection (a) of Section 3340.17 of this article.
(B) An engine performance analyzer containing an electronic device capable of displaying and printing diagnostic information related to the engine ignition and fuel systems of the vehicle being tested.
(C) A tachometer/dwell meter.
(D) An ignition timing light which measures ignition advance.
(E) A hand vacuum pump, and a vacuum gauge.
(F) An ammeter capable of measuring amps and milliamps.
(G) A digital volt/ohm meter.
(H) A compression tester.
(I) Current emission control service manuals and systems application guides.
(J) Automotive computer diagnostic and repair manuals.
(K) Electronic component location manuals.
(L) Hand tools necessary to inspect, adjust, maintain, and repair vehicular ignition, fuel delivery, and emission control systems.
(M) Audio-visual equipment sufficient to adequately present the required course material.
(N) A diagnostic device capable of retrieving diagnostic trouble codes, interpreting codes, and displaying and storing data streams from the on-board computer systems of vehicles. Diagnostic data modules required to operate the device shall be kept updated to the current available calendar year. The device shall be On-Board Diagnostic II compliant, and shall have the Enhanced E/E Diagnostic Test Modes capabilities as noted in the Society of Automotive Engineer's document number J2190 dated June 1993.
(O) A fuel pressure gauge capable of measuring the higher pressures of fuel-injected vehicles.
(P) A Propane enrichment kit.
(Q) Fuel fillpipe restrictor dowel gauge meeting the following specifications:
1. Made of a non-sparking material meeting the standard for hardness of aluminum alloy No. 5052 as defined in Volume 02.02 of section 2 of the 1986 Annual Book of Standards published by the American Society for Testing and Materials;
2. Having a radiused test portion;
3. Having a test portion diameter not less than 0.9375 inches or more than 0.950 inches;
4. Having an overall length not less than 5 inches or more than 12 inches;
5. Having a handle no less than 1.25 inches in diameter, and no less than 4 inches in length; and
6. Constructed of solid bar stock or tubing with a minimum wall thickness of 3/16 of an inch.
(R) The currently available bureau manuals and bulletins.
(S) A minimum of one operational demonstration vehicle, or stationary engine per every four students attending a course must be available and must be used for demonstration and student laboratory assignments involving testing, diagnosis and repair procedures. The vehicle or stationary engine must be appropriate to the demonstration or laboratory assignment. At least one demonstration vehicle must be owned, rented or leased by the institution. Demonstration vehicles and stationary engines must be fully operational with computer-controlled systems.
(3) An institution wishing to be certified to offer Advanced Smog Technician courses shall, in addition to the equipment required by paragraph 2 of subsection (e) of this section, have the following equipment:
(A) An emissions inspection system in accordance with the bureau's emissions inspection system specifications referenced in subsection (b) of Section 3340.17 of this article.
(B) An evaporative emission control test system approved by the bureau for use in an enhanced program area.
(C) An electronic device capable of graphically displaying any electrical or electronic signal used by an automotive computer system. The device shall have the capability of displaying the electrical or electronic signal using a voltage and time scale that is adjustable. The device shall have the capability of capturing and displaying a high frequency abnormal signal, regardless of time per division setting, or screen refresh rate. 
(f) Institutional certification by the bureau shall not exceed one-year. Institutions shall renew their certification electronically using form TS-1 (10-99); “Application To Become A Bureau Certified Training Institution” located at a bureau designated Internet web site.
(g) All institutions certified shall:
(1) Maintain adequate lecture and shop facilities, sufficient tools and materials, and current course materials.
(2) Identify in writing to all potential students the level of certification training the institution will provide and any limitations to this training applicable to obtaining a technician license. This written disclosure shall be presented to students no later than their first class meeting.
(3) Provide competent instruction to students, including lab exercises and hands-on work.
(4) Advise prospective students of the automotive mechanical experience and automotive mechanical course-work requirements at the time of application.
(5) Evaluate applications to verify that the applicant meets the applicable qualification requirements specified in subsection (b) of section 3340.28 of this article.
(6) Instruct a maximum of twenty-five students per instructor at any one time.
(7) Allow the bureau or authorized representative reasonable access during normal business hours to training records, equipment and facilities.
(8) Report to the bureau on form TS-5 (10-99), “Certified Institution's Training Record,” the number of students receiving training or retraining courses prescribed by the bureau, the names of those students successfully completing training or retraining courses, and in the case of students taking retraining courses pursuant to section 3340.31 of this article, the names of those failing to complete such retraining courses. Reporting shall be performed electronically using form TS-5 (10-99); “Certified Institution's Training Record” located at a bureau designated Internet web site.
(9) Have available for students the current year editions of all required vehicle reference and repair manuals, in electronic or print media.
(10) Have available for students the current operating instructions for all training aids and automotive test equipment.
(11) Have available for students an adequate number and variety of training aids such as demonstration engines, carburetors, and emission control devices, in order to meet student training needs and to ensure proper understanding of the course content and laboratory assignments.
(h) Pursuant to section 44045.5 of the Health and Safety Code, an institution may be certified to instruct the Bureau Training Program to meet the prerequisite for licensure, as follows:
(1) The institution shall use training materials, course-work, and examinations developed by a bureau approved publisher.
(2) The institution shall obtain all training materials, course-work, and examinations from a bureau approved publisher. Failure to use training materials, course-work, or examinations developed by a bureau approved publisher may result in the disapproval of the training program or decertification of the institution.
(3) The institution's administration of examinations shall meet bureau standards, as outlined in the “Bureau Training Program Standards” (3-95), herein incorporated by reference, and meet or exceed all statutory requirements and federal and state standards regarding examination development. Failure to meet bureau standards, as outlined in the “Bureau Training Program Standards” (3-95), and meet or exceed all statutory requirements and federal and state standards regarding examination development, may result in the disapproval of the training program or decertification of the institution.
(4) The institution shall instruct the training program in accordance with the requirements outlined in the “Bureau Training Program Standards” (3-95). Failure to provide instruction that meets the requirements outlined in the “Bureau Training Program Standards” (3-95) may result in the disapproval of the training program or decertification of the institution.
(5) The bureau reserves the right to review and recommend changes to an institution's methods of instruction and/or administration of examinations. Failure to comply with the bureau's recommended changes to an institution's methods of instruction and/or administration of examinations may result in the disapproval of the training program or decertification of the institution.
NOTE

Authority cited: Section 44002, Health and Safety Code. Reference: Sections 44030.5, 44031.5(b), 44045.6 and 44050, Health and Safety Code.
HISTORY

1. New section filed 6-21-89; operative 6-21-89 pursuant to Government Code section 11346.2(d) (Register 89, No. 25).
2. Editorial correction of History 1. (Register 91, No. 32).
3. New subsection (b)(3) and renumbering of following subsections filed 8-18-92; operative 9-17-92 (Register 92, No. 37).
4. Amendment of section heading, section and Note filed 6-23-95 as an emergency; operative 6-23-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-21-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-23-95 order including amendment of subsection (g)(3) transmitted to OAL 10-20-95 and filed 12-6-95 (Register 95, No. 49).
6. Amendment of section filed 7-26-96 as an emergency; operative 7-26-96 (Register 96, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-25-96 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of subsections (b)(2), (e)(1)(F), (e)(3) and (e)(4) (Register 97, No. 2).
8. Certificate of Compliance as to 7-26-96 order, including repealer of subsection (b)(2), subsection renumbering, amendment of subsection (e)(1), repealer of subsections (e)(2)(N) and (e)(3)-(e)(3)(K), subsection relettering and renumbering, and amendment of subsection (h), transmitted to OAL 11-19-96 and filed 1-6-97 (Register 97, No. 2).
9. Amendment filed 2-1-2001; operative 2-1-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 5). 
10. Amendment of subsections (e)(2)(A) and (e)(3)(A) filed 2-15-2002 as an emergency; operative 2-15-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-17-2002 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 2-15-2002 order transmitted to OAL 6-13-2002 and filed 7-26-2002 (Register 2002, No. 30). 
12. Amendment of subsection (e)(12) filed 6-9-2003; operative 7-9-2003 (Register 2003, No. 24).
13. Change without regulatory effect amending subsections (a)-(e)(1)(A), (e)(1)(D), (e)(2)-(e)(2)(A), (e)(2)(P), (e)(2)(Q)3.-4., (e)(3) and (e)(3)(A) filed 10-11-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§3340.32.1. Standards for the Decertification and Recertification of Institutions Providing Retraining to Licensed Technicians or Prerequisite Training to Those Seeking to Become Licensed Technicians.
Note     •     History

(a) An application for certification may be denied or an institution may be decertified for the following reasons:
(1) Failure to comply with the provisions of Section 3340.32 of this article; or
(2) Misrepresentation of a material fact in obtaining or attempting to obtain certification as an institution; or
(3) Suspension or revocation of any bureau--issued license, registration, or qualification certificate held by the institution or by any owner, partner, officer, director, or manager of the institution, if the grounds for suspension or revocation are substantially related to the qualifications of the institution to provide bureau--prescribed courses of instruction; or
(4) Conviction of a crime or conduct which would be cause for denial of a license pursuant to Section 480 of the Business and Professions Code, or for suspension or revocation of a license pursuant to Section 490 of the Business and Professions Code.
(b) Institutions may be recertified as follows:
(1) Upon completion of an application for recertification; and
(2) After an on--site inspection of the institution has been accomplished by the bureau and a determination made by the bureau that the institution is again qualified to instruct students. In considering whether to make such determination, the bureau will evaluate the rehabilitation of the applicant based upon the criteria set forth in Section 3395 of this Chapter.
(c) Any decertification proceeding under this section shall be conducted in accordance with Chapter 5 (commencing with Section 11500) of Division 3, Title 2 of the Government Code.
NOTE

Authority cited: Section 44002, Health and Safety Code. Reference: Sections 44030.5, 44045.6 and 44050, Health and Safety Code; Sections 480 and 490, Business and Professions Code; and Section 11500, et. seq., Government Code.
HISTORY

1. New section filed 6-21-89; operative 6-21-89 pursuant to Government Code Section 11346.2(d) (Register 89, No. 25).
2. Amendment of section heading and Note filed 6-23-95 as an emergency; operative 6-23-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-21-95 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-23-95 order transmitted to OAL 10-20-95 and filed 12-6-95 (Register 95, No. 49).
§3340.33. Standards for the Certification of Basic and Advanced Instructors Providing Retraining to Intern, Basic Area, and Advanced Emission Specialist Licensed Technicians or Prerequisite Training to Those Seeking to Become Intern, Basic Area, or Advanced Emission Specialist Licensed Technicians. 
Note     •     History

(a) There are the following instructor certification categories in the smog check program:
(1) Basic Instructor. An instructor providing Basic smog technician courses, or prerequisite training to those seeking to become Intern, or Basic Area licensed technicians, or providing retraining to Intern, or Basic Area technicians cited under the provisions of subdivision (b) of Section 44050 of the Health and Safety Code, or providing retraining to Intern, or Basic Area licensed technicians under provision of subdivision (b) of Section 44031.5 of the Health and Safety Code, or providing retraining to Intern, or Basic Area licensed technicians under Subdivision (c) of Section 44045.6 of the Health and Safety Code. A Basic instructor must have certification from the bureau prior to providing such training or retraining. 
(2) Advanced Instructor. An instructor providing Advanced Smog Technician Courses, or prerequisite training to those seeking to become Intern, Basic Area, or Advanced Emission Specialist licensed technicians, or providing retraining to Intern, Basic Area, or Advanced Emission Specialist licensed technicians cited under the provisions of Subdivision (b) of Section 44050 of the Health and Safety Code, or providing retraining to Intern, Basic Area, or Advanced Emission Specialist licensed technicians under Subdivision (c) of Section 44045.6 of the Health and Safety Code. An Advanced Instructor must have certification from the bureau prior to providing such training or retraining.
(b) Application.
(1) To become certified as a Basic instructor, an individual shall submit an application to the bureau on form TS-2 (10-99), “Application To Become a Bureau Certified Basic Instructor.”
(2) To become certified as an Advanced instructor, an individual shall submit an application to the bureau on form TS-3 (10-99) “Application To Become a Bureau Certified Advanced Instructor.”
(c) Initial Application Review. An initial application shall be subject to the review procedures specified in section 3303.2. of Article 1 of this Chapter.
(d) Applicant Criteria. 
(1) An applicant to be certified as a Basic Instructor shall:
(A) Be licensed by the bureau as an Advanced Emission Specialist Technician.
(B) Possess current certification from the National Institute for Automotive Service Excellence in the certification categories of Electrical/Electronic Systems (A6), Engine Performance (A8), and Advanced Engine Performance Specialist (L1).
(C) Meet at least one of the following criteria:
1. Possess a current credential recognized by the State Department of Education in the field of automotive technology; or
2. Meet the current California Community College eligibility requirements for a credential in the field of automotive technology; or
3. Possess an automotive-related degree, or credential, or other qualifying experience, which the bureau determines, upon the petition of the applicant, to be substantially equivalent to a California Community College's instructor's qualifications or credential or a credential recognized by the State Department of Education, in the field of automotive technology (more specifically described on bureau form TS-2 dated 10-99, “An Application To Become a Bureau Certified Basic Instructor,” herein incorporated by reference).
(D) Have functional access to a bureau-designated web site and have an electronic mail address where the instructor can receive electronic information from, and send electronic information to the bureau.
(2) An applicant to be certified as an Advanced Instructor shall:
(A) Be currently certified as an Basic Instructor.
(B) Complete an Advanced Instructor training course prescribed by the bureau. Advanced Instructor training need not exceed 40 hours.
1. An individual submitting an application for initial certification as an instructor or renewal of certification as a instructor, may have the certification endorsed to instruct a gaseous fuels course by requesting the endorsement on the application and providing proof of qualification pursuant to subsection (e) of this section.
2. An individual may have an existing certification endorsed to instruct a gaseous fuels course by submitting a letter to the bureau requesting the endorsement be added to his/her existing certification and providing proof of qualification pursuant to subsection (e) of this section.
(e) Optional Endorsement for Gaseous Fuels. An optional endorsement to instruct a gaseous fuel course is available for a certified instructor with an Advanced Emission Specialist Technician license endorsed to test and repair vehicles powered by gaseous fuels, either solely or in combination with gasoline.
(f) Instructor certification by the bureau shall not exceed one-year. Instructors shall renew their certification electronically using a form TS-4 (10-99) “Bureau Certified Instructor Renewal Application” located at a bureau-designated web site.
(g) Certified Basic or Advanced instructors may be required to complete training on new automotive technology, as prescribed by the bureau, in order to instruct training courses. Failure to successfully complete bureau prescribed training may result in grounds for decertification or denial of certification, pursuant to section 3340.33.1 of this Article.
(h) Certification Renewal. To renew certification as a Basic or Advanced instructor, an individual shall be subject again to the requirements of subsections (b), (c), and (d) of this section.
NOTE

Authority cited: Section 44002, Health and Safety Code. Reference: Sections 44030.5, 44031.5(b), 44045.6 and 44050, Health and Safety Code.
HISTORY

1. New section filed 6-21-89; operative 6-21-89 pursuant to Government Code Section 11346.2(d) (Register 89, No. 25).
2. Amendment of section heading, section and Note filed 6-23-95 as an emergency; operative 6-23-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-21-95 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-23-95 order transmitted to OAL 10-20-95 and filed 12-6-95 (Register 95, No. 49).
4. Amendment of subsection (b), repealer of subsections (d)-(d)(3) and subsection relettering, and amendment of newly designated subsections (d), (e)(1), (e)(2), (g) and (h) filed 7-26-96 as an emergency; operative 7-26-96 (Register 96, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-25-96 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction of subsection (g) (Register 97, No. 2).
6. Certificate of Compliance as to 7-26-96 order, including amendment of subsection (d)(3)(B)-(C), transmitted to OAL 11-19-96 and filed 1-6-97 (Register 97, No. 2).
7. Amendment of section heading and section filed 2-1-2001; operative 2-1-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 5). 
§3340.33.1. Standards for the Decertification and Recertification of Instructors Providing Retraining to Licensed Technicians or Prerequisite Training to Those Seeking to Become Licensed Technicians.
Note     •     History

(a) An application for certification may be denied or an instructor may be decertified for the following reasons:
(1) Failure to comply with the provisions of Section 3340.33 of this article; or
(2) Misrepresentation of a material fact in obtaining certification as an instructor; or
(3) Failure to instruct students in a competent manner in accordance with the specifications of the bureau--prescribed course; or
(4) Suspension or revocation of any bureau--issued license, registration, or qualification certificate held by the instructor if the grounds for suspension or revocation are substantially related to the qualifications of the instructor to teach bureau--prescribed courses of instruction; or
(5) Conviction of a crime or conduct which would be cause for denial of a license pursuant to Section 480 of the Business and Professions Code, or for suspension or revocation of a license pursuant to Section 490 of the Business and Professions Code.
(b) Instructors may be recertified as follows:
(1) Upon completion of an application for recertification; and
(2) Upon determination by the bureau that the instructor is again qualified to instruct students. In considering whether to make such determination, the bureau will evaluate the rehabilitation of the applicant based upon the criteria set forth in Section 3395 of this Chapter.
(c) Any decertification proceeding under this section shall be conducted in accordance with Chapter 5 (commencing with Section 11500) of Division 3, Title 2 of the Government Code.
NOTE

Authority cited: Section 44002, Health and Safety Code. Reference: Sections 44030.5, 44045.6 and 44050, Health and Safety Code; Sections 480 and 490, Business and Professions Code; and Section 11500, et. seq., Government Code.
HISTORY

1. New section filed 6-21-89; operative 6-21-89 (Register 89, No. 25).
2. Amendment of section heading and Note filed 6-23-95 as an emergency; operative 6-23-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-21-95 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-23-95 order transmitted to OAL 10-20-95 and filed 12-6-95 (Register 95, No. 49).
§3340.34. Qualification Levels of Mechanics. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 44002 and 44014(c), Health and Safety Code. Reference: Section 44014(c), Health and Safety Code.
HISTORY

1. New section field 4-16-90; operative 4-16-90 (Register 90, No. 19).
2. Repealer filed 6-23-95 as an emergency; operative 6-23-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-21-95 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-23-95 order transmitted to OAL 10-20-95 and filed 12-6-95 (Register 95, No. 49).
§3340.35. A Certificate of Compliance, Noncompliance, Repair Cost Waiver or an Economic Hardship Extension.
Note     •     History

(a) A licensed station shall purchase certificates of compliance and noncompliance from the bureau or an authorized agent of the bureau only, and under the following terms and conditions:
(1) A certificate of compliance or noncompliance shall be purchased by a licensed station for a fee determined pursuant to section 3340.35.1 of these regulations; and
(2) Full payment is required at the time the certificates are ordered.
(b) A licensed station shall not sell or otherwise transfer unused certificates to another licensed station, to a new owner of the business, or to any person other than a customer whose vehicle has been inspected in accordance with the procedures specified in section 3340.42 of this article.
(c) A licensed station shall issue a certificate of compliance or noncompliance to the owner or operator of any vehicle that has been inspected in accordance with the procedures specified in section 3340.42 of this article and has all the required emission control equipment and devices installed and functioning correctly. The following conditions shall apply:
(1) Customers shall be charged the same price for certificates as that paid by the licensed station; and
(2) Sales tax shall not be assessed on the price of certificates.
(d) No person shall sell, issue, cause or permit to be issued any certificate purported to be a valid certificate of compliance or noncompliance unless duly licensed to do so.
(e) A repair cost waiver or an economic hardship extension shall be the same fee as a certificate of compliance or noncompliance.
NOTE

Authority cited: Sections 44002 and 44060, Health and Safety Code. Reference: Sections 44010, 44011, 44014, 44015 and 44060, Health and Safety Code; and Sections 4000.2 and 4000.3, Vehicle Code.
HISTORY

1. Amendment of subsection (a) filed 3-28-86; designated effective 5-1-86 (Register 86, No. 13).
2. Amendment of subsections (a) and (b) filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
3. Amendment of subsection (a)(1) filed 1-25-89; operative 3-1-89 (Register 89, No. 7).
4. Amendment filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
5. Editorial correction of printing error in subsection (b) (Register 91, No. 6).
6. Amendment of subsection (a)(1) filed 12-18-91; operative 2-1-92 (Register 92, No. 10).
7. Amendment of subsection (a)(1) filed 5-8-95 as an emergency; operative 5-8-95 (Register 95, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-5-95 or emergency language will be repealed by operation of law on the following day.
8. Repealer of subsection (d), subsection relettering, amendment of newly designated subsection (d), and amendment of  Note  filed 6-23-95 as an emergency; operative 6-23-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-21-95 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 5-8-95 order transmitted to OAL 8-31-95 and filed 9-25-95 (Register 95, No. 39).
10. Certificate of Compliance as to 6-23-95 order transmitted to OAL 10-20-95 and filed 12-6-95 (Register 95, No. 49).
11. Amendment of subsection (a)(1) and Note filed 2-11-97 as an emergency; operative 2-11-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-11-97 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 2-11-97 order transmitted to OAL 5-30-97 and filed 7-8-97 (Register 97, No. 28).
13. Amendment of subsection (a)(1) filed 2-26-98 as an emergency; operative 2-26-98 (Register 98, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-26-98 or emergency language will be repealed by operation of law on the following day.
14. Amendment of subsection (a)(1) refiled 6-24-98 as an emergency; operative 6-25-98 (Register 98, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-23-98 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 6-24-98 order, including amendment of section heading, section and Note, transmitted to OAL 10-16-98 and filed 12-2-98 (Register 98, No. 49).
§3340.35.1. A Certificate of Compliance, Noncompliance, Repair Cost Waiver or an Economic Hardship Extension Fee Calculation.
Note     •     History

The certificate of compliance, noncompliance, repair cost waiver or an economic hardship extension fee effective June 1998 through June 1999 is $8.25; thereafter, for the purpose of establishing a fee for a certificate of compliance, noncompliance, repair cost waiver or an economic hardship extension, the bureau shall annually adjust the fee to reflect changes in the California Consumer Price Index for All Urban Consumers (CCPI), as published by the California Department of Industrial Relations, based on the regional data from the United States Department of Labor, Bureau of Labor Statistics. Each annual fee adjustment shall be made based on the change in the CCPI ending in June of the current year preceding the base year adjustment. The calculation of the fee increase shall be: CCPI for Current Period less CCPI for base year equals Index Point Change; Divided by the CCPI for base year equals Percent Change; Baseline fee of $7.00 multiplied by Percent Change equal sum; Baseline fee plus sum equals new fee per certificate.
NOTE

Authority cited: Sections 44002 and 44060, Health and Safety Code. Reference: Sections 44010, 44011 and 44060, Health and Safety Code.
HISTORY

1. New section filed 12-2-98; operative 12-2-98 (Register 98, No. 49).
2. Editorial correction (Register 2002, No. 23).
§3340.36. Clearing Enforcement Forms.
Note     •     History

When a customer requests certification of a motor vehicle for correction of a violation noted on an enforcement form, the smog check station shall certify that the correction has been made. In conjunction with such certification, the licensed technician shall also issue a certificate of compliance or noncompliance, provided the vehicle passes the inspection/test procedure and all emission control systems are in compliance or meet bureau requirements.
NOTE

Authority cited: Sections 44002, Health and Safety Code; and Section 9882, Business and Professions Code. Reference: Section 44045.5, Health and Safety Code; and Sections 27157, 27157.5, 27158 and 40616, Vehicle Code.
HISTORY

1. Amendment filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
2. Amendment filed 6-23-95 as an emergency; operative 6-23-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-21-95 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-23-95 order transmitted to OAL 10-20-95 and filed 12-6-95 (Register 95, No. 49).
4. Amendment of section filed 7-26-96 as an emergency; operative 7-26-96 (Register 96, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-25-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 7-26-96 order transmitted to OAL 11-19-96 and filed 1-6-97 (Register 97, No. 2).
§3340.36.1. Fee for Exhaust System Certificate of Compliance.
Note     •     History

The fee for an exhaust system certificate of compliance issued pursuant to Section 27150.2 of the Vehicle Code shall be one hundred eight dollars ($108).
NOTE

Authority cited: Section 9882, Business and Professions Code; and Section 27150.2, Vehicle Code. Reference: Sections 27150, 27150.2 and 27151, Vehicle Code.
HISTORY

1. New section filed 4-12-2010; operative 5-12-2010 (Register 2010, No. 16).
§3340.37. Installation of Oxides of Nitrogen (NOx) Devices.
Note     •     History

A licensed smog check station, except for a test-only station, may install a retrofit oxides of nitrogen (NOx) exhaust control device on a 1966 through 1970 model year vehicle.
NOTE

Authority cited: Section 44002, Health and Safety Code; and Section 9882, Business and Professions Code. Reference: Sections 2814, 27158, 27158.5 and 40616, Vehicle Code; and Sections 43654, 43655, 43657 and 44045.5, Health and Safety Code.
HISTORY

1. Amendment of subsection (b) filed 7-12-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 28).
2. Amendment of subsection (b) filed 3-28-86; effective thirtieth day thereafter (Register 86, No. 13).
3. Amendment filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
4. Amendment of subsections (d)-(e) and Note filed 6-23-95 as an emergency; operative 6-23-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-21-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-23-95 order transmitted to OAL 10-20-95 and filed 12-6-95 (Register 95, No. 49).
6. Amendment of section heading and repealer of subsection (a) designator and subsections (b)-(e) filed 4-15-96; operative 5-15-96 (Register 96, No. 16).
7. Amendment of section filed 7-26-96 as an emergency; operative 7-26-96 (Register 96, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-25-96 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 7-26-96 order transmitted to OAL 11-19-96 and filed 1-6-97 (Register 97, No. 2).
§3340.38. Vehicle Registration Amnesty Program.
Note     •     History

(a)(1) A specially constructed vehicle participating in the registration amnesty program, pursuant to Section 9565 of the Vehicle Code, shall be inspected by a referee station. 
(2) The inspection shall only consist of the applicable tailpipe emissions test specified in Section 3340.42. The visual and functional tests prescribed in Section 3340.42 (e) and (f) do not apply. 
(3) The referee station shall issue a certificate of compliance if the vehicle meets the tailpipe emissions requirements for the model year assigned by the Department of Motor Vehicles. 
(4) Upon initial application for the registration amnesty program, the referee shall collect a $160 inspection fee. 
(b) All subsequent inspections for these vehicles shall be conducted by a referee station in accordance with this section. 
NOTE

Authority cited: Section 9882, Business and Professions Code. Reference: Sections 4750.1 and 9565, Vehicle Code; and Section 44012, Health and Safety Code.
HISTORY

1. New section filed 1-6-2012; operative 1-6-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 1). 
§3340.41. Inspection, Test, and Repair Requirements.
Note     •     History

(a) A licensed station shall give a copy of the test report printed from the emissions inspection system to the customer. The report shall be attached to the customer's invoice.
(b) No person shall enter into the emissions inspection system any access or qualification number other than as authorized by the bureau, nor in any way tamper with the emissions inspection system.
(c) No person shall enter into the emissions inspection system any vehicle identification information or emission control system identification data for any vehicle other than the one being tested. Nor shall any person knowingly enter into the emissions inspection system any false information about the vehicle being tested.
(d) The specifications and procedures required by Section 44016 of the Health and Safety Code shall be the vehicle manufacturer's recommended procedures for emission problem diagnosis and repair or the emission diagnosis and repair procedures found in industry-standard reference manuals and periodicals published by nationally recognized repair information providers. Smog check stations and smog check technicians shall, at a minimum, follow the applicable specifications and procedures when diagnosing defects or performing repairs for vehicles that fail a smog check test.
(e) Effective through December 31, 2012, a smog check station shall not perform an initial test, except for an official pre-test, on or issue a certificate of compliance to any vehicle that has been directed to a test-only station for its biennial smog check pursuant to Sections 44010.5 or 44014.7 of the Health and Safety Code, unless the station is licensed as a test-only station pursuant to subdivision (b) of Section 44014 of the Health and Safety Code. The reinspection and certification of a test-only directed vehicle that has failed an initial test at a test-only station and has undergone subsequent repairs to correct the cause of the failure, may be performed by a test-only station, or by a test-and-repair station that performs those repairs and that is also certified as a Gold Shield station pursuant to Section 44014.2 of the Health and Safety Code and Article 10 (commencing with section 3392.1) of this chapter.
(f) Effective January 1, 2013, a smog check station may not perform an initial test, except for an official pre-test, on any vehicle or issue a certificate of compliance to any vehicle that has been directed to a STAR station for its biennial smog check pursuant to Sections 44010.5 or 44014.7 of the Health and Safety Code, unless the station is certified as a STAR station pursuant to Sections 44014.2 or 44014.5 of the Health and Safety Code. The reinspection and certification of a directed vehicle that has failed an initial test at a STAR station and has undergone subsequent repairs to correct the cause of the failure shall be performed by a STAR station.
NOTE

Authority cited: Sections 44002, 44016 and 44030, Health and Safety Code; and Section 9882, Business and Profession Code. Reference: Sections 44010.5, 44012, 44014, 44014.2, 44014.7, 44016, 44030, 44036(a) and (b), 44050 and 44051.5, Health and Safety Code.
HISTORY

1. Amendment of section heading filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
2. Amendment filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
3. Editorial correction of printing error correcting section heading (Register 91, No. 6).
4. Amendment of subsection (c) filed  8-18-92; operative 9-17-92 (Register 92, No. 37).
5. New section heading, new subsection (d) and amendment of Note filed 7-26-96 as an emergency; operative 7-26-96 (Register 96, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-25-96 or emergency language will be repealed by operation of law on the following day.
6. Editorial correction of subsection (d) (Register 97, No. 2).
7. Certificate of Compliance as to 7-26-96 order transmitted to OAL 11-19-96 and filed 1-6-97 (Register 97, No. 2).
8. New subsection (e) and new Forms T1-T6 filed 2-1-2001; operative 2-1-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 5). 
9. Amendment of subsections (a)-(c) filed 6-9-2003; operative 7-9-2003 (Register 2003, No. 24).
10. Amendment of section heading, section and Note filed 5-30-2006; operative 6-29-2006 (Register 2006, No. 22).
11. Amendment of subsection (e) and new subsection (f) filed 11-1-2011; operative 11-1-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 44).

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§3340.41.3. Invoice Requirements.
Note     •     History

The invoice for service, adjustments or repairs performed as part of the smog check program shall describe all service work done and parts supplied to reduce emissions, in the manner prescribed by section 9884.8 of the Business and Professions Code.
A general description, such as “low-emissions tune up,” “scope and adjust,” “reduce emissions,” or the like is insufficient to satisfy the requirements of section 9884.8 of the Business and Professions Code.
NOTE

Authority cited: Section 44002, Health and Safety Code; and Section 9882, Business and Professions Code. Reference: Section 44015(b), Health and Safety Code; and Sections 9884.7(1)(a) and 9884.8, Business and Professions Code.
HISTORY

1. New section filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
2. Amendment filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
§3340.41.5. Tampering with Emissions Control Systems.
Note     •     History

A tampered emissions control system is an emissions control system which is missing, modified or disconnected. An emissions control system which has a missing, modified, or disconnected emissions related component is also deemed a tampered emissions control system. For purposes of the visual emission control system inspection pursuant to Health and Safety Code Section 44012(a), the terms missing, modified and disconnected are defined as follows:
(a) Missing. A missing emissions control system or component is one which has been removed from the vehicle or engine.
(b) Modified. An emissions control system is deemed to have been modified if:
(1) the system has been disabled, even though it is present and properly connected to the engine and/or vehicle;
(2) an emissions related component of the system has been replaced by a component not marketed by its manufacturer for street use on the vehicle; or
(3) an emissions related component of the system has been changed such that there is no capacity for connection with or operation of other emissions control components or systems;
(c) Disconnected. A disconnected hose, wire, belt or component is one which is required for the operation of an emissions control system and which has been disconnected.
NOTE

Authority cited: Section 44002, Health and Safety Code; and Section 9882, Business and Professions Code. Reference: Sections 44012(a), 44013(b) and 44017, Health and Safety Code.
HISTORY

1. New section filed 11-7-84; effective thirtieth day thereafter (Register 84, No. 45).
§3340.42. Smog Check Emissions Test Methods and Standards.
Note     •     History

With the exception of diesel-powered vehicles addressed in subsection (f) of this section, the following emissions test methods and standards apply to all vehicles:
(a) A loaded-mode test, except as otherwise specified, shall be the test method used to inspect vehicles registered in the enhanced program areas of the state. The loaded-mode test shall measure hydrocarbon, carbon monoxide, carbon dioxide and oxides of nitrogen emissions, as contained in the bureau's specifications referenced in subsection (b) of Section 3340.17 of this article. The loaded-mode test shall use Acceleration Simulation Mode (ASM) test equipment, including a chassis dynamometer, certified by the bureau. 
On and after March 31, 2010, exhaust emissions from a vehicle subject to this inspection shall be measured and compared to the emissions standards shown in the VLT Row Specific Emissions Standards (Cutpoints) Table, dated March 2010, which is hereby incorporated by reference. If the emissions standards for a specific vehicle is not included in this table then the exhaust emissions shall be compared to the emissions standards set forth in TABLE I or TABLE II, as applicable. A vehicle passes the loaded-mode test if all of its measured emissions are less than or equal to the applicable emission standards specified in the applicable table. 
(b) A two-speed idle mode test, unless a different test is otherwise specified in this article, shall be the test method used to inspect vehicles registered in all program areas of the state, except in those areas of the state where the enhanced program has been implemented. The two-speed idle mode test shall measure hydrocarbon, carbon monoxide and carbon dioxide emissions at high RPM and again at idle RPM, as contained in the bureau's specifications referenced in subsection (b) of Section 3340.17 of this article. Exhaust emissions from a vehicle subject to this inspection shall be measured and compared to the emission standards set forth in this section and as shown in TABLE III. A vehicle passes the two-speed idle mode test if all of its measured emissions are less than or equal to the applicable emissions standards specified in Table III. 
(c)(1) In the enhanced program areas, heavy-duty vehicles shall be tested using the loaded-mode test as provided in subsection (a) of this section, unless:
(A) The vehicle has a drive axle weight that exceeds 5,000 pounds when the vehicle is unloaded, or
(B) The vehicle is classified by the Department of Motor Vehicles as a motorhome, or
(C) The vehicle has a body and/or chassis configuration or modification made for business purposes that renders the vehicle incompatible with loaded-mode testing, or
(D) The emission inspection system prompts the technician to perform the two-speed idle test.
(2) For the purposes of this subsection, the term “unloaded” shall mean that the vehicle is not currently transporting loads for delivery or is not carrying items of a temporary nature, but excludes items that have been welded, bolted or otherwise permanently affixed to the vehicle, and tools, supplies, parts, hardware, equipment or devices of a similar nature that are routinely carried in or on the vehicle in the performance of the work for which the vehicle is primarily used.
(3) For the purposes of this subsection, modifications that render a vehicle incompatible with loaded-mode testing shall not include any tire, wheel, body or chassis modifications made for other than business purposes.
(4) If it is determined that a heavy-duty vehicle cannot be subjected to a loaded-mode test for any of the reasons set forth in subparagraphs (A) through (D) of paragraph (1) of this subsection, the technician shall perform a two-speed idle test. The technician shall also note on the final invoice the justification for the performance of a two-speed idle test.
(d) Pursuant to section 39032.5 of the Health and Safety Code, gross polluter standards are as follows: 
(1) A gross polluter means a vehicle with excess hydrocarbon, carbon monoxide, or oxides of nitrogen emissions pursuant to the gross polluter emissions standards included in the tables described in subsections (a) and (b), as applicable. 
(2) Vehicles with emission levels exceeding the emission standards for gross polluters during an initial inspection will be considered gross polluters and the provisions pertaining to gross polluting vehicles will apply, including, but not limited to, sections 44014.5, 44015, and 44081 of the Health and Safety Code. 
(3) A gross polluting vehicle shall not be passed or issued a certificate of compliance until the vehicle's emissions are reduced to or below the applicable emissions standards for the vehicle included in the tables described in subsections (a) and (b), as applicable. However, the provisions described in section 44017 of the Health and Safety Code may apply. 
(4) This subsection applies in all program areas statewide to vehicles requiring inspection pursuant to sections 44005 and 44011 of the Health and Safety Code
(e) In addition to the test methods prescribed in this section, the following tests shall apply to all vehicles, except diesel-powered vehicles, during the Smog Check inspection:
(1) A visual inspection of the vehicle's emissions control systems. During the visual inspection, the technician shall verify that the following emission control devices, as applicable, are properly installed on the vehicle:
(A) air injection systems,
(B) computer(s) and related sensors and switches,
(C) crankcase emissions controls, including positive crankcase ventilation,
(D) exhaust gas after treatment systems, including catalytic converters,
(E) exhaust gas recirculation (EGR) systems,
(F) fuel evaporative emission controls,
(G) fuel metering systems, including carburetors and fuel injection,
(H) ignition spark controls, and
(I) any emissions control systems that are not otherwise prompted by the Emissions Inspection System, but listed as a requirement by the vehicle manufacturer.
(2) A functional inspection of the vehicle's emission control systems. During the functional inspection, the technician shall conduct, as applicable, the following tests and verifications of the vehicle:
(A) proper operation of the exhaust gas recirculation (EGR) system,
(B) a check of the gasoline filler cap's integrity,
(C) proper setting of ignition timing,
(D) a low pressure check of the fuel evaporative control system,
(E) proper operation of the malfunction indicator light (MIL) or “Check Engine Light,” and
(F) an on-board diagnostics (OBD) system test.
(3) A liquid leak inspection of the vehicle's fuel storage and delivery systems.
(4) An inspection of the vehicle's tailpipe and crankcase for the emissions of smoke.
(f) On or after January 1, 2010, all 1998 model year and newer diesel-powered vehicles, with a gross vehicle weight rating of 14,000 or less pounds, are subject to the Smog Check Program. The following required inspections apply to all diesel-powered vehicles:
(1) A visual inspection of the vehicle's emissions control systems. During the visual inspection, the technician shall verify that the following emission control devices, as applicable, are properly installed on the vehicle:
(A) computer(s) and related sensors and switches,
(B) crankcase emissions controls, 
(C) exhaust gas after treatment systems, including catalytic converters and particulate filters,
(D) exhaust gas recirculation (EGR) systems,
(E) fuel metering systems, including fuel injection, and
(F) any emissions control systems that are not otherwise prompted by the Emissions Inspection System, but listed as a requirement by the vehicle manufacturer.
(2) A functional inspection of the vehicle's emission control systems. During the functional inspection, the technician shall conduct, as applicable, an on-board diagnostics (OBD) system test.
(3) An inspection of the vehicle's tailpipe and crankcase for the emissions of smoke.
NOTE

Authority cited: Sections 44001.5, 44002, 44003, 44012, 44012.1, 44013 and 44036, Health and Safety Code; and Section 9882, Business and Professions Code. Reference: Sections 39032.5, 44002, 44003, 44005, 44010, 44011, 44011.3, 44012, 44012.1, 44013, 44014, 44014.5, 44014.7, 44015, 44017.1, 44032, 44033, 44036, 44037.1, 44062.1 and 44081, Health and Safety Code; and Sections 9884.8 and 9884.9, Business and Professions Code.
HISTORY

1. Editorial correction of printing error (Register 84, No. 32).
2. Amendment filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
3. Amendment of Table II filed 5-11-90; operative 6-10-90 (Register 90, No. 26).
4. Amendment of section and Note, repealer and new Tables I-II, and new Table III filed 6-22-95 as an emergency; operative 6-22-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-22-95 order including amendment of section and Tables I-III transmitted to OAL 10-20-95 and filed 12-1-95 (Register 95, No. 48).
6. Amendment of first paragraph filed 4-29-96 as an emergency; operative 4-29-96 (Register 96, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-27-96 or emergency language will be repealed by operation of law on the following day.
7. Amendment of opening paragraph and subsection (b), repealer of subsection (c)(5) and subsection renumbering and amendment of newly designated subsection (c)(5) filed 7-26-96 as an emergency; operative 7-26-96 (Register 96, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-25-96 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-29-96 order transmitted to OAL 8-21-96 and filed 9-30-96 (Register 96, No. 40).
9. Certificate of Compliance as to 7-26-96 order, including amendment of first paragraph and subsections (a)(1)(C)1.-3. and (b), transmitted to OAL 11-19-96 and filed 1-6-97 (Register 97, No. 2).
10. Amendment of Table III filed 4-4-97 as an emergency; operative 4-4-97 (Register 97, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-4-97 or emergency language will be repealed by operation of law on the following day.
11. Editorial correction of first paragraph (Register 97, No. 33).
12. Certificate of Compliance as to 4-4-97 order transmitted to OAL 7-2-97 and filed 8-13-97 (Register 97, No. 33).
13. Amendment of section heading, section and Note filed 9-10-2001; operative 9-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 37).
14. Amendment of first paragraph filed 2-15-2002 as an emergency; operative 2-15-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-17-2002 or emergency language will be repealed by operation of law on the following day.
15. Repealer and new Table I filed 5-28-2002; operative 6-27-2002 (Register 2002, No. 22).
16. Certificate of Compliance as to 2-15-2002 order transmitted to OAL 6-13-2002 and filed 7-26-2002 (Register 2002, No. 30). 
17. Amendment of section and repealer and new Table II filed 1-21-2003; operative 2-20-2003 (Register 2003, No. 4).
18. Change without regulatory effect amending Table II filed 6-4-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 23).
19. Amendment of first paragraph filed 6-9-2003; operative 7-9-2003 (Register 2003, No. 24).
20. Change without regulatory effect amending first paragraph and subsections (a)(2)-(3), (b)(3), (b)(6)-(7), (d)(1) and (d)(4) filed 10-11-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
21. New subsections (c)-(c)(3), subsection relettering and amendment of Note filed 8-1-2007; operative 8-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 31).
22. Amendment of section heading, section and Note and new Figure 1 filed 1-11-2008; operative 1-11-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 2). 
23. Editorial correction of subsections (a) and (f) (Register 2008, No. 44).
24. Amendment filed 11-5-2009; operative 12-5-2009 (Register 2009, No. 45).
25. Amendment of section heading, section and Note filed 12-16-2009; operative 12-16-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
26. Change without regulatory effect amending subsection (a) filed 7-9-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 28).

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Figure 1. Visible Smoke Test Failure Consumer Information Sheet

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§3340.42.1. Mandatory Exhaust Emissions Inspection Standards and Test Procedures for Heavy-Duty Vehicles Powered by Gasoline. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 44002, 44011 and 44013, Health and Safety Code. Reference: Sections 39032.5, 44010.5, 44011, 44012, 44013 and 44036, Health and Safety Code.
HISTORY

1. New section filed 8-21-89; operative 1-1-90 (Register 89, No. 34).
2. Amendment of Table III filed 5-11-90; operative 6-10-90 (Register 90, No. 26).
3. Amendment of section and Note and repealer of Table III filed 6-22-95 as an emergency; operative 6-22-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-22-95 order including amendment of section transmitted to OAL 10-20-95 and filed 12-1-95 (Register 95, No. 48).
5. Repealer filed 1-21-2003; operative 2-20-2003 (Register 2003, No. 4).
§3340.42.2. Pass/Fail Criteria for On-Board Diagnostic System Readiness Monitors.
Note     •     History

(a) Smog Check stations and Smog Check technicians shall conduct tests and inspections in accordance with the Bureau's BAR-97 Emissions Inspection System Specifications referenced in subsections (a) and (b) of Section 3340.17. All applicable 1996 and newer model-year spark ignition passenger vehicles and trucks under 14,001 Gross Vehicle Weight Rating (GVWR) shall be given a test of the On-Board Diagnostic (OBDII) systems. The OBDII test consists of a visual check of the Malfunction Indicator Light (MIL) and a functional test of the readiness indicators and fault code retrieval system. 
(b) On and after January 1, 2010, model-year 1996 through 2000 vehicles having more than two (2) incomplete emissions related readiness monitors, and vehicle model-years 2001 and newer having more than one (1) incomplete emissions related readiness monitor shall fail the OBDII portion of the inspection. Until this subsection is implemented, all vehicle model-years 1996 and newer having more than two (2) incomplete emissions related readiness monitors shall fail the OBDII portion of the inspection.
(c) For the purposes of this section: 
(1) On-Board Diagnostics (OBDII) means a system of vehicle component and condition monitors controlled by an on-board computer designed to alert the motorist when emission control components or vehicle emission systems are not functioning properly. 
(2) A readiness monitor indicates whether or not a specific emission control device or vehicle emission system has run a self-diagnostic test to determine whether or not the device or system is functioning properly. 
NOTE

Authority cited: Sections 44001.5, 44002, 44003, 44013 and 44036, Health and Safety Code; and Section 9882, Business and Professions Code. Reference: Sections 39032.5, 44002, 44003, 44005, 44010, 44011, 44013, 44014, 44015, 44032, 44033, 44036, 44037.1 and 44062.1, Health and Safety Code; and Sections 9884.8 and 9884.9, Business and Professions Code.
HISTORY

1. New section filed 11-5-2009; operative 12-5-2009 (Register 2009, No. 45).
§3340.43. Smoke Test Failure; Repair Cost Limit.
Note     •     History

Pursuant to subdivision (e) of section 44017 of the Health and Safety Code, the owner of a motor vehicle that has failed the visible smoke test required by subsection (f) of Section 3340.42 and section 44012.1 of the Health and Safety Code, shall only be eligible for the repair cost waiver specified in subdivision (a) of section 44017 if all of the following conditions are met: 
(a) The motor vehicle owner has a household income greater than the limit specified in paragraph (2) of subsection (a) of Section 3394.4, but less than or equal to two hundred fifty percent (250%) of the federal Poverty Guidelines, as published by the United States Department of Health and Human Services. 
(b) The motor vehicle owner's household income has been verified in accordance with paragraph (2) of subsection (b) of Section 3394.6. 
(c) The motor vehicle owner is not receiving any form of public assistance from any agency. 
(d) The motor vehicle's required emissions control equipment is not missing and has not been rendered partially inoperative or inoperative as a result of tampering. 
NOTE

Authority cited: Sections 44002 and 44017, Health and Safety Code; and Section 9882, Business and Professions Code. Reference: Sections 44017 and 44062.1, Health and Safety Code. 
HISTORY

1. New section filed 1-11-2008; operative 1-11-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 2). 
§3340.45. Smog Check Inspection Procedures Manual.
Note     •     History

All vehicle emission tests, visual inspections of the emissions control systems, functional inspections of the emissions control systems, liquid fuel leak inspections, and visible smoke tests shall be conducted at licensed smog check stations by licensed smog check technicians. The inspections shall be performed in accordance with the Emissions Inspection System test prompts and the inspection requirements and procedures prescribed in the Bureau's Smog Check Inspection Procedures Manual, dated August 2009, which is hereby incorported by reference.
NOTE

Authority cited: Section 44002, Health and Safety Code; and Section 9882, Business and Professions Code. Reference: Sections 44002, 44003, 44005, 44010, 44011, 44011.3, 44012, 44012.1, 44013, 44014, 44014.5, 44014.7, 44015 and 44032, Health and Safety Code.
HISTORY

1. New section filed 12-16-2009; operative 12-16-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history of section 3340.45, see Register 90, No. 19.
§3340.50. Fleet Facility Requirements.
Note     •     History

The owner of a fleet of vehicles shall meet the following requirements for licensure as a fleet facility smog check station, if they choose to be so licensed, and shall comply with these requirements at all times while licensed.
(a) Number of Fleet Vehicles. The fleet facility shall own and operate a fleet of 10 or more vehicles which are subject to the program and are exclusively for the use of fleet employees, for sale, or for rental or lease to members of the public in the regular course of business.
(b) Equipment. The fleet facility shall have the equipment required by a smog check station, as set forth in sections 3340.16.5 and 3340.17 of this chapter. Equipment shall be maintained and calibrated in accordance with section 3340.17 of this chapter.
(c) Licensed Inspector and/or Repair Technician. A licensed inspector and/or repair technician shall be present at the facility when necessary to test, inspect, or repair a vehicle. Testing and/or repairing of vehicles pursuant to the Smog Check Program shall be performed by a licensed inspector and/or repair technician, consistent with their license classification.
(d) Work Area. The work area shall meet all the requirements specified in section 3340.15(a) of this article.
(e) Vehicles Serviced. A licensed fleet facility shall test, repair, and certify only vehicles owned by it. The repair cost limit shall not apply to the repair of fleet vehicles.
(f) Onsite Inspection. The responsible managing employee of the fleet facility shall provide the bureau with whatever access, information, and other cooperation is necessary to facilitate onsite inspection of the fleet's vehicles or inspection system. At the bureau's request, the licensed inspector and/or repair technician shall be present during regular business hours (8 a.m. to 5 p.m.) at a time agreed upon by the licensed inspector and/or repair technician and a bureau representative.
(g) Display of Licenses. The station license and inspector and/or repair technician licenses shall be posted prominently in an area accessible to the bureau or its representative.
(h) Manuals and Bulletins. Bureau manuals and bulletins pertaining to fleet facilities shall be maintained in a location readily accessible to licensed inspector and/or repair technicians.
NOTE

Authority cited: Section 44002, Health and Safety Code. Reference: Sections 44020 and 44045.5, Health and Safety Code.
HISTORY

1. Amendment of subsection (e) filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
2. Amendment filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
3. Editorial correction of printing error in subsection (e) (Register 91, No. 6).
4. Amendment filed 6-23-95 as an emergency; operative 6-23-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-21-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-23-95 order transmitted to OAL 10-20-95 and filed 12-6-95 (Register 95, No. 49).
6. Amendment of subsections (b) and (c) filed 7-26-96 as an emergency; operative 7-26-96 (Register 96, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-25-96 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 7-26-96 order, including amendment of first paragraph, transmitted to OAL 11-19-96 and filed 1-6-97 (Register 97, No. 2).
8. Amendment of subsection (b) filed 2-15-2002 as an emergency; operative 2-15-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-17-2002 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-15-2002 order transmitted to OAL 6-13-2002 and filed 7-26-2002 (Register 2002, No. 30). 
10. Amendment of subsection (c), repealer of subsection (d), subsection relettering and amendment of newly designated subsections (f)-(h) filed 2-1-2012; operative 2-1-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 5).
§3340.50.1. Application for Fleet Facility License; Renewal; Replacement.
Note

(a) Initial License. To become licensed as a fleet facility, a fleet owner shall submit an application on a form prescribed by the bureau. The fleet facility license shall expire one year from the last day of the month in which the license was issued. A fleet facility license is not transferable.
(b) Renewal. A fleet facility licensee shall submit a timely and proper renewal application to the bureau. A licensee whose license has expired shall immediately cease to inspect or test vehicles or issue certificates.
(c) Duplicate Licenses. Application for a duplicate license shall be made to the bureau in accordance with Section 3340.10(e) of this article.
(d) Replacement License. Replacement of licenses shall be handled in accordance with Section 3340.10(e) of this article, except that no fee is required.
NOTE

Authority cited: Section 44020 of the Health and Safety Code. Reference 44020, Health and Safety Code.
§3340.50.3. Fleet Records and Reporting Requirements.
Note     •     History

(a) All data relating to licensed test and repair activities shall be recorded on forms supplied by the bureau.
(b) The licensed fleet facility shall maintain certificate books prescribed by the bureau. All required information shall be recorded on the certificate by the licensed technician on the day the final test on a vehicle was performed. Each certificate shall be signed and dated by the licensed technician on the day of the final test on a vehicle. For permanently registered fleets, an alternate procedure for certifying vehicles may be allowed by the bureau.
(c) The records required to be maintained by subsections (a) and (b) shall be retained for a period of not less than three years after the completion of ay test or repair to which the records refer.
NOTE

Authority cited: Section 44002 and 44020(a) and (b) of the Health and Safety Code. Reference: Sections 44020 and 44045.5, Health and Safety Code.
HISTORY

1. Amendment of subsection (b) and Note filed 6-23-95 as an emergency; operative 6-23-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-21-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-23-95 order transmitted to OAL 10-20-95 and filed 12-6-95 (Register 95, No. 49).
§3340.50.4. Fleet Certificates.
Note     •     History

(a) A licensed fleet facility shall order and purchase a certificate of compliance, or noncompliance from the bureau or an authorized agent of the bureau only, for a fee determined pursuant to section 3340.35.1 of these regulations. A certificate of compliance or noncompliance is not transferable.
(b) A certificate of compliance shall be issued only for a vehicle that complies with the emission control system requirements and meets the exhaust emission standards established by the bureau.
NOTE

Authority cited: Sections 44002, 44020 and 44060, Health and Safety Code. Reference: Sections 44010, 44020(c) and 44060, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
2. Amendment of subsection (a) filed 1-25-89; operative 3-1-89 (Register 89, No. 7).
3. Amendment of subsection (a) filed 12-18-91; operative 2-1-92 (Register 92, No. 10).
4. Amendment of subsection (a) filed 5-8-95 as an emergency; operative 5-8-95 (Register 95, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-5-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 5-8-95 order transmitted to OAL 8-31-95 and filed 9-25-95 (Register 95, No. 39).
6. Amendment of subsection (a) filed 2-11-97 as an emergency; operative 2-11-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-11-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 2-11-97 order transmitted to OAL 5-30-97 and filed 7-8-97 (Register 97, No. 28).
8. Amendment of subsection (a) filed 2-26-98 as an emergency; operative 2-26-98 (Register 98, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-26-98 or emergency language will be repealed by operation of law on the following day.
9. Amendment of subsection (a) refiled 6-24-98 as an emergency; operative 6-25-98 (Register 98, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-23-98 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 6-24-98 order, including repealer and new subsection (a) and repealer of subsection (c), transmitted to OAL 10-16-98 and filed 12-2-98 (Register 98, No. 49).
§3340.50.5. Suspension or Rescission of Fleet Facility License.
Note     •     History

(a) A fleet facility licensee shall immediately cease to test, repair, or certify vehicles whenever the facility fails to meet any of the requirements of Section 3340.50. The fleet licensee shall not resume fleet emission testing, repairing, or certification until authorized by the bureau or if suspended, until the suspension expires. The fleet facility may not resume fleet emission testing, repairing or certification until authorized by the bureau.
(b) A fleet facility license may be suspended or rescinded in accordance with Section 44020 of Chapter 5, Part 5, Division 26 of the California Health and Safety Code for any of the following acts if done by the licensee or by any licensed technician, partner, officer, or member of the licensed fleet facility.
(1) Inspecting or testing vehicles while in violation of subsection (a) of this section.
(2) Violation of any provision of this article.
(3) Violation of any provision of Chapter 5, Part 5, Division 26, of the California Health and Safety Code.
NOTE

Authority cited: Section 44020, Health and Safety Code. Reference: Sections 44020 and 44045.5, Health and Safety Code.
HISTORY

1. Amendment of subsection (b) and Note filed 6-23-95 as an emergency; operative 6-23-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-21-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-23-95 order transmitted to OAL 10-20-95 and filed 12-6-95 (Register 95, No. 49).
Article 6. Registration and Requirements for Automotive Repair Dealers
§3350. Scope. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code.
HISTORY

1. New Article 6 (§§ 3350 through 3355) filed 12-29-72; effective thirtieth day thereafter (Register 72, No. 53).
2. Redesignation of Article 6 (Sections 3350-3357) to Article 6 (Sections 3351-3351.4) and repealer of Section 3350 filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3351. Registration of Automotive Repair Dealers.
Note     •     History

An application for registration as an automotive repair dealer shall be filed on an application form prescribed and provided by the Bureau. The application shall be accompanied by the registration fee and such evidence, statements or documents as therein required. No separate registration shall be required for the mobile emergency road service or towing equipment of a registered automotive repair dealer.
NOTE

Authority cited: Section 9882, Business and Professions Code. Reference: Sections 9884, 9884.1 and 9884.2, Business and Professions Code.
HISTORY

1. Editorial correction (Register 75, No. 4).
2. Amendment filed 7-25-75; effective thirtieth day thereafter (Register 75, No. 30).
3. New NOTE filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3351.1. Fees.
Note     •     History

Registration fees are established as follows:
(a) Initial Registration. The initial automotive repair dealer registration fee shall be $200.
(b) Renewal Registration. The renewal fee shall be $200, provided that registration is renewed on or before the date of expiration. If not renewed on or before the date of expiration, the renewal fee shall be $250 which includes a $50 delinquency fee.
(c) Change of Ownership. A new registration shall be required of the new owner in the event of a change of ownership, as defined in Section 3306(c)(1) of these regulations, and an application for registration accompanied by the initial registration fee in the amount of $200 shall be submitted to the bureau for such registration.
(d) Change of Business Name, Address, and/or Corporate Officers or Directors. In the event of a change in the business name (not involving any change in ownership), corporate officers or directors, and/or business or mailing address the licensee or registrant shall submit to the bureau a Change of Name/Address/Corporate Officers or Directors, form R-8 (Rev. 05/25/01), which is hereby incorporated by reference within 14 calendar days or the license and/or registration shall cease to be valid. A replacement certificate will be issued for the balance of the unexpired term of the registration without charge. Any change in the members of a Limited Liability Company (LLC) requires a new application and fees, unless the LLC articles of incorporation expressly indicate that a change of members does not constitute a change of business.
(e) Lost, Mutilated or Destroyed Registration Certificate. A dealer shall give prompt written notice to the bureau in the event a registration certificate issued to the dealer becomes lost, mutilated, or destroyed. The dealer shall make a written request to the bureau, accompanied by a certification fee of $2, for the issuance of a certified duplicate registration certificate for the unexpired term of the registration. Any mutilated registration certificate, and any lost registration certificate subsequently found, shall be surrendered to the bureau.
NOTE

Authority cited: Sections 9882, 9884.19 and 9886.3, Business and Professions Code. Reference: Sections 163 and 9886.3, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 3390 to section 3351.1 filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
2. Amendment of subsections (a)-(c) filed 3-11-92; operative 7-1-92 (Register 92, No. 12).
3. Amendment of subsection (d) filed 2-1-2012; operative 2-1-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 5).
§3351.2. Renewal of Automotive Repair Dealer Registration.
Note     •     History

A new registration, issued on initial application, shall expire one year from the last day of the month in which the registration was issued.
NOTE

Authority cited: Section 9882, Business and Professions Code. Reference: Sections 152.5, 152.6 and 9884.3, Business and Professions Code.
HISTORY

1. Renumbering of former Section 3391 to Section 3351.2 filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
2. Change without regulatory effect repealing subsection (a) and subsection (b) designator filed 10-2-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 40).
§3351.3. Display.
Note     •     History

(a) Except as provided in subsection (b), all automotive repair dealers shall display the following in a place and manner conspicuous to their customers:
(1) A current and valid certificate of registration as an automotive repair dealer issued by the bureau; and
(2) An official automotive repair dealer's sign, which meets the specifications of the Act and Section 3351.4 of this article. In the event there are multiple facilities, an official automotive repair dealer's sign shall be displayed in a place and manner conspicuous to all customers at each location.
(b) When conducting business from other than the principal business address shown in an automotive repair dealer's registration, the dealer shall provide to every customer, with the customer's copy of the work order as provided in paragraph (3) of subdivision (a) of Section 9884.7 of the Business and Professions Code, a copy of an official automotive repair dealer's sign that meets the following specifications:
(1) A copy of the sign shall be reproduced on a white sheet of paper, or similar material, no less than eight and one half inches by eleven inches (81/2" x 11") in size.
(2) The sign shall be proportionately reduced in size to fill the page in portrait format with no more than one inch (1") margins outside the right, left and bottom inset border lines.
(3) The current business name, address of record, business telephone number and registration number of the automotive repair dealer, as shown by the bureau's records, shall be printed above the top inset border line of the sign in print no smaller than the smallest print of the reduced sign.
(4) No other information, printing, decoration, border or design shall be placed on the page.
(c) For the purpose of subsection (b), the term “provide” shall mean to give for retention.
NOTE

Authority cited: Section 9882, Business and Professions Code. Reference: Sections 9880.3, 9884.6 and 9884.17, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 3385 to Section 3351.3 filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
2. Amendment of section and Note filed 3-9-2006; operative 4-8-2006 (Register 2006, No. 10).
§3351.4. Specifications for Automotive Repair Dealer's Sign.
Note     •     History

(a) Official automotive repair dealer signs shall meet the following specifications:
(1) Until June 30, 2006, signs shall be worded exactly as shown in either Figure 1 or Figure 3. On and after June 30, 2006, signs shall be worded exactly as shown in Figure 3, except that an automotive repair dealer possessing a valid a registration on June 30, 2006, may comply with Section 3351.3 and this section by displaying a supplementary sign, containing the bureau's Web site address. The supplementary sign shall be worded exactly as shown in Figure 5, and shall be displayed immediately below any sign that was displayed by the automotive repair dealer in compliance with Section 3351.3 and this section on and before June 30, 2006.
(2) Signs as shown in Figure 1 shall have the dimensions shown in Figure 2, signs as shown in Figure 3 shall have the dimensions shown in Figure 4, and signs as shown in Figure 5 shall have the dimensions shown in that figure.
(3) 24-gauge steel or aluminum or synthetic material of equivalent rigidity may be used. Synthetic material may be acceptable provided it meets all of the requirements herein, including durability.
(4) The background shall be semi-gloss white. All print, border stripe and divider stripes, including the State Seal shall be gloss black in color.
(5) Paint shall be a premium grade exterior acrylic enamel or equivalent. The silk screen/bake-on process or an acceptable equivalent may be used.
(6) All bare metal shall be etched and coated with white primer or equivalent to insure proper paint adhesion and corrosion protection.
(7) Largest lettering shall be 72 pt. Futura Demi “condensed”; medium lettering shall be 48 pt. Futura Bold; and smallest lettering shall be 36 pt. Futura Bold for the signs shown in Figures 1 and 3. The lettering of the supplementary sign shown in Figure 5 shall be 48 pt. Futura Bold for the message and 72 pt. Future Demi “condensed” for the Web site address.
(8) A three and one-half inch diameter State Seal is required for the signs shown in Figures 1 and 3.
(9) The use of embossed letters or a clear protective finish coat is permitted, but not required.
(10) There shall be a one-quarter inch mounting hole in each corner.
(b) The bureau may require replacement of any sign that fails to meet the outlined specifications or that is no longer legible.
NOTE

Authority cited: Section 9882, Business and Professions Code. Reference: Sections 9880.3 and 9884.17, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 3386 to Section 3351.4 filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
2. Amendment of section and Note and new Figures 3-5 filed 3-9-2006; operative 4-8-2006 (Register 2006, No. 10).
3. Editorial correction of Figure 3 (Register 2006, No. 19).

View Graphic

Figure 1

View Graphic

Figure 2

View Graphic

Figure 3.

View Graphic

Figure 4.

View Graphic

Figure 5.
§3351.5. Equipment Requirements for Auto Body Repair Shops.
Note     •     History

(a) An auto body repair shop that performs automotive painting shall have all equipment and current reference manuals necessary to paint and repair non-structural damage, including but not limited to:
(1) corrosion protection application equipment, and
(2) equipment capable of applying exterior corrosion resistant primers, anticorrosion compounds and topcoats.
(b) An auto body repair shop that is performing structural repairs shall have all repair, measuring, and testing equipment and current reference manuals necessary to diagnose, section, replace or repair structural damage, including but not limited to:
(1) A three dimensional measuring system that can locate points with the dimensions of length, width, and height, relative to three defined reference planes.
(2) A four-point anchoring system capable of holding a vehicle in a stationary position during structural and body pulls which is suitable for the types of vehicles being repaired.
(3) Equipment capable of making multiple body and structural pulls.
(4) A Metal Inert Gas (MIG) welder with an output of at least 110 amps for unibody repairs and an output of 200 amps for conventional frame repairs or capable of meeting trade standards for the work being performed.
(5) Corrosion protection equipment for treating enclosed areas on unibodies and frame assemblies including pressurized spray equipment, flexible and rigid wands capable of reaching full length inside enclosed areas, spray heads capable of 360 degree spray application and spray heads capable of a fan-shaped pattern.
NOTE

Authority cited: Section 9882, Business and Professions Code. Reference: Sections 9889.50 and 9889.52, Business and Professions Code.
HISTORY

1. New section filed 10-20-97; operative 11-19-97 (Register 97, No. 43).
§3351.6. Equipment Requirements for Automotive Air Conditioning Repair Dealers.
Note     •     History

All Automotive Repair Dealers engaged in the service or repair of automotive air conditioning systems in vehicles covered by the Act shall be subject to the following minimum requirements. An automotive repair dealer that is performing service or repair to a motor vehicle's air conditioning system, which involves evacuation or full or partial recharge of the air conditioning system, shall have all repair, measuring, testing and refrigerant recovery equipment and current reference manuals necessary to service or repair the system, including but not limited to:
(a) Refrigerant identification equipment that meets or exceeds current Society of Automotive Engineers (S.A.E.) standard J1771 (Rev. Nov. 1998) which is hereby incorporated by reference.
(b) Refrigerant leak detection equipment that meets or exceeds current Society of Automotive Engineers (S.A.E.) standard J1627 (Rev. Aug 1995) which is hereby incorporated by reference.
(c) Refrigerant recovery equipment that meets or exceeds current Society of Automotive Engineers (S.A.E.) standards J1732 (Rev. Nov. 1998), J1770 (Issued Oct. 1995), J1990 (Rev. Feb. 1999), J2209 (Rev. Feb. 1999) and J2210 (Rev. Feb. 1999) which are hereby incorporated by reference.
(d) Low and high pressure gauges for the purpose of measuring pressure in a mobile air conditioning system. As a minimum, the low pressure gauge shall be capable of measuring from zero to thirty inches of vacuum Hg, and zero to 250 pounds of pressure per square inch (psi). As a minimum, the high pressure gauge shall be capable of measuring from zero to 500 pounds of pressure per square inch (psi).
(e) A functioning vacuum pump that is designed for the evacuation of mobile air conditioning systems.
(f) A thermometer capable of testing air conditioning system efficiency. As a minimum, the thermometer shall be capable of measuring air temperatures from 20 to 100 degrees Fahrenheit.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 9884.7(a)(7), 9884.8 and 9884.9, Business and Professions Code.
HISTORY

1. New section filed 12-20-2000; operative 1-19-2001 (Register 2000, No. 51).
2. Editorial correction of subsection (c) (Register 2001, No. 17).
3. Amendment of subsections (c) and (e) filed 6-12-2003; operative 7-12-2003 (Register 2003, No. 24).
Article 7. Disclosure Requirements for Automotive Repair Dealers
§3352. Definitions.
Note     •     History

In this article, unless the context otherwise requires:
(a) “Written estimate” means a document that contains a written estimated price for labor and parts for a specific job.
(b) “Work order” means a document that contains the estimate and memorializes the customer's authorization for a specific job.
(c) “Invoice” means a document given to the customer that meets the invoice requirements of Business and Professions Code Section 9884.8 and California Code of Regulations Section 3356.
NOTE

Authority cited: Section 9882, Business and Professions Code. Reference: Sections 9884.8, 9884.9, 9889.50 and 9889.52, Business and Professions Code.
HISTORY

1. New section filed 10-20-97; operative 11-19-97 (Register 97, No. 43). For prior history, see Register 83, No. 9.
§3353. Written Estimate Required for Repair or Maintenance; Exceeding Estimate; Authorization Required.
Note     •     History

No work for compensation shall be commenced and no charges shall accrue without specific authorization from the customer in accordance with the following requirements:
(a) Estimate for Parts and Labor. Every dealer shall give to each customer a written estimated price for parts and labor for a specific job. 
(b) Estimate for Auto Body or Collision Repairs. Every dealer, when doing auto body or collision repairs, shall give to each customer a written estimated price for parts and labor for a specific job. Parts and labor shall be described separately and each part shall be identified, indicating whether the replacement part is new, used, rebuilt, or reconditioned. The estimate shall also describe replacement crash parts as original equipment manufacturer (OEM) crash parts or non-OEM aftermarket crash parts.
(c) Additional Authorization. Except as provided in subsection (f), the dealer shall obtain the customer's authorization before any additional work not estimated is done or parts not estimated are supplied. This authorization shall be in written, oral, or electronic form, and shall describe the additional repairs, parts, labor and the total additional cost.
(1) If the authorization from the customer for additional repairs, parts, or labor in excess of the written estimated price is obtained orally, the dealer shall also make a notation on the work order and on the invoice of the date, time, name of the person authorizing the additional repairs, and the telephone number called, if any, together with the specification of the additional repairs, parts, labor and the total additional cost.
(2) If the authorization from the customer for additional repairs, parts, or labor in excess of the written estimated price is obtained by facsimile transmission (fax), the dealer shall also attach to the work order and the invoice, a faxed document that is signed and dated by the customer and shows the date and time of transmission and describes the additional repairs, parts, labor and the total additional cost.
(3) If the authorization from the customer for additional repairs, parts, or labor in excess of the written estimated price is obtained by electronic mail (e-mail), the dealer shall print and attach to the work order and invoice, the e-mail authorization which shows the date and time of transmission and describes the additional repairs, parts, labor and the total additional cost.
(4) The additional repairs, parts, labor, total additional cost, and a statement that the additional repairs were authorized either orally, or by fax, or by e-mail shall be recorded on the final invoice pursuant to Section 9884.9 of the Business and Professions Code. All documentation must be retained pursuant to Section 9884.11 of the Business and Professions Code.
(d) Estimated Price to Tear Down, Inspect, Report and Reassemble. For purposes of this article, to “tear down” shall mean to disassemble, and “teardown” shall mean the act of disassembly. If it is necessary to tear down a vehicle component in order to prepare a written estimated price for required repair, the dealer shall first give the customer a written estimated price for the teardown. This price shall include the cost of reassembly of the component. The estimated price shall also include the cost of parts and necessary labor to replace items such as gaskets, seals and O rings that are normally destroyed by teardown of the component. If the act of teardown might prevent the restoration of the component to its former condition, the dealer shall write that information on the work order containing the teardown estimate before the work order is signed by the customer.
The repair dealer shall notify the customer orally and conspicuously in writing on the teardown estimate the maximum time it will take the repair dealer to reassemble the vehicle or the vehicle component in the event the customer elects not to proceed with the repair or maintenance of the vehicle and shall reassemble the vehicle within that time period if the customer elects not to proceed with the repair or maintenance. The maximum time shall be counted from the date of authorization of teardown.
After the teardown has been performed, the dealer shall prepare a written estimated price for labor and parts necessary for the required repair. All parts required for such repair shall be listed on the estimate. The dealer shall then obtain the customer's authorization for either repair or reassembly before any further work is done.
(e) Revising an Itemized Work Order. If the customer has authorized repairs according to a work order on which parts and labor are itemized, the dealer shall not change the method of repair or parts supplied without the written, oral, or electronic authorization of the customer. The authorization shall be obtained from the customer as provided in subsection (c) and Section 9884.9 of the Business and Professions Code.
(f) Designation of Person to Authorize Additional Work or Parts. When a customer, pursuant to subdivision (d) of Section 9884.9 of the Business and Professions Code, designates another person to authorize work not estimated or parts not included in the written estimated price given to the customer, all of the following shall apply:
(1) The designation may be a separate form by itself or may be incorporated into the dealer's work order form described in subsection (b) of Section 3352.
(2) If a separate form is used for the designation, the form and content of the designation shall be as follows:

“DESIGNATION OF PERSON TO AUTHORIZE ADDITIONAL WORK OR PARTS
I hereby designate the individual named below to authorize any additional work not specified or parts not included in the original written estimated price for parts and labor:

Name of Designee:		Phone Number:	

Fax Number:		E-Mail Address:	

Name of Customer:		Work Order No.:	

Date:			
		(Customer's Signature)”
(3) If the designation is incorporated into a work order form, it need only separately include the designation statement specified in paragraph (2) of this subsection, and the name, phone number, facsimile number and e-mail address of the designee, and the customer's signature, and the date of signing.
(4) The dealer shall not accept from the customer the designation of any person or entity not eligible to be a designee under subdivision (d) of Section 9884.9 of the Business and Professions Code. The ineligible designees include the automotive repair dealer providing repair services and an insurer involved in a claim that includes the motor vehicle being repaired, and employees and agents and persons acting on behalf of the dealer or insurer.
(5) The designation form shall be completed in duplicate and shall be distributed as follows:
(A) The copy of the completed and signed designation form shall be given to the customer with the customer's copy of the work order as required by paragraph (3) of subdivision (a) of Section 9884.7 of the Business and Professions Code.
(B) The original of the completed and signed designation form shall be attached to the dealer's copy of the work order, if not incorporated therein, and shall be retained pursuant to Section 9884.11 of the Business and Professions Code and Section 3358.
(6) When authorization for additional work or parts not estimated is obtained from a designee, it shall be obtained and recorded in compliance with subsection (c) of this section before any additional work not estimated is done or parts not estimated are supplied.
(g) Unusual Circumstances; Authorization Required. When the customer is unable to deliver the motor vehicle to the dealer during business hours or if the motor vehicle is towed to the dealer without the customer during business hours, and the customer has requested the dealer to take possession of the motor vehicle for the purpose of repairing or estimating the cost of repairing the motor vehicle, the dealer shall not undertake the diagnosing or repairing of any malfunction of the motor vehicle for compensation unless the dealer has complied with all of the following conditions:
(1) The dealer has prepared a work order stating the written estimated price for labor and parts, as specified in subsection (a) or (b), necessary to repair the motor vehicle; and
(2) By telephone, fax or e-mail, the customer has been given all of the information on the work order and the customer has approved the work order; and
(3) The customer has given oral, written or electronic authorization to the dealer to make the repairs and the dealer has documented the authorization as provided in subsection (c) and Section 9884.9 of the Business and Professions Code.
Any charge for parts or labor in excess of the original written estimated price must be separately authorized by the customer and documented by the dealer, as provided in subsection (c) and Section 9884.9 of the Business and Professions Code.
(h) Definitions. As used in this section, “written” shall mean the communication of information in writing, other than by electronic means; “oral” shall mean the oral communication of information either in person or telephonically; “electronic” shall mean the communication of information by facsimile transmission (fax) or electronic mail (e-mail).
NOTE

Authority cited: Sections 9882 and 9884.9, Business and Professions Code. Reference: Sections 9884.8, 9884.9, 9889.50 and 9889.52, Business and Professions Code.
HISTORY

1. Amendment filed 6-26-74; designated effective 8-1-74 (Register 74, No. 26).
2. Amendment of subsection (b) and new subsection (c) filed 6-9-78; effective thirtieth day thereafter (Register 78, No. 23).
3. Repealer and new section filed 10-27-82; effective thirtieth day thereafter (Register 82, No. 44).
4. Redesignation of former Article 7 (Section 3365) to new Article 7 (Sections 3353-3358) filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
5. Amendment of subsections (d) and (d)(1) filed 5-9-96; operative 6-8-96 (Register 96, No. 19).
6. Amendment of subsection (a) and Note filed 10-20-97; operative 11-19-97 (Register 97, No. 43).
7. Amendment of section and Note filed 5-2-2002; operative 6-1-2002 (Register 2002, No. 18).
8. Amendment of subsection (c), new subsections (f)-(f)(6), subsection relettering and amendment of newly designated subsection (g) filed 4-17-2006; operative 5-17-2006 (Register 2006, No. 16).
§3354. Unusual Circumstances; Authorization Required.
History

HISTORY

1. Amendment filed 7-25-75; effective thirtieth day thereafter (Register 75, No. 30).
2. Repealer filed 10-27-82; effective thirtieth day thereafter (Register 82, No. 44).
§3355. Replaced Parts That Are Not Returnable.
Note     •     History

Those parts and components that are replaced and that are sold on an exchange basis are exempt from the provisions of Section 9884.10 of the Act requiring the return of replaced parts to the customer, provided the customer is informed that said parts are not returnable orally and by written record on the work order and invoice. When a request is made before the work is started, the dealer shall provide a reasonable opportunity to the customer to inspect the part.
NOTE

Authority cited: Section 9882, Business and Professions Code. Reference: Section 9884.10, Business and Professions Code.
HISTORY

1. Amendment filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3356. Invoice Requirements.
Note     •     History

(a) All invoices for service and repair work performed, and parts supplied, as provided for in Section 9884.8 of the Business and Professions Code, shall comply with the following:
(1) The invoice shall show the automotive repair dealer's registration number and the corresponding business name and address as shown in the Bureau's records. If the automotive repair dealer's telephone number is shown, it shall comply with the requirements of subsection (b) of Section 3371 of this chapter.
(2) The invoice shall separately list, describe and identify all of the following:
(A) All service and repair work performed, including all diagnostic and warranty work, and the price for each described service and repair.
(B) Each part supplied, in such a manner that the customer can understand what was purchased, and the price for each described part. The description of each part shall state whether the part was new, used, reconditioned, rebuilt, or an OEM crash part, or a non-OEM aftermarket crash part.
(C) The subtotal price for all service and repair work performed.
(D) The subtotal price for all parts supplied, not including sales tax.
(E) The applicable sales tax, if any.
(b) If a customer is to be charged for a part, that part shall be specifically listed as an item in the invoice, as provided in subparagraph (B) of paragraph (2) of subsection (a) above. If that-item is not listed in the invoice, it shall not be regarded as a part, and a separate charge may not be made for it.
(c) Separate billing in an invoice for items generically noted as shop supplies, miscellaneous parts, or the like, is prohibited.
(d) The automotive repair dealer shall give the customer a legible copy of the invoice and shall retain a legible copy as part of the automotive repair dealer's records pursuant to Section 9884.11 of the Business and Professions Code and Section 3358 of this article.
NOTE

Authority cited: Sections 137 and 9882, Business and Professions Code. Reference: Sections 9884.8, 9889.50 and 9889.52, Business and Professions Code; and Sections 12000 and 12001, Vehicle Code.
HISTORY

1. New section filed 6-26-74; designated effective 8-1-74 (Register 74, No. 26).
2. Amendment filed 12-23-76; effective thirtieth day thereafter (Register 76, No. 52).
3. Amendment filed 6-9-78; effective thirtieth day thereafter (Register 78, No. 23).
4. Amendment of NOTE filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
5. Amendment of section filed 8-20-91; operative 9-19-91 (Register 92, No. 1).
6. Amendment of subsection (a) and Note filed 10-20-97; operative 11-19-97 (Register 97, No. 43).
7. Repealer and new section filed 2-2-2007; operative 3-4-2007 (Register 2007, No. 5).
§3356.1. Toxic Waste Disposal Costs.
Note     •     History

An automotive repair dealer may charge a customer for costs associated with the handling, management and disposal of toxic wastes or hazardous substances under California or federal law which directly relate to the servicing or repair of the customer's vehicle. Such charge must be disclosed to the customer by being separately itemized on the estimate prepared pursuant to Section 9884.9(a) of the Business and Professions Code and on the invoice prepared pursuant to Section 9884.8 of the Business and Professions Code. In order to assess this charge, the automotive repair dealer must note on the estimate and invoice the station's Environmental Protection Agency identification number required by Section 262.12 of Title 40 of the Code of Federal Regulations.
NOTE

Authority cited: Section 9882, Business and Professions Code. Reference: Sections 9882, 9884.8, and 9884.9(a), Business and Professions Code.
HISTORY

1. New section filed 8-20-91; operative 9-19-91 (Register 92, No. 1).
§3357. Denial, Suspension, and Revocation Substantial Relation Criteria.
Note     •     History

NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 475 et seq. of Division 1.5, Business and Professions Code.
HISTORY

1. New section filed 5-8-75; effective thirtieth day thereafter (Register 75, No. 19).
2. Amendment filed 12-23-76; effective thirtieth day thereafter (Register 76, No. 52).
3. Renumbering and amendment of Section 3357 to Section 3395.2 filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3358. Maintenance of Records.
Note     •     History

Each automotive repair dealer shall maintain legible copies of the following records for not less than three years:
(a) All invoices relating to automotive repair including invoices received from other sources for parts and/or labor.
(b) All written estimates pertaining to work performed.
(c) All work orders and/or contracts for repairs, parts and labor. All such records shall be open for reasonable inspection and/or reproduction by the bureau or other law enforcement officials during normal business hours.
NOTE

Authority cited: Sections 9882 and 9884.11, Business and Professions Code. Reference: Section 9884.11, Business and Professions Code.
HISTORY

1. Renumbering of former Section 3365 to Section 3358 filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3359. Sublet Disclosure.
Note     •     History

Upon the request of a customer, an automotive repair dealer shall disclose the location at which any repair work will be done other than repair work to be done at the dealer's location and by the dealer or his/her employees
NOTE

Authority cited: Section 9882, Business and Professions Code. Reference: Sections 9882 and 9884.7, Business and Professions Code.
HISTORY

1. New section filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
Article 8. Accepted Trade Standards
§3360. Scope of Regulations.
Note     •     History

This article shall apply to accepted trade standards for good and workmanlike automotive repair as performed by automotive repair dealers.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 9884.7 and 9884.19, Business and Professions Code.
HISTORY

1. New Article 6.5 (Sections 3360-3360.3) filed 3-6-75; effective thirtieth day thereafter (Register 75, No. 10).
2. Amendment filed 12-23-76; effective thirtieth day thereafter (Register 76, No. 52).
3. Renumbering of former Article 6.5 (Sections 3360-3361.1) to new Article 8 (Sections 3360-3361.1), and amendment of Section 3360 NOTE filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3360.1. Ball Joints.
Note     •     History

This section and Sections 3360.2 and 3360.3 apply to the inspection, sale, and installation of ball joints, which for the purpose of this article are defined as ball-and-socket assemblies designed to carry the vertical and horizontal stresses in the front suspension system of a motor vehicle while permitting steering and suspension movement.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 9884.7 and 9884.19, Business and Professions Code.
HISTORY

1. Amendment filed 12-23-76; effective thirtieth day thereafter (Register 76, No. 52).
2. Amendment of section title filed 6-9-78; effective thirtieth day thereafter (Register 78, No. 23).
3. New NOTE filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3360.2. General Requirements.
Note     •     History

All automotive repair dealers engaged in the sale and installation of ball joints shall be subject to the following requirements:
(a) Measurement of Wear or Looseness. Except as set forth in (e) and (f) of this section, any determination that a ball joint is worn or loose shall be made with an instrument specifically designed and manufactured for measurement of ball joint wear or looseness.
(b) Care and Use of Instrument. The instrument required by (a) of this section shall be used, calibrated, and maintained in accordance with the instructions issued by its manufacturer. The manufacturer shall be the original equipment manufacturer or a manufacturer who is generally known within the automotive repair industry as a supplier of such instruments.
(c) Accuracy of Measurement. The measurement of wear or looseness of a ball joint shall be stated in thousandths of an inch (.001) or in millimeters, whichever is appropriate to the vehicle and to the specifications of the original equipment manufacturer or of the replacement parts manufacturer.
(d) Invoice Requirements. If a ball joint is sold and installed, the degree of wear or looseness of the ball joint being replaced must be recorded on the customer's invoice in accordance with (c) of this section. The maximum allowable wear or looseness permitted by the original equipment manufacturer or by the replacement parts manufacturer must be stated.
(e) Measurement of Wear-Indicating Ball Joints. If a ball joint is equipped with an integral means of measuring wear or looseness, such measurement shall be made and reported in accordance with the manufacturer's directions.
(f) Adjustment of Mechanically Adjustable Ball Joints. A ball joint that has been manufactured with a means of manual adjustment to compensate for wear shall be adjusted in accordance with the instructions of the manufacturer.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 9884.7 and 9884.19, Business and Professions Code.
HISTORY

1. New NOTE filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3360.3. Recommendations Permitted.
Note     •     History

The foregoing requirements are not to be construed as prohibiting the sale and installation of ball joints when the sale and installation are made with the consent of the customer, provided that a full disclosure of the requirements of this article is made to the customer.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 9884.7 and 9884.19, Business and Professions Code.
HISTORY

1. New NOTE filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3361.1. Automatic Transmissions.
Note     •     History

The following minimum requirements specifying accepted trade standards for good and workmanlike rebuilding of automatic transmissions are intended to define terms that have caused confusion to the public and unfair competition within the automotive repair industry. The term “automatic transmission” shall also apply to the automatic transmission portion of transaxles for the purposes of this regulation, unless both the automatic transmission portion and the differential portion of the transaxle share a common oil supply, in which case the term “automatic transmission” shall apply to both portions of the transaxle. These minimum requirements shall not be used to promote the sale of “rebuilt” automatic transmissions when a less extensive and/or less costly repair is desired by the customer. Any automotive repair dealer who represents to customers that the following sections require the rebuilding of automatic transmissions is subject to the sanctions prescribed by the Automotive Repair Act. All automotive repair dealers engaged in the repair, sale, or installation of automatic transmissions in vehicles covered under the Act shall be subject to the following minimum requirements:
(a) Before an automatic transmission is removed from a motor vehicle for purposes of repair or rebuilding, it shall be inspected. Such inspection shall determine whether or not the replacement or adjustment of any external part or parts will correct the specific malfunction of the automatic transmission. In the case of an electronically controlled automatic transmission, this inspection shall include a diagnostic check, including the retrieval of any diagnostic trouble codes, of the electronic control module that controls the operation of the transmission. If minor service and/or replacement or adjustment of any external part or parts and/or of companion units can reasonably be expected to correct the specific malfunction of the automatic transmission, then prior to removal of the automatic transmission from the vehicle, the customer shall be informed of that fact as required by Section 3353 of these regulations. Before removing an automatic transmission from a motor vehicle, the dealer shall also comply with the provisions of section 3353(d), and disclose any applicable guarantee or warranty as provided in sections 3375, 3376 and 3377 of these regulations. If a diagnostic check of an electronic control module cannot be completed due to the condition of the transmission, the customer shall be informed of that fact and a notation shall be made on the estimate, in accordance with Section 3353 of these regulations.
(b) When the word “exchanged” is used to describe an automatic transmission, it shall mean that the automatic transmission is not the customer's unit that was removed from the customer's vehicle. Whenever the word “exchanged” is used to describe an automatic transmission, it shall be accompanied by a word or descriptive term such as “new,” “used,” rebuilt,” “remanufactured,” “reconditioned,” or “overhauled,” or by an expression of like meaning.
(c) Any automotive repair dealer that advertises or performs, directly or through a sublet contractor, automatic transmission work and uses the words “exchanged,” “rebuilt,” “remanufactured,” “reconditioned,” or “overhauled,” or any expression of like meaning, to describe an automatic transmission in any form of advertising or on a written estimate or invoice shall only do so when all of the following work has been done since the transmission was last used:
(1) All internal and external parts, including case and housing, have been thoroughly cleaned and inspected.
(2) The valve body has been disassembled and thoroughly cleaned and inspected unless otherwise specified by the manufacturer.
(3) All bands have been replaced with new or relined bands.
(4) All the following parts have been replaced with new parts:
(A) Lined friction plates
(B) Internal and external seals including seals that are bonded to metal parts
(C) All sealing rings
(D) Gaskets
(E) Organic media disposable type filters (if the transmission is so equipped)
(5) All impaired, defective, or substantially worn parts not mentioned above have been restored to a sound condition or replaced with new, rebuilt, or unimpaired parts. All measuring and adjusting of such parts has been performed as necessary.
(6) The transmission's electronic components, if so equipped, have been inspected and found to be functioning properly or have been replaced with new, rebuilt, or unimpaired components that function properly.
(7) The torque converter has been inspected and serviced in accordance with subsection (d) of this regulation.
(d) The torque converter is considered to be part of the automatic transmission and shall be examined, cleaned, and made serviceable before the rebuilt, remanufactured or overhauled transmission is installed. If the torque converter cannot be restored to a serviceable condition, then the customer shall be so informed. With the customer's authorization, the converter shall be replaced with a new, rebuilt, remanufactured, reconditioned, overhauled, or unimpaired used torque converter. A torque converter shall not be represented as rebuilt, remanufactured, reconditioned, or overhauled unless the torque converter shell has been opened, all components of the overrunning clutch assembly have been inspected and replaced as required, all friction materials have been replaced as required, all rotating parts have been examined and replaced as required, the shell has been resealed, and the unit has been pressure tested.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 9884.7(a), 9884.8, 9884.9(a) and 9884.19, Business and Professions Code.
HISTORY

1. New section filed 6-9-78; effective thirtieth day thereafter (Register 78, No. 23).
2. Amendment of subsection (c) and new subsections (d) and (e) filed 10-27-82; effective thirtieth day thereafter (Register 82, No. 44).
3. Editorial correction of subsection (a) filed 2-22-83 (Register 83, No. 9).
4. Amendment of section and Note filed 2-13-2002; operative 3-15-2002 (Register 2002, No. 7).
5. Amendment of subsection (a) filed 5-2-2002; operative 6-1-2002 (Register 2002, No. 18).
§3362.1. Engine Changes.
Note     •     History

An automotive repair dealer shall not make any motor vehicle engine change that degrades the effectiveness of a vehicle's emission control system. Nor shall said dealer, in the process of rebuilding the original engine or while installing a replacement engine, effect changes that would degrade the effectiveness of the original emission control system and/or components thereof.
NOTE

Authority cited: Sections 9882, 9884.7 and 9884.19, Business and Professions Code. Reference: Sections 9884.7 and 9884.19, Business and Professions Code; and Sections 4000.1, 4000.2, 4000.3 and 27156, Vehicle Code.
HISTORY

1. New section filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
2. Amendment of section filed 8-20-91; operative 9-19-91 (Register 92, No. 1).
§3363.1. Ignition Interlock Devices.
Note     •     History

Ignition interlock device standards apply to the installation of vehicular electrical devices that measure a motorist's breath sample for alcohol content, and, on the basis of that measurement, allow or not allow the vehicle's starter to be energized.
NOTE

Authority cited: Sections 9882 and 9882.14, Business and Professions Code. Reference: Section 23244, Vehicle Code; and Section 9882.14, Business and Professions Code.
HISTORY

1. New section filed 1-26-89; operative 2-25-89 (Register 89, No. 7).
§3363.2. Ignition Interlock Device Manufacturer's Responsibilities.
Note     •     History

The manufacturer of an ignition interlock device shall develop detailed written instructions regarding the installation of the device. Such instructions shall be in accordance with the guidelines adopted by the Office of Traffic Safety (OTS) pursuant to Section 23244(b) of the Vehicle Code.
NOTE

Authority cited: Sections 9882 and 9882.14, Business and Professions Code. Reference: Section 23244, Vehicle Code; and Section 9882.14, Business and Professions Code.
HISTORY

1. New section filed 1-26-89; operative 2-25-89 (Register 89, No. 7).
§3363.3. Authorized Installers of Ignition Interlock Devices.
Note     •     History

Only an automotive repair dealer, as defined by Sections 9880.1 and 9884.6 of the Business and Professions Code, may install an ignition interlock device.
NOTE

Authority cited: Sections 9882 and 9882.14, Business and Professions Code. Reference: Section 23244, Vehicle Code; and Sections 9880.1, 9882, 9882.14 and 9884.6, Business and Professions Code.
HISTORY

1. New section filed 1-26-89; operative 2-25-89 (Register 89, No. 7).
§3363.4. Installation Standards Applicable to Ignition Interlock Devices.
Note     •     History

An automotive repair dealer who installs ignition interlock devices in vehicles shall comply with the following conditions:
(a) Not allow customers or other unauthorized persons to observe installation of the devices.
(b) Have all tools, test equipment and manuals needed to install devices and needed to screen vehicles for acceptable mechanical and electrical condition prior to installation. These include, but are not necessarily limited to, the following:
(1) Tools to make electrical connections in a competent manner (properly soldered, or mechanically crimped with high quality connectors) and in accordance with accepted trade standards.
(2) Heat gun if heat shrink tubing or heat set labels are used.
(3) Volt/ohmmeter.
(4) Test light.
(5) Battery testing equipment and servicing tools (load tester, terminal cleaning tools, and battery filler).
(6) Electrical wiring diagrams and/or reference guide for electrical systems on import and domestic vehicles, 20 years old or less, necessary for the installation and operation of the device.
(7) Tools and equipment listed by the device manufacturer to properly install devices in accordance with guidelines adopted by the Office of Traffic Safety (OTS) pursuant to Section 23244(b) of the Vehicle Code.
(c) Provide adequate security measures to prevent unauthorized persons from accessing secured materials (tamper seals or installation instructions).
(d) Appropriately install devices on vehicles taking into account each vehicle's mechanical and electrical condition, following accepted trade standards and the device manufacturer's instructions, and correcting conditions (such as low battery or alternator voltage, or engine stalling frequent enough to require additional breath tests) which interfere with the proper functioning of the device.
(e) Not install devices in a manner that could adversely affect the performance of the device or impede the safe operation of the vehicle.
(f) Verify that a device is functioning properly after it has been installed in the vehicle.
(g) Restore a vehicle to its original condition when a device is removed. All severed wires must be permanently reconnected and insulated with heat shrink tubing or equivalent.
NOTE

Authority cited: Sections 9882 and 9882.14, Business and Professions Code. Reference: Section 23244, Vehicle Code; and Section 9882.14, Business and Professions Code.
HISTORY

1. New section filed 1-26-89; operative 2-25-89 (Register 89, No. 7).
§3364. Vehicle Identification Information.
Note     •     History

(a) An automotive repair dealer shall not remove, paint over, or otherwise deface any label or sticker which has been affixed to the doorpost, dash, underhood, windshield, or other location on a vehicle, and which contains identifying information regarding the vehicle or its emission control system components. An automotive repair dealer shall replace any such label or sticker which would otherwise be destroyed as part of the repair process, unless the replacement label or sticker is not reasonably available.
(b) The above requirements shall apply to any label or sticker mandated by the bureau or other governmental agency as well as those included with the vehicle as part of its original manufacture and those added onto a vehicle as part of a manufacturer's authorized recall program.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 9884.7 and 9884.19, Business and Professions Code.
HISTORY

1. New section filed 10-23-91; operative 11-22-91 (Register 92, No. 35).
§3365. Auto Body and Frame Repairs.
Note     •     History

The accepted trade standards for good and workmanlike auto body and frame repairs shall include, but not be limited to, the following:
(a) Repair procedures including but not limited to the sectioning of component parts, shall be performed in accordance with OEM service specifications or nationally distributed and periodically updated service specifications that are generally accepted by the autobody repair industry.
(b) All corrosion protection shall be applied in accordance with manufacturers' specifications or nationally distributed and periodically updated service specifications that are generally accepted by the autobody repair industry.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 9884.7, 9889.50 and 9889.52, Business and Professions Code.
HISTORY

1. New section filed 10-20-97; operative 11-19-97 (Register 97, No. 43). For prior history, see Register 83, No. 9.
§3366. Automotive Air Conditioning.
Note     •     History

(a) Except as provided in subsection (b) of this section, any automotive repair dealer that advertises or performs, directly or through a sublet contractor, automotive air conditioning work and uses the words service, inspection, diagnosis, top off, performance check or any expression or term of like meaning in any form of advertising or on a written estimate or invoice shall include and perform all of the following procedures as part of that air conditioning work:
(1) Exposed hoses, tubing and connections are examined for damage or leaks;
(2) The compressor and clutch, when accessible, are examined for damage, missing bolts, missing hardware, broken housing and leaks;
(3) The compressor is rotated to determine if it is seized or locked up;
(4) Service ports are examined for missing caps, damaged threads and conformance with labeling;
(5) The condenser coil is examined for damage, restrictions or leaks;
(6) The expansion device, if accessible, is examined for physical damage or leaks;
(7) The accumulator receiver dryer and in-line filter have been checked for damage, missing or loose hardware or leaks;
(8) The drive belt system has been checked for damaged or missing pulleys or tensioners and for proper belt routing, tension, alignment, excessive wear or cracking;
(9) The fan clutch has been examined for leakage, bearing wear and proper operation;
(10) The cooling fan has been checked for bent or missing blades;
(11) Accessible electrical connections have been examined for loose, burnt, broken or corroded parts;
(12) The refrigerant in use has been identified and checked for contamination;
(13) The system has been checked for leakage at a minimum of 50-PSI system pressure;
(14) The compressor clutch, blower motor and air control doors have been checked for proper operation;
(15) High and low side system operating pressures, as applicable, have been measured and recorded on the final invoice; and,
(16) The center air distribution outlet temperature has been measured and recorded on the final invoice.
(b) Whenever the automotive air conditioning work being advertised or performed does not involve opening the refrigerant portion of the air conditioning system, refrigerant evacuation, or full or partial refrigerant recharge, the procedures specified in subsection (a) need be performed only to the extent required by accepted trade standards.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 9884.7(a)(7), 9884.8 and 9884.9, Business and Professions Code.
HISTORY

1. New section filed 12-20-2000; operative 1-19-2001 (Register 2000, No. 51).
2. Amendment filed 6-12-2003; operative 7-12-2003 (Register 2003, No. 24).
§3367. Inflatable Restraint Systems; Airbags.
Note     •     History

(a) An Automobile Repair Dealer shall not install or reinstall, or distribute or sell, any air bag which is known, or which by the exercise of reasonable care should be known, to have been previously deployed, and which is part of an inflatable restraint system.
(b) Any violation of this section shall be cause for administrative disciplinary action. The authority of the bureau to impose discipline pursuant to this section shall be in addition to, and not a limitation on, its authority to take disciplinary action or other legal action, pursuant to any other provision of law.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 490 and 9884.7, Business and Professions Code; and Section 27317, Vehicle Code.
HISTORY

1. New section filed 8-1-2002; operative 8-31-2002 (Register 2002, No. 31).
§3368. Commissions, Consideration, Inducements, or Referral Fees; Towing Services.
Note     •     History

(a) An Automotive Repair Dealer shall not directly or indirectly pay or agree to pay any money or anything of value as a commission, referral fee, inducement, or in any manner a consideration, to a towing service for the delivery or the arranging of a delivery of a vehicle not owned by the repair shop or towing service, for the purpose of storage or repair.
(b) An Automotive Repair Dealer shall not directly or indirectly accept or agree to accept any money or anything of value as a commission, referral fee, inducement or in any manner a consideration, from a towing service for arranging or requesting the services of a tow truck.
(c) Any violation of this section shall be cause for administrative disciplinary action. The authority of the bureau to impose discipline pursuant to this section shall be in addition to, and not a limitation on, its authority to take disciplinary action or other legal action, pursuant to any other provision of law.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 490 and 9884.7, Business and Professions Code; and Section 12110, Vehicle Code.
HISTORY

1. New section filed 8-1-2002; operative 8-31-2002 (Register 2002, No. 31).
Article 9. False or Misleading Statements and Advertising
§3370. Application of Article.
Note     •     History

For the purposes of Sections 9882 and 9884.19 of the Act, false or misleading advertising includes but is not limited to advertising, within the meaning of Section 17500 of the Business and Professions Code, which violates any provision of this article.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 9884.7(a), 9884.19 and 17500, Business and Professions Code.
HISTORY

1. New Article 8 (§§ 3370 through 3377) filed 12-29-72; effective thirtieth day thereafter (Register 72, No. 53).
2. Renumbering of former Article 8 (Sections 3370-3377) to new Article 9 (Sections 3370-3391), and amendment of Section 3370 NOTE filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9). For history of former Article 9, see Section 3385 and Register 76, No. 52).
§3371. Untrue or Misleading Statements or Advertising.
Note     •     History

No dealer shall publish, utter, or make or cause to be published, uttered, or made any false or misleading statement or advertisement which is known to be false or misleading, or which by the exercise of reasonable care should be known to be false or misleading. Advertisements and advertising signs shall clearly show the following:
(a) Firm Name and Address. The dealer's firm name and address as they appear on the State registration certificate as an automotive repair dealer; and
(b) Telephone Number. If a telephone number appears in an advertisement or on an advertising sign, this number shall be the same number as that listed for the dealer's firm name and address in the telephone directory, or in the telephone company records if such number is assigned to the dealer subsequent to the publication of such telephone directory.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 9884.19 and 17500, Business and Professions Code.
HISTORY

1. Amendment filed 6-26-74; designated effective 8-1-74 (Register 74, No. 26).
2. New NOTE filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3371.1. Presumption As Automotive Repair Dealer.
Note     •     History

A person shall be deemed to be an automotive repair dealer as defined by subdivision (a) of section 9880.1 of the Business and Professions Code when such person:
(a) Solicits or advertises the repair of motor vehicles by telephone directory, newspaper, periodical, airwave transmission, printed handbill, printed business card, printed poster, or painted or electric sign, and repairs motor vehicles, or
(b) maintains an establishment for the repair of motor vehicles where within or outside the establishment is a sign, poster, or other representation which might reasonably lead a member of the public to believe that such establishment performs the repair of motor vehicles, or
(c) holds a retail sellers permit when such permit has been acquired for the purpose of, or has been used for, obtaining parts for the repair of motor vehicles, or
(d) holds himself or herself out to the public as an automotive repair dealer and receives a motor vehicle from the public and transmits or renders control of the motor vehicle to another for repair.
A person will be deemed to be holding himself or herself out to the public as an automotive repair dealer within the meaning of subdivision (d) above when such person solicits such business in a manner which might reasonably lead the public to believe that such person is an automotive repair dealer, or when the person receiving the service is billed on such person's own invoice.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Section 9884.19, Business and Professions Code.
HISTORY

1. New section filed 4-16-90; operative 4-16-90 (Register 90, No. 19).
§3372. False or Misleading Defined.
Note     •     History

In determining whether any advertisement, statement, or representation is false or misleading, it shall be considered in its entirety as it would be read or heard by persons to whom it is designed to appeal. An advertisement, statement, or representation shall be considered to be false or misleading if it tends to deceive the public or impose upon credulous or ignorant persons.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 9884.7, 9884.19 and 17500, Business and Professions Code.
HISTORY

1. New NOTE filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3372.1. Price Advertising.
Note     •     History

An automotive repair dealer shall not advertise automotive service at a price which is misleading. Price advertising is misleading in circumstances which include but are not limited to the following:
(a) The automotive repair dealer does not intend to sell the advertised service at the advertised price but intends to entice the consumer into a more costly transaction; or
(b) The advertisement for service has the capacity to mislead the public as to the extent that anticipated parts, labor or other services are included in the advertised price; or
(c) The advertisement for service or repair has the capacity to mislead the public as to the need for additional related parts, labor or other services; or
(d) The automotive repair dealer knows or should know that the advertised service cannot usually be performed in a good and workmanlike manner without additional parts, services or labor; provided, however, that an advertisement which clearly and conspicuously discloses that additional labor, parts or services are often needed will, to that extent, not be regarded as misleading. Any such disclosure statement shall indicate that many instances of performance of the service involve extra cost and, if the automotive dealer reasonably expects that the extra cost will be more than 25% of the advertised costs, that the extra cost may be substantial. The type size of the disclosure statement shall be at least 1/2 the type size used in the advertised price and the statement shall either be shown near the price or shall be prominently footnoted through use of an asterisk or similar reference.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 9884.7, 9884.19 and 17500, Business and Professions Code.
HISTORY

1. New section filed 3-28-86; effective thirtieth day thereafter (Register 86, No. 13).
§3373. False or Misleading Records.
Note     •     History

No automotive repair dealer or individual in charge shall, in filling out an estimate, invoice, or work order, or record required to be maintained by section 3340.15(f) of this chapter, withhold therefrom or insert therein any statement or information which will cause any such document to be false or misleading, or where the tendency or effect thereby would be to mislead or deceive customers, prospective customers, or the public.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 9884.7, 9884.19 and 17500, Business and Professions Code.
HISTORY

1. New Note filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
2. Amendment filed 8-18-92; operative 9-17-92 (Register 92, No. 37).
§3374. New, Rebuilt, Reconditioned, or Used Parts and Components.
Note     •     History

No dealer shall advertise, represent, or in any manner imply that a used, rebuilt or reconditioned part or component is new unless such part and all of the parts of any component are in fact new.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 9884.7, 9884.8, 9884.19 and 17500, Business and Professions Code.
HISTORY

1. Amendment filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3374.1. Manufacture, Sale, or Installation of Defective Vehicle Parts.
Note     •     History

NOTE

Authority cited: Section 9882, Business and Professions Code. Reference: Sections 12000-12002, Vehicle Code.
HISTORY

1. New section filed 6-26-74; designated effective 8-1-74 (Register 74, No. 26).
2. Amendment filed 12-23-76; effective thirtieth day thereafter (Register 76, No. 52).
3. Renumbering and amendment of Section 3374.1 to Section 3395.3 filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3375. Guarantees and Warranties.
Note     •     History

For the purpose of this Act and of these regulations the term “guarantee” and “warranty” have like meanings. No advertisement shall contain any false or misleading representation concerning the nature, extent, duration, terms or cost of a guarantee of a motor vehicle part or component or repair service subject to the provisions of the Act.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 9884.19 and 17500, Business and Professions Code.
HISTORY

1. New NOTE filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3376. Disclosure of Guarantee.
Note     •     History

All guarantees shall be in writing and a legible copy thereof shall be delivered to the customer with the invoice itemizing the parts, components, and labor represented to be covered by such guarantee. A guarantee shall be deemed false and misleading unless it conspicuously and clearly discloses in writing the following:
(a) The nature and extent of the guarantee including a description of all parts, characteristics or properties covered by or excluded from the guarantee, the duration of the guarantee and what must be done by a claimant before the guarantor will fulfill his obligation (such as returning the product and paying service or labor charges).
(b) The manner in which the guarantor will perform. The guarantor shall state all conditions and limitations and exactly what the guarantor will do under the guarantee, such as repair, replacement or refund. If the guarantor or recipient of the guarantee has an option as to what may satisfy the guarantee, this must be clearly stated.
(c) The guarantor's identity and address shall be clearly revealed in any documents evidencing the guarantee.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 9884.19 and 17500, Business and Professions Code.
HISTORY

1. New NOTE filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3377. Pro-Rata Guarantee.
Note     •     History

Any guarantee or any advertisement of a guarantee which provides for adjustment on a pro-rata basis shall be deemed false and misleading unless the guarantee and/or the advertisement conspicuously and clearly discloses this fact and the basis on which the guarantee will be pro-rated, e.g., the time or mileage the part, component, or item repaired has been used and in what manner the guarantor will perform. If adjustments are based on a price other than that paid by the customer, clear disclosure must be made of the amount. However, a fictitious price must not be used even where the sum is adequately disclosed.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 9884.19 and 17500, Business and Professions Code.
HISTORY

1. New NOTE filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3385. Display.
Note     •     History

NOTE

Authority cited: Section 9882, Business and Professions Code. Reference: Section 9884.17, Business and Professions Code.
HISTORY

1. New Article 9 (Sections 3385 and 3386) filed 12-29-72; effective thirtieth day thereafter (Register 72, No. 53).
2. Amendment filed 12-23-76; effective thirtieth day thereafter (Register 76, No. 52).
3. Redesignation of former Article 9 (Sections 3385-3386) to new Article 9 (Sections 3370-3391), and renumbering and amendment of Section 3385 to Section 3351.3 filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9)
§3386. Specifications for Automotive Repair Dealer's Sign.
History

HISTORY

1. Editorial correction (Register 75, No. 4).
2. Renumbering and amendment of Section 3386 to Section 3351.4 filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3390. Fees.
Note     •     History

NOTE

Authority cited: Section 9882, Business and Professions Code. Reference: Section 9886.3, Business and Professions Code.
HISTORY

1. New Article 10 (Section 3390) filed 12-29-72; effective thirtieth day thereafter (Register 72, No. 53).
2. Amendment filed 6-26-74; designated effective 8-1-74 (Register 74, No. 26).
3. Amendment of subsections (a)-(c) filed 11-27-81; designated effective 1-1-82 (Register 81, No. 48).
4. Redesignation of former Article 10 (Sections 3390-3391) to new Article 10 (Sections 3395-3395.3), and renumbering and amendment of Section 3390 to Section 3351.1 filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3391. Renewal of Automotive Repair Dealer Registration. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 152.5, 152.6, 9882, Business and Professions Code. Reference: Sections 152.5, 152.6, Business and Professions Code.
HISTORY

1. New section filed 4-28-76; effective thirtieth day thereafter (Register 76, No. 18).
2. Amendment filed 6-9-78; effective thirtieth day thereafter (Register 78, No. 23).
3. Renumbering and amendment of Section 3391 to Section 3351.2 filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
Article 10. Gold Shield Program
§3392.1. Gold Shield Program (GSP).
Note     •     History

This section shall remain in effect through December 31, 2012. The Gold Shield Program is a voluntary program that permits any licensed Smog Check test-and-repair station, which meets or exceeds the standards established pursuant to this article to obtain a certification that may be publicly displayed and otherwise advertised. 
(a) The purposes of the Gold Shield program are to: 
(1) Reduce the complexity of the Smog Check Program by allowing Smog Check stations certified as Gold Shield stations to offer consumers a wider array of inspection and repair services. 
(2) Encourage consumer confidence in the required emissions inspections and repairs by the establishment of inspection and repair standards that stations must meet or exceed to receive and retain certification from the Bureau. 
(3) Improve the identification and repair of high-emitting vehicles to enhance the effectiveness of the Smog Check Program. 
(4) Contribute to the emissions reductions objectives required by the State Implementation Plan and federal standards. 
NOTE

Authority cited: Sections 44001.5, 44002 and 44014.2, Health and Safety Code. Reference: Sections 44002 and 44014.2, Health and Safety Code.
HISTORY

1. Renumbering of former article 10 to new article 11 (sections 3395-3395.3), and new article 10 (sections 3392.1-3392.6) and section filed 4-23-97 as an emergency; operative 4-23-97 (Register 97, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-21-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-23-97 order, including amendment of first paragraph and Note, transmitted to OAL 8-19-97 and filed 9-30-97 (Register 97, No. 40).
3. Amendment of section heading, repealer and new section and amendment of Note filed 4-28-2003; operative 5-28-2003 (Register 2003, No. 18).
4. Amendment of introductory paragraph filed 11-1-2011; operative 11-1-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 44).
§3392.2. Responsibilities of Smog Check Stations Certified as Gold Shield.
Note     •     History

This section shall remain in effect through December 31, 2012. 
(a) Smog Check test-and-repair stations certified as Gold Shield stations shall provide the following services to the public: 
(1) State subsidized emissions-related repairs, under the terms and conditions of a contract executed pursuant to Section 3394.2, as a component of the Bureau's Consumer Assistance Program established pursuant to Article 11 of this Division. This paragraph shall not apply to those stations located in change of ownership program areas. 
(2) The certification of vehicles previously identified as gross polluters. 
(3) For Gold Shield stations with a complete BAR-97 Emissions Inspection System capable of performing enhanced area loaded-mode inspections pursuant to paragraph (1) of subdivision (a) of Section 44003 of the Health and Safety Code, irrespective of their program area location, the initial testing and certification of vehicles directed to Test-Only stations pursuant to Sections 44010.5 or 44014.7 of the Health and Safety Code.
(4) For Gold Shield stations with a complete BAR-97 Emissions Inspection System capable of performing enhanced area loaded-mode inspections pursuant to paragraph (1) of subdivision (a) of Section 44003 of the Health and Safety Code, irrespective of their program area location, the after-repairs certification of failed vehicles that were directed to and initially tested at Test-Only stations pursuant to Sections 44010.5 or 44014.7 of the Health and Safety Code provided that the vehicles are repaired at the Gold Shield station. 
(5) For Gold Shield stations located in basic or change of ownership program areas that do not perform enhanced area loaded-mode inspections pursuant to paragraph (1) of subdivision (a) of Section 44003 of the Health and Safety Code, the certification of vehicles registered in enhanced areas if the vehicles were purchased by a licensed Department of Motor Vehicles Motor Vehicle Dealer, as defined in Section 285 of the Vehicle Code, with the intent of offering the vehicles for sale upon the dealer's premises that are located in basic or change of ownership areas. Gold Shield stations authorized pursuant to this paragraph shall not issue a certificate of compliance to a vehicle registered in an enhanced area that is required to have an enhanced area test if the vehicle is owned by an entity other than a Motor Vehicle Dealer licensed by the Department of Motor Vehicles. 
(b) All emissions-related repairs at a Gold Shield station shall be performed in a good and workmanlike manner and in accordance with the procedures specified by the vehicle manufacturer or by repair standards generally accepted by the industry. 
(c) A Gold Shield station shall display an exterior sign that meets the following specifications: 
(1) The dimensions of the sign shall be 24 inches wide and 30 inches high. 
(2) The sign shall be made of 0.040-inch aluminum, steel, or plastic. 
(3) The Bureau shall supply a camera-ready design and content of the sign. 
(d) A Gold Shield station may advertise those services authorized by subsection (a), other than by displaying the sign specified in subsection (c). 
(e) A Gold Shield station shall allow bureau personnel reasonable access to the station for the on-site inspection of vehicles where repairs are still in progress or have been completed and the vehicles remain on the premises. The inspections shall be for the purpose of evaluating the appropriateness and effectiveness of the repairs performed by the station. 
NOTE

Authority cited: Sections 44001.5, 44002, 44010.5, 44014.2 and 44095, Health and Safety Code. Reference: Sections 44010.5, 44014, 44014.2 and 44092, Health and Safety Code.
HISTORY

1. New section filed 4-23-97 as an emergency; operative 4-23-97 (Register 97, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-21-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-23-97 order, including amendment of first paragraph and subsections (d) and (e), new subsections (f) and (g) and  amendment of Note, transmitted to OAL 8-19-97 and filed 9-30-97 (Register 97, No. 40).
3. Amendment of section heading, repealer and new section and amendment of Note filed 4-28-2003; operative 5-28-2003 (Register 2003, No. 18).
4. New subsection (a)(3), subsection renumbering, amendment of newly designated subsections (a)(4)-(5) and amendment of Note filed 8-1-2007; operative 8-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 31).
5. Amendment of introductory paragraph filed 11-1-2011; operative 11-1-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 44).
§3392.2.1. Required Services of STAR Stations.
Note     •     History

This section shall become effective January 1, 2013. 
(a) Both STAR certified test-only and test-and-repair stations shall provide the following services to the public:
(1) The certification of vehicles previously identified as gross polluters.
(2) For STAR stations with a complete BAR-certified Emissions Inspection System capable of performing enhanced area ASM inspections on all vehicles subject to Smog Check pursuant to Sections 44003 and 44003.5 of the Health and Safety Code, irrespective of their program area location, perform the testing and certification of vehicles requiring inspection pursuant to Sections 44010.5 or 44014.7 of the Health and Safety Code.
(3) For STAR stations located in basic or change of ownership program areas that do not perform ASM inspections pursuant to Sections 44003 and 44003.5 of the Health and Safety Code, perform the testing and certification of vehicles registered in enhanced areas only if the vehicles were purchased by a licensed Department of Motor Vehicles motor vehicle dealer, as defined in Section 285 of the Vehicle Code, with the intent of offering the vehicles for sale upon the dealer's premises located in a basic or change of ownership area. STAR stations authorized pursuant to this paragraph may not issue a certificate of compliance to a vehicle that is owned by an entity other than a motor vehicle dealer licensed by the Department of Motor Vehicles. 
(b) STAR certified test-and-repair stations shall do the following:
(1) Under the terms and conditions of an agreement executed pursuant to Section 3394.2, offer state subsidized emissions-related repairs as a component of the Consumer Assistance Program established pursuant to Article 11 of this chapter. This paragraph shall apply to those STAR certified stations located in basic and enhanced areas.
(2) Perform all emissions-related repairs in a good and workmanlike manner and in accordance with the procedures specified by the vehicle manufacturer or by repair standards generally accepted by the industry.
(3) Allow bureau personnel reasonable access to the station for the on-site inspection of vehicles while repairs are in progress, or for inspection of repaired vehicles still remaining on the premises. These inspections shall be for the purpose of evaluating the appropriateness and effectiveness of the repairs performed by the station.
NOTE

Authority cited: Sections 44001.5, 44002, 44010.5, 44014.2 and 44095, Health and Safety Code; and Section 9882, Business and Professions Code. Reference: Sections 44010.5, 44014, 44014.2 and 44092, Health and Safety Code.
HISTORY

1. New section filed 11-1-2011; operative 11-1-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 44).
§3392.3. Eligibility for Gold Shield Certification; Quality Assurance.
Note     •     History

This section shall remain in effect through December 31, 2012.
(a) A licensed Smog Check Test-and-Repair station seeking Gold Shield certification shall complete and file a Gold Shield Station Application form (GSR-1 04/25/2003), which is hereby incorporated by reference, and shall, as of the date the application is received by the bureau, meet all of the following eligibility requirements: 
(1) The station's Comparative Failure Rate (CFR) over the preceding calendar quarter must meet or exceed the industry-wide failure rate for Test-Only stations, by smog check program area, as calculated quarterly by the bureau. 
(2) The station must have conducted a minimum of 10 successful emission repairs in the preceding calendar quarter. For the purposes of this section, a “successful emission repair” means: 
(A) The vehicle must have failed the emissions portion of a Smog Check in official test mode or pre-test mode at any Smog Check station prior to the repair; and 
(B) The Smog Check station must have repaired the vehicle and entered repair data into the Vehicle Information Database; and 
(C) The vehicle must have been issued a Certificate of Compliance at any Smog Check station within ten (10) days following the repairs made by the applicant Smog Check station. 
(3) The station's repair performance, in the preceding calendar quarter, must rate within the top 75% of test-and-repair stations in the same smog check program area. A station's repair performance is computed by comparing the final emission readings of each successful emission repair to the average passing emission readings for the same model-year and emission standards category of the vehicle repaired. 
(4) The station must not have been issued any citations pursuant to Section 44050(a) of the Health and Safety Code within the preceding one-year period nor employ any technicians who have been issued any citations pursuant to Section 44050(b) of the Health and Safety Code within the preceding one-year period. 
(5) Neither the current nor any previous registration or license of the station owner, manager and licensed Smog Check technicians employed by the station, has been issued an order of suspension, a probationary order, or any other disciplinary order within the preceding three-year period. No station owner, officer, manager, licensed Smog Check technician or other employee of the station may currently be subject to suspension, probation or other disciplinary order. 
(6) The station owner, manager and licensed Smog Check technicians or other employees of the station, must not have been convicted of a crime within the preceding three-year period that is substantially related to the duties of an Automotive Repair Dealer, a licensed Smog Check station, or a licensed Smog Check technician. The station owner, manager and licensed Smog Check technicians or other employees of the station, must not have been found liable in a civil proceeding, excluding small claims matters, within the preceding three-year period, for acts or omissions that are substantially related to the duties of an Automotive Repair Dealer, a licensed Smog Check station, or a licensed Smog Check technician. The station owner, manager and licensed Smog Check technicians or other employees of the station must not be serving a probationary period as a result of any such criminal or civil proceeding. 
(7) The station must not have engaged in any conduct that would be cause for discipline of the station's Automotive Repair Dealer registration or Smog Check station license. 
(8) The station must pass a Quality Assurance inspection administered by bureau personnel as part of the certification process. A Quality Assurance inspection consists of any or all of the following: 
(A) A verification of compliance with all licensure and license posting requirements. 
(B) A verification of compliance with all signage requirements. 
(C) A verification of compliance with all estimate, repair order, invoice and record-keeping requirements. 
(D) A verification of possession of all required manuals and publications. 
(E) A verification of possession of all required tools and equipment and a verification of their proper working order. 
(F) Evaluations of licensed smog check technicians' ability to perform complete smog check inspections, and diagnoses and repairs of failed vehicles. 
(b) Smog Check stations located in change of ownership program areas shall only have to meet standards (a)(4)-(a)(7), inclusive, to obtain Gold Shield certification. 
(c) The bureau may conduct periodic quality assurance inspections of the station. If a Gold Shield station's performance does not comply with the criteria established pursuant to this section, written notice of the deficiency shall be provided to the station by the bureau, and the station shall have sixty (60) days to correct the deficiency. The bureau may conduct a follow-up quality assurance inspection to ensure the deficiency has been corrected. 
(d) The bureau, on a quarterly basis, shall evaluate a Gold Shield station's inspection and repair performance and compliance with the criteria established pursuant to this section. A Gold Shield station that fails to meet the certification criteria specified in paragraphs (1), (2) or (3) of Subsection (a) of this section, will be notified in writing of the nature of the deficiency. The Gold Shield station may be given one additional quarter to meet those standards. 
(e) A station may, upon ten (10) days written notice to the Bureau, withdraw from the Gold Shield Program. 
NOTE

Authority cited: Sections 44001.5 and 44014.2, Health and Safety Code. Reference: Section 44014.2, Health and Safety Code.
HISTORY

1. New section filed 4-23-97 as an emergency; operative 4-23-97 (Register 97, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-21-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-23-97 order, including amendment of subsections (a), (b)(1), (b)(3) and (b)(5)-(6), transmitted to OAL 8-19-97 and filed 9-30-97 (Register 97, No. 40).
3. Amendment of section heading, repealer and new section and amendment of Note filed 4-28-2003; operative 5-28-2003 (Register 2003, No. 18).
4. New introductory paragraph filed 11-1-2011; operative 11-1-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 44).
§3392.3.1. Eligibility/Performance Standards for STAR Certification.
Note     •     History

(a) A licensed Smog Check test-and-repair or test-only station seeking STAR certification shall submit to the bureau a completed STAR Station Certification Application form (STAR-1 07/1/2012), which is hereby incorporated by reference, and shall, as of the date the application is received by the bureau, meet all of the following eligibility/performance standard requirements. Applications for the STAR program that begins January 1, 2013 may be submitted beginning July 1, 2012.
(1) The station's Similar Vehicle Failure Rate (SVFR) in the most recently completed calendar quarter shall be greater than or equal to 75% of the industry-wide failure rate for similar vehicles, as defined in Section 3340.1. 
(2) The station shall have no more than 2% of vehicles tested with Gear Shift Incidents in the most recently completed calendar quarter, as defined in Section 3340.1.
(3) The station shall have an Excessive Test Deviation Rate of no more than one in the most recently completed calendar quarter, as defined in Section 3340.1.
(4) The station shall employ, for the purpose of performing smog check inspections and/or smog check repairs, licensed technicians whose FPR scores are greater than or equal to 0.4 in the most recently completed FPR reporting period.
(A) The station is deemed to employ, for the purpose of performing smog check inspections and/or smog check repairs, a licensed technician if that technician is listed in the station's Technician Information Table(s), as defined in Section 3340.1.
(B) If a station employs, for the purpose of performing smog check inspections and/or smog check repairs, a licensed technician who has not received an FPR score in the most recently completed reporting period, the station may be eligible for STAR certification if the station's FPR score in the most recently completed reporting period is greater than or equal to 0.4 or the station did not receive an FPR score in the most recently completed reporting period and all other eligibility requirements have been met.
(5) A station cannot have received a citation which is final and non-appealable, nor can a station employ a licensed Smog Check technician who has received a citation which is final and non-appealable, within the preceding one-year period from the effective date of the citation for violation of any of the following sections: 44012, 44015 (a) and (b), 44015.5, 44016, and 44032 of the Health and Safety Code; and 3340.15 (a), 3340.16 (a) and (b), 3340.16.5 (a) and (b), 3340.17, 3340.30 (a), 3340.35, 3340.41 (b), 3340.41 (c), 3340.42, 3340.42.2, and 3340.45 of Division 33, Title 16, California Code of Regulations.
(6) The current or any previous registration or license of the station owner, manager, or licensed Smog Check technicians employed by the station cannot be issued an order of suspension or a probationary order within the preceding three-year period from the effective date of the action. No station owner, officer, manager, licensed Smog Check technician or other employee of the station may currently be subject to an order of suspension or a probationary order. 
(7) The station owner, manager, licensed Smog Check technicians, or any other employee of the station may not have been convicted of a crime within the preceding three-year period that is substantially related to the duties of an Automotive Repair Dealer, a licensed Smog Check station, or a licensed Smog Check technician. The station owner, manager, licensed Smog Check technicians, or any other employees of the station may not have been found liable in a civil proceeding, excluding small claims matters, within the preceding three-year period, for acts or omissions that are substantially related to the duties of an Automotive Repair Dealer, a licensed Smog Check station, or a licensed Smog Check technician. The station owner, manager, licensed Smog Check technicians, or any other employees of the station may not be serving a probationary period as a result of a criminal or civil proceeding substantially related to the duties of an Automotive Repair Dealer, a licensed Smog Check station, or a licensed Smog Check technician. 
(8) Compliance with all licensure and license posting requirements. 
(9) Compliance with all estimate, repair order, invoice and record-keeping requirements. 
(10) Physical possession of, and/or electronic access to, all required manuals and publications. 
(11) Possession of all required tools and equipment and a verification of their proper working order. 
(12) A STAR certified station shall display an exterior sign, directly below the sign described in section 3340.22, which meets the following specifications:
(A) The dimensions of the sign shall be 24 inches wide and 5 1/4 inches high.
(B) The sign shall be made of 0.040-inch aluminum, steel, or plastic.
(C) The bureau shall supply a camera-ready design and content of the sign.
(13) The station may not have had its STAR certification invalidated within the last six months.
(b) A licensed Smog Check test-only or test-and-repair station seeking STAR certification shall be informed, in writing or by electronic mail, of the bureau's decision that the station meets the eligibility requirements for certification or the application is deficient.
NOTE

Authority cited: Sections 44001.5 and 44014.2, Health and Safety Code; and Section 9882, Business and Professions Code. Reference: Section 44014.2, Health and Safety Code.
HISTORY

1. New section filed 11-1-2011; operative 11-1-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 44).
§3392.4. STAR Program Evaluations.
Note     •     History

This section shall become effective January 1, 2013.
(a) All STAR certified stations shall continue to meet the criteria established pursuant to Section 3392.3.1 (a).
(b) The bureau may conduct a physical inspection of the STAR station to ensure compliance with the requirements established in Section 3392.3.1 (a)(8)-(13).
(c) The STAR program evaluation may be viewed on the bureau's online website. 
NOTE

Authority cited: Section 44001.5, Health and Safety Code. Reference: Section 44014.2, Health and Safety Code.
HISTORY

1. New section filed 11-1-2011; operative 11-1-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 44). For prior history, see Register 2003, No. 18.
§3392.5. Causes for Invalidation of Gold Shield Station Certification.
Note     •     History

(a) Effective through December 31, 2012, it shall be cause for the Bureau to invalidate the certification of a Gold Shield station, temporarily or permanently, if any of the following occur: 
(1) The Gold Shield station, manager or Smog Check technicians employed by the station, engage in any conduct which violates any provision of this article or which would be cause for discipline of, or which would be cause for issuance of a citation to the station's Automotive Repair Dealer registration or Smog Check station license, or the license of a technician employed by the station. 
(2) The Gold Shield station's Automotive Repair Dealer registration or Smog Check station license expires or otherwise becomes delinquent. 
(3) The bureau disciplines the Gold Shield station's Automotive Repair Dealer registration or Smog Check station license in any form or manner. 
(4) The Gold Shield station fails or is unable to provide the services specified in section 3392.2(a). 
(5) The Gold Shield station, if located in other than an enhanced area, issues a certificate of compliance to a vehicle registered in an enhanced area that is required to have an enhanced area test if the vehicle is owned by an entity other than a motor vehicle dealer licensed by the Department of Motor Vehicles, unless the station performed an enhanced area test as prompted by the Emissions Inspection System. 
(6) The Gold Shield station fails to comply with the certification criteria specified in paragraph (a)(1), (2) or (3) of Section 3392.3 for two consecutive calendar quarters. 
(7) The Gold Shield station fails to correct a deficiency identified in a quality assurance inspection within the specified time period. 
(b) Effective January 1, 2013, all existing Gold Shield certifications will expire. All stations choosing to participate in the STAR program that takes effect January 1, 2013, may apply for certification pursuant to Section 3392.3.1.
NOTE

Authority cited: Sections 44001.5 and 44014.2, Health and Safety Code. Reference: Sections 44014.2 and 44037.1, Health and Safety Code; and Sections 480 and 490, Business and Professions Code.
HISTORY

1. New section filed 4-23-97 as an emergency; operative 4-23-97 (Register 97, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-21-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-23-97 order, including amendment of subsections (d), new subsections (e) and (f) and  amendment of Note, transmitted to OAL 8-19-97 and filed 9-30-97 (Register 97, No. 40).
3. Amendment of section heading, repealer and new section and amendment of Note filed 4-28-2003; operative 5-28-2003 (Register 2003, No. 18).
4. Amendment of subsection (a) and new subsection (b) filed 11-1-2011; operative 11-1-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 44).
§3392.5.1. Causes for Invalidation of STAR Station Certification.
Note     •     History

This section shall become effective January 1, 2013.
(a) It shall be cause for the bureau to invalidate the certification of a STAR station if any of the following occur:
(1) The STAR station, manager, or any licensed technician employed by the station receives an order of suspension, a probationary order, or a citation that is final and non-appealable for violation of any of the following sections: 44012, 44015 (a) and (b), 44015.5, 44016, and 44032 of the Health and Safety Code; and 3340.15 (a), 3340.16 (a) and (b), 3340.16.5 (a) and (b), 3340.17, 3340.30 (a), 3340.35, 3340.41 (b), 3340.41 (c), 3340.42, 3340.42.2, and 3340.45 of Division 33, Title 16, California Code of Regulations. 
(2) The STAR station's Automotive Repair Dealer registration or Smog Check station license expires or otherwise becomes delinquent. 
(3)(A) The station owner, manager, licensed Smog Check technicians, or any other employee of the station is convicted of a crime substantially related to the duties of an Automotive Repair Dealer, a licensed Smog Check station, or a licensed Smog Check technician. 
(B) The station owner, manager, licensed Smog Check technician, or any other employee of the station is found liable in a civil proceeding, excluding small claims matters, for acts or omissions that are substantially related to the duties of an Automotive Repair Dealer, a licensed Smog Check station, or a licensed Smog Check technician. 
(C) The station owner, manager, licensed Smog Check technician, or any other employee of the station begins serving a probationary period as a result of a criminal or civil proceeding substantially related to the duties of an Automotive Repair Dealer, a licensed Smog Check station, or a licensed Smog Check technician. 
(4) The STAR station fails to comply with any of the certification criteria specified in Section 3392.3.1 (a)(1)-(3) for two consecutive calendar quarters. 
(5) The STAR station continues to employ, for the purpose of performing smog check inspections and/or smog check repairs, a licensed technician whose FPR score in the most recently completed FPR reporting period is less than 0.1. A smog check station may choose to have the bureau automatically remove technicians not meeting this requirement from each of the station's EIS Technician Information Tables.
(6) The STAR station continues to employ, for the purpose of performing smog check inspections and/or smog check repairs, a licensed technician who did not receive an FPR score in the most recently completed reporting period and the station's FPR score in the most recently completed FPR reporting period is less than 0.1.
(7) The STAR station hires, for the purpose of performing smog check inspections and/or smog check repairs, a licensed technician whose FPR score in the most recently completed FPR reporting period is less than 0.4.
(8) The STAR station has an FPR score of less than 0.4 and hires, for the purpose of performing smog check inspections and/or smog check repairs, a licensed technician who did not receive an FPR score in the most recently completed FPR reporting period.
(9) The STAR station fails or is unable to provide applicable services specified in Section 3392.2.1. 
(10) The STAR station, if located in a basic or change of ownership area, fails to perform an ASM test and issues a certificate of compliance to a vehicle registered in an enhanced area that is owned by an entity other than a motor vehicle dealer licensed by the Department of Motor Vehicles and located in an enhanced area. 
(b) The STAR station may withdraw from the STAR program by providing written notice to the bureau.
(c) If a station's STAR certification is invalidated or the station withdraws from the STAR program, the station may not perform the services pursuant to Section 3392.2.1 (a)(1)-(3) and (b)(1).
NOTE

Authority cited: Sections 44001.5 and 44014.2, Health and Safety Code; and Section 9882, Business and Professions Code. Reference: Sections 44014.2 and 44037.1, Health and Safety Code; and Sections 480 and 490, Business and Professions Code. 
HISTORY

1. New section filed 11-1-2011; operative 11-1-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 44).
§3392.6. Gold Shield Program Hearing and Determination.
Note     •     History

Effective through December 31, 2012, if the bureau denies an application for Gold Shield certification or if the bureau invalidates, temporarily or permanently, an existing Gold Shield station's certification, the bureau shall file and serve a written notice of denial or invalidation. The written notice shall contain a summary of the facts and allegations which form the cause or causes for denial or invalidation.
(a) Service of the written notice may be effected in any manner authorized by Business and Professions Code Section 124.
(b) If a written request for a hearing is delivered 15 days from the date of service, a hearing shall be held as provided for in (c) below.
(c) The bureau shall schedule a hearing within 60 days of the date the bureau receives a timely request for a hearing. The bureau shall notify the applicant or certified Gold Shield station or representative of the time and place of the hearing. The hearing shall be limited in scope to the time period, and facts and allegation specified in the written notice prepared by the bureau.
(d) The applicant or Gold Shield station shall be notified of the determination by the chief, or the chief's designee, who shall issue a decision and notify the applicant or Gold Shield station within 15 days of the close of the hearing.
(e) The bureau may order that a certification be temporarily invalidated pending any hearing and pending any post-hearing decision of the chief.
NOTE

Authority cited: Sections 44001.5 and 44014.2, Health and Safety Code. Reference: Section 44014.2, Health and Safety Code; and Section 124, Business and Professions Code.
HISTORY

1. New section, including form GSR-1, filed 4-23-97 as an emergency; operative 4-23-97 (Register 97, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-21-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-23-97 order, including amendment of form GSR-1 and removal of form from printed version of California Code of Regulations, transmitted to OAL 8-19-97 and filed 9-30-97 (Register 97, No. 40).
3. Amendment of section heading, section and Note filed 4-28-2003; operative 5-28-2003 (Register 2003, No. 18).
4. Amendment of introductory paragraph filed 11-1-2011; operative 11-1-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 44).
§3392.6.1. STAR Program Hearing and Determination.
Note     •     History

Effective January 1, 2013, if the bureau finds cause to invalidate the certification of an existing STAR station, the bureau shall file and serve a notice in writing or by electronic mail to the station. The notice shall contain a summary of the facts and allegations which form the cause or causes for invalidation.
(a) Service of the notice may be given in any manner authorized by Business and Professions Code Section 124.
(b) If a written or electronic request for a hearing is received within five (5) days from the date of service, a hearing shall be held as provided for in (c) below.
(c) The bureau shall hold a hearing within ten (10) days of the date on which the bureau received a timely request for a hearing. The bureau shall notify the STAR certified station or representative of the time and place of the hearing. The hearing shall be limited in scope to the time period, facts, and allegations specified in the notice prepared by the bureau.
(d) The STAR certified station shall be notified of the determination by the chief, or the chief's designee, who shall issue a decision and notify the applicant or STAR station within 10 days of the close of the hearing.
(e) The STAR station may request an administrative hearing to contest the decision of the chief within 30 days of the date of the determination by the chief, or the chief's designee.
NOTE

Authority cited: Sections 44001.5 and 44014.2, Health and Safety Code. Reference: Section 44014.2, Health and Safety Code; and Section 124, Business and Professions Code.
HISTORY

1. New section filed 11-1-2011; operative 11-1-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 44).
Article 11. Consumer Assistance Program and Enhanced Fleet Modernization Program
§3394.1. Purpose and Components of the Consumer Assistance Program.
Note     •     History

The purpose of the Consumer Assistance Program (CAP) is to improve California air quality. Vehicle owners, who meet eligibility requirements, are offered the following:
(a) Payment for voluntarily retiring from operation a motor vehicle.
(b) Financial assistance to make emissions-related repairs to a vehicle that fails a smog check inspection.
NOTE

Authority cited: Sections 44000, 44001.3, 44001.5, 44002 and 44091, Health and Safety Code. Reference: Sections 44011, 44062.1, 44090, 44091, 44092, 44093, 44094, 44095 and 44125, Health and Safety Code.
HISTORY

1. Renumbering of former article 11 to new article 12 (sections 3395-3395.4) and new article 11 (sections 3394.1-3394.5) and new section filed 12-3-98 as an emergency; operative 12-3-98 (Register 98, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-2-99 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former article 11 to new article 12 (sections 3395-3395.4) and new article 11 (sections 3394.1-3394.5) and new section refiled 3-30-99 as an emergency; operative 4-2-99 (Register 99, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-99 or emergency language will be repealed by operation of law on the following day.
3. Renumbering of former article 11 to new article 12 (sections 3395-3395.4) and new article 11 (sections 3394.1-3394.5) and section refiled 7-26-99 as an emergency; operative 8-2-99 (Register 99, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 7-26-99 order, including amendment of section heading, section and Note, transmitted to OAL 11-18-99 and filed 1-3-2000 (Register 2000, No. 1).
5. Amendment of article heading, section heading, section and Note filed 6-26-2000 as an emergency; operative 7-1-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-30-2000 or emergency language will be repealed by operation of law on the following day.
6. Amendment of article heading, section heading, section and Note refiled 10-30-2000 as an emergency; operative 10-30-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-27-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 10-30-2000 order, including further amendment of section heading and section, transmitted to OAL 2-9-2001 and filed 3-27-2001 (Register 2001, No. 13).
8. Amendment of article heading, section and Note filed 7-30-2010 as an emergency; effective 7-30-2010. Emergency regulation shall become operative on the effective date of the Air Resources Board's AB 118 Enhanced Fleet Modernization Program regulations, 13 CCR division 3, chapter 13, sections 2620-2630. A Certificate of Compliance must be transmitted to OAL by 1-26-2011 or emergency language will be repealed by operation of law on the following day (Register 2010, No. 31).
9. Certificate of Compliance as to 7-30-2010 order, including further amendment of first paragraph, transmitted to OAL 11-30-2010 and filed 1-11-2011 (Register 2011, No. 2).
§3394.2. Consumer Assistance Program Administration.
Note     •     History

The Consumer Assistance Program shall be administered by the Bureau of Automotive Repair through contracts with dismantlers, licensed smog check test-and-repair stations, and other entities as necessary.
NOTE

Authority cited: Sections 44000, 44001.3, 44001.5 and 44002, Health and Safety Code. Reference: Sections 44010.5, 44037.1, 44037.2, 44062.1, 44091, 44092, 44093, 44094 and 44095, Health and Safety Code.
HISTORY

1. New section filed 12-3-98 as an emergency; operative 12-3-98 (Register 98, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-2-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-30-99 as an emergency; operative 4-2-99 (Register 99, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-99 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 7-26-99 as an emergency; operative 8-2-99 (Register 99, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 7-26-99 order, including amendment of section, transmitted to OAL 11-18-99 and filed 1-3-2000 (Register 2000, No. 1).
5. Amendment of section heading, section and Note filed 6-26-2000 as an emergency; operative 7-1-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-30-2000 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section heading, section and Note refiled 10-30-2000 as an emergency; operative 10-30-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-27-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 10-30-2000 order transmitted to OAL 2-9-2001 and filed 3-27-2001 (Register 2001, No. 13).
§3394.3. State Assistance Limits.
Note     •     History

An applicant determined to be eligible under the Consumer Assistance Program may receive the following assistance:
(a) Under the Vehicle Retirement option, payment of one thousand five hundred dollars ($1,500) for each vehicle retired from operation for vehicle owners that have a household income that is less than or equal to two hundred twenty-five percent (225%) of the federal poverty level, as published quarterly in the Federal Register by the United States Department of Health and Human Services. All other eligible vehicle owners shall receive one thousand dollars ($1,000) for each vehicle retired from operation. All vehicles shall be retired from operation at a dismantler operating under contract with the Bureau of Automotive Repair.
(b) Under the Repair Assistance option, a vehicle owner that has not previously participated in or received repair assistance pursuant to the Consumer Assistance Program for the same vehicle will receive up to five hundred dollars ($500) in emissions-related diagnostic and repair services performed at a licensed smog check test-and-repair station operating under contract with the Bureau of Automotive Repair. Once the station has initiated any diagnostic or repair work on the vehicle, the owner's eligibility status or associated co-payment as specified in section 3394.4 shall not change.
NOTE

Authority cited: Sections 44001.3, 44001.5 and 44002, Health and Safety Code. Reference: Sections 44001.3, 44015, 44017, 44037.1, 44062.1, 44091, 44092, 44093, 44094 and 44095, Health and Safety Code.
HISTORY

1. New section filed 12-3-98 as an emergency; operative 12-3-98 (Register 98, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-2-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-30-99 as an emergency; operative 4-2-99 (Register 99, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-99 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 7-26-99 as an emergency; operative 8-2-99 (Register 99, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 7-26-99 order, including amendment of section, transmitted to OAL 11-18-99 and filed 1-3-2000 (Register 2000, No. 1).
5. Amendment of section heading, repealer and new section, and amendment of Note filed 6-26-2000 as an emergency; operative 7-1-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-30-2000 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section heading, repealer and new section, and amendment of Note refiled 10-30-2000 as an emergency; operative 10-30-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-27-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 10-30-2000 order, including further amendment of subsections (a) and (b), transmitted to OAL 2-9-2001 and filed 3-27-2001 (Register 2001, No. 13).
8. Amendment of subsection (b) filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
9. Change without regulatory effect amending subsection (a) filed 1-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 4).
§3394.4. Eligibility Requirements.
Note     •     History

(a) In order to participate in the Consumer Assistance Program, a person must meet the following requirements, as applicable:
(1) Be the registered owner of an eligible vehicle who has paid all appropriate registration fees for the vehicle with the Department of Motor Vehicles.
(2) Under the Repair Assistance option, the vehicle owner has not previously received financial assistance for the repair of the same vehicle.
(3) Under the Repair Assistance option that is based on a person's income level:
(A) Have a household income that is less than or equal to two hundred twenty-five percent (225%) of the federal poverty level, as published quarterly in the Federal Register by the United States Department of Health and Human Services; and
(B) Spend a minimum co-payment of twenty dollars ($20) on emissions-related repairs at a licensed smog check test-and-repair station. Money spent to correct tampered emissions control systems or to make a vehicle testable shall not be included in the co-payment.
(4) Under the Vehicle Retirement option:
(A) Not have retired another vehicle through the Smog Check Consumer Assistance Program within a preceding twelve-(12) month period; and
(B) A vehicle owner who is a joint owner of a vehicle may not retire more than two (2) vehicles through the Consumer Assistance Program within a twelve-(12) month period; and
(C) An individual must be the registered owner of the vehicle with vehicle title issued in their name.
(D) A vehicle owner who meets household income level requirements listed in subdivision (a) of section 3394.3 shall receive one thousand five hundred dollars ($1,500) for each vehicle retired.
(E) A vehicle owner who does not meet household income level requirements listed in subdivision (a) of section 3394.3 shall receive one thousand dollars ($1,000) for each vehicle retired from operation.
(F) In order to qualify for participation in the Vehicle Retirement option of the Consumer Assistance Program, a vehicle must have failed the most recent smog check inspection.
(b) In order to qualify for participation in the Vehicle Retirement option of the Consumer Assistance Program, at the time of application, a vehicle must:
(1) Be currently registered with the Department of Motor Vehicles; or,
(2) Be currently operating under a repair cost waiver or economic hardship extension issued by the Bureau of Automotive Repair; or,
(3) Be currently operating under a Temporary Operating Permit issued by the Department of Motor Vehicles; and,
(4)(A) Have been continuously registered as an operable vehicle with the Department of Motor Vehicles for twenty-four (24) months prior to the postmark date of the application; or
(B) Vehicle is placed in non-operational status pursuant to Vehicle Code Section 4604, et seq., for a total of 60 or fewer days for the 24 months prior to the postmark date of the application; or
(C) Vehicle registration has lapsed for less than 121 days for the 24 months prior to the postmark date of the application.
(5) Beginning January 1, 2011, a vehicle must have failed the most recent smog check inspection and such failure is for causes other than an ignition timing adjustment or a failed gas cap functional test; and
(6) Be a passenger vehicle, truck, sports utility vehicle (SUV) or van, with a gross vehicle weight rating of 10,000 pounds or less; and
(7) Pass a visual inspection conducted by the Bureau or its representative verifying that:
(A) All doors are present;
(B) The hood lid is present;
(C) The dashboard is present;
(D) The windshield is present;
(E) At least one side window glass is present;
(F) The driver's seat is present;
(G) At least one bumper is present;
(H) The exhaust system is present;
(I) All side and/or quarter panels are present; and
(J) At least one headlight, one taillight, and one brake light are present; and
(8) Pass an operational inspection conducted by the Bureau or its representative verifying that:
(A) The vehicle is driven under its own power to an approved dismantler site;
(B) The vehicle's engine starts readily through ordinary means without the use of starting fluids or external booster batteries;
(C) The drivability of the vehicle is not affected by any body, steering, or suspension damage;
(D) The vehicle is able to drive forward a minimum distance of ten (10) yards under its own power, and
(E) The interior pedals are operational.
(c) This section does not apply to the Enhanced Fleet Modernization Program.
NOTE

Authority cited: Sections 44001.3, 44001.5 and 44002, Health and Safety Code; and Section 9882, Business and Professions Code. Reference: Sections 44005, 44010.5, 44011, 44012, 44014.7, 44015, 44017, 44017.1, 44037.1, 44062.1, 44091, 44092, 44093, 44094, 44095 and 44125, Health and Safety Code.
HISTORY

1. New section filed 12-3-98 as an emergency; operative 12-3-98 (Register 98, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-2-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-30-99 as an emergency; operative 4-2-99 (Register 99, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-99 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 7-26-99 as an emergency; operative 8-2-99 (Register 99, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 7-26-99 order, including amendment of section and Note, transmitted to OAL 11-18-99 and filed 1-3-2000 (Register 2000, No. 1).
5. Amendment of section heading, section and Note filed 6-26-2000 as an emergency; operative 7-1-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-30-2000 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section heading, section and Note refiled 10-30-2000 as an emergency, including further amendment of Note; operative 10-30-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-27-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 10-30-2000 order, including further amendment of section and Note, transmitted to OAL 2-9-2001 and filed 3-27-2001 (Register 2001, No. 13).
8. Amendment of subsection (b)(1) filed 2-26-2002 as an emergency; operative 2-26-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-26-2002 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-26-2002 order transmitted to OAL 6-13-2002 and filed 7-2-2002 (Register 2002, No. 27).
10. Amendment of section and Note filed 7-31-2006; operative 7-31-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 31).
11. Redesignation and amendment of former subsection (c)(4) as subsection (c)(4)(A), new subsection (c)(4)(B), redesignation and amendment of former subsection (c)(6) as subsection (c)(6)(A) and new subsection (c)(6)(B) filed 8-12-2008; operative 8-12-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 33).
12. Amendment of section and Note filed 7-30-2010 as an emergency; effective 7-30-2010. Emergency regulation shall become operative on the effective date of the Air Resources Board's AB 118 Enhanced Fleet Modernization Program regulations, 13 CCR division 3, chapter 13, sections 2620-2630. A Certificate of Compliance must be transmitted to OAL by 1-26-2011 or emergency language will be repealed by operation of law on the following day (Register 2010, No. 31).
13. Amendment filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
14. Certificate of Compliance as to 7-30-2010 order, including new subsection (b)(5)(C) and further amendment of subsections (b)(5)(B) and (c)(6), transmitted to OAL 11-30-2010 and filed 1-11-2011 (Register 2011, No. 2).
15. Change without regulatory effect amending section filed 1-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 4).
§3394.5. Ineligible Vehicles.
Note     •     History

(a) The following vehicles are not eligible for participation in the Consumer Assistance Program:
(1) A vehicle undergoing a transfer of ownership, except as provided in Section 44062.3 of Health and Safety Code.
(2) A vehicle being initially registered in California.
(3) A direct import vehicle being initially registered in California.
(4) A vehicle powered by alternate fuel, unless a Bureau Referee label is posted on the vehicle.
(5) A specially constructed vehicle, unless a Bureau Referee label is posted on the vehicle.
(6) A dismantled or total loss salvaged vehicle that has not been re-registered pursuant to Section 11519 of the Vehicle Code.
(7) A vehicle operated by a fleet licensed and registered pursuant to Section 44020 of the Health and Safety Code.
(8) A vehicle registered to a non-profit organization or a business.
(9) A vehicle that is untestable on a BAR-97 Emissions Inspection System (EIS).
(10) Under the Repair Assistance option, a vehicle with a tampered emissions control system.
(11) Under the Vehicle Retirement option, a vehicle with a tampered emissions control system where the tampered system is the cause for failing the smog check inspection.
(b) This section does not apply to the Enhanced Fleet Modernization Program.
NOTE

Authority cited: Sections 44000, 44001.3, 44001.5, 44002, 44091, 44092, 44093, 44094 and 44095, Health and Safety Code. Reference: Sections 44011, 44015, 44017, 44020, 44037.1, 44091, 44092, 44093, 44094, 44095 and 44125, Health and Safety Code; and Section 11519, Vehicle Code.
HISTORY

1. New section filed 12-3-98 as an emergency; operative 12-3-98 (Register 98, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-2-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-30-99 as an emergency; operative 4-2-99 (Register 99, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-99 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 7-26-99 as an emergency; operative 8-2-99 (Register 99, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 7-26-99 order, including amendment of section heading and repealer and new section, transmitted to OAL 11-18-99 and filed 1-3-2000 (Register 2000, No. 1).
5. Amendment of section heading, repealer and new section, and amendment of Note filed 6-26-2000 as an emergency; operative 7-1-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-30-2000 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section heading, repealer and new section, and amendment of Note refiled 10-30-2000 as an emergency, including further amendment of Note; operative 10-30-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-27-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 10-30-2000 order, including further amendment of section and Note, transmitted to OAL 2-9-2001 and filed 3-27-2001 (Register 2001, No. 13).
8. Change without regulatory effect amending subsection (a)(9) filed 10-11-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
9. Amendment of subsection (a)(6), new subsection (b) and amendment of Note filed 7-30-2010 as an emergency; effective 7-30-2010. Emergency regulation shall become operative on the effective date of the Air Resources Board's AB 118 Enhanced Fleet Modernization Program regulations, 13 CCR division 3, chapter 13, sections 2620-2630. A Certificate of Compliance must be transmitted to OAL by 1-26-2011 or emergency language will be repealed by operation of law on the following day (Register 2010, No. 31).
10. Certificate of Compliance as to 7-30-2010 order transmitted to OAL 11-30-2010 and filed 1-11-2011 (Register 2011, No. 2).
11. Change without regulatory effect amending subsection (a)(1) filed 1-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 4).
§3394.6. Application and Documentation Requirements for the Consumer Assistance Program.
Note     •     History

(a) In order to participate in the Consumer Assistance Program, the applicant shall meet the requirements pursuant to 3394.4 et seq. and submit a completed application, 08_022 CAP/APP (11/10), which is hereby incorporated by reference, and required documentation to the Department or its designee with original signature(s). 
(b) The application must include copies of the following documents, as applicable:
(1) Under the Repair Assistance option, copies of any invoices for emissions-related repairs performed prior to applying to the Consumer Assistance Program, for the sole purpose of crediting the consumer co-payment required under section 3394.4.
(2) If applying based on income level, an applicant must provide any one of the following documents:
(A) A letter from the issuing agency stating that the applicant receives any of the following benefits:
1. Supplemental Security Income (SSI);
2. State Supplemental Payments (SSP);
3. Temporary Assistance for Needy Families (TANF);
4. California Work Opportunity and Responsibility to Kids (CalWORKS);
5. General Assistance (GA) or General Relief (GR); or
6. Publicly subsidized medical coverage, such as or Medi-Cal; or
7. The applicant must show proof of household income by providing one of the following:
(i) The applicant's state or federal income tax form (Form 540 or 1040) filed in the most recent tax year; or
(ii) A paycheck stub reflecting year-to-date earnings, hours worked, and hourly wage of the applicant; or
(iii) An unemployment, veterans benefits, or disability check issued to the applicant within the last sixty (60) days; or
(iv) A monthly bank statement issued to the applicant within the last sixty (60) days reflecting direct deposit of Social Security or Public Assistance; or
(v) Other documentation satisfactory to the Department.
NOTE

Authority cited: Sections 44001.5, 44002, 44091 and 44094, Health and Safety Code; and Section 9882, Business and Professions Code. Reference: Sections 44001.3, 44005, 44010.5, 44011, 44012, 44014, 44014.2, 44015, 44017, 44017.1, 44062.1, 44092, 44093, 44094 and 44095, Health and Safety Code.
HISTORY

1. Renumbering of former section 3340.9 to section 3394.6, including amendment of section heading, repealer and new section, amendment of Note, and amendment of Form CAP-APP filed 6-26-2000 as an emergency; operative 7-1-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-30-2000 or emergency language will be repealed by operation of law on the following day.
2. Change without regulatory effect amending subsection (a) and updating Form CAP-APP filed 9-21-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 38).
3. Renumbering of former section 3340.9 to section 3394.6, amendment of section heading, repealer and new section, amendment of Note, and amendment of Form CAP-APP refiled 10-30-2000 as an emergency, including further amendment of Note; operative 10-30-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-27-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-30-2000 order, including further amendment of subsections (a)-(b)(1), repealer of subsections (b)(2)-(6), subsection renumbering, and amendment of Form CAP-APP, transmitted to OAL 2-9-2001 and filed 3-27-2001 (Register 2001, No. 13).
5. Change without regulatory effect amending subsection (a) and form CAP-APP filed 8-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 33).
6. Amendment of subsection (a), new subsection (b)(2)(A)4., subsection renumbering, amendment of CAP/APP form and amendment of Note filed 2-26-2002 as an emergency; operative 2-26-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-26-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 2-26-2002 order transmitted to OAL 6-13-2002 and filed 7-2-2002 (Register 2002, No. 27).
8. Amendment of subsection (a) and Note and repealer and new form CAP/APP (removed from print and incorporated by reference) filed 7-31-2006; operative 7-31-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 31).
9. Change without regulatory effect repealing and readopting new CAP/APP form (incorporated by reference) and amending subsection (a) filed 11-2-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 44).
10. Change without regulatory effect amending subsections (a) and (b)(1)(A)6. and form PPD 05_046 CAP/APP (incorporated by reference) filed 10-1-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 40).
11. Change without regulatory effect amending subsection (a) filed 8-13-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 33).
12. Amendment of section heading and section filed 7-30-2010 as an emergency; effective 7-30-2010. Emergency regulation shall become operative on the effective date of the Air Resources Board's AB 118 Enhanced Fleet Modernization Program regulations, 13 CCR division 3, chapter 13, sections 2620-2630. A Certificate of Compliance must be transmitted to OAL by 1-26-2011 or emergency language will be repealed by operation of law on the following day (Register 2010, No. 31).
13. Amendment of subsection (a) filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
14. Certificate of Compliance as to 7-30-2010 order, including further amendment of subsection (a), transmitted to OAL 11-30-2010 and filed 1-11-2011 (Register 2011, No. 2).
15. Change without regulatory effect amending subsections (a) and (b)(2) filed 1-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 4).
§3394.7. Application and Documentation Requirements for the Enhanced Fleet Modernization Program.
Note     •     History

In order to participate in the Enhanced Fleet Modernization Program, the applicant shall meet the requirements pursuant to Title 13, Chapter 13, Article 2, California Code of Regulations, submit a completed application, 08_022 CAP/APP (11/10), which is hereby incorporated by reference, and required documentation to the Department or its designee with original signature(s).
NOTE

Authority cited: Sections 44001.5 and 44125, Health and Safety Code; and Section 9882, Business and Professions Code. Reference: Section 44126, Health and Safety Code.
HISTORY

1. New section filed 7-30-2010 as an emergency; effective 7-30-2010. Emergency regulation shall become operative on the effective date of the Air Resources Board's AB 118 Enhanced Fleet Modernization Program regulations, 13 CCR division 3, chapter 13, sections 2620-2630. A Certificate of Compliance must be transmitted to OAL by 1-26-2011 or emergency language will be repealed by operation of law on the following day (Register 2010, No. 31).
2. Certificate of Compliance as to 7-30-2010 order, including amendment of section, transmitted to OAL 11-30-2010 and filed 1-11-2011 (Register 2011, No. 2).
3. Change without regulatory effect amending section filed 1-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 4).
§3394.40. Authority to Issue Citations and Fines for Unlicensed Practice.
Note     •     History

The bureau chief or his/her designee is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and fines for violations by any unlicensed person who is acting in the capacity of a licensee or registrant. 
NOTE

Authority cited: Section 9882, Business and Professions Code. Reference: Sections 125.9, 148, 149 and 302(d), Business and Professions Code.
HISTORY

1. New article 11.2 (sections 3394.40-3394.46) and section filed 9-27-2011; operative 10-27-2011 (Register 2011, No. 39).
§3394.41. Citation Format.
Note     •     History

A citation shall be issued whenever any fine is levied or any order of abatement is issued. Each citation shall be in writing and shall describe with particularity the nature and facts of each violation, including a reference to the statute(s) and/or regulation(s) alleged to have been violated. The citation shall inform the cited person of the right to contest the citation. The citation shall be served upon the cited person personally or by registered mail pursuant to Section 11505(c) of the Government Code.
NOTE

Authority cited: Section 9882, Business and Professions Code. Reference: Sections 125.9, 148, 149 and 302(d), Business and Professions Code; Section 11505(c), Government Code.
HISTORY

1. New section filed 9-27-2011; operative 10-27-2011 (Register 2011, No. 39).
§3394.42. Citations for Unlicensed Practice.
Note     •     History

The bureau chief or his/her designee is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and fines against persons, as defined in Section 302(d) of Business and Professions Code, who are performing or who have performed services for which a license or registration is required under the statutes and regulations enforced by the Bureau of Automotive Repair. Each citation shall contain an order of abatement. Where appropriate, the bureau chief or his/her designee shall levy a fine against any unlicensed person who is acting in the capacity of a licensee or registrant. Sanctions authorized under Article 11.2 Administrative Citations and Fines for Unlicensed Activity shall be separate from and in addition to any other civil or criminal actions.
NOTE

Authority cited: Section 9882, Business and Professions Code. Reference: Sections 125.9, 148, 149 and 302(d), Business and Professions Code.
HISTORY

1. New section filed 9-27-2011; operative 10-27-2011 (Register 2011, No. 39).
§3394.43. Fine Amounts for Unlicensed Practice.
Note     •     History

(a) The bureau may use the authority pursuant to Business and Professions Code section 148, to issue a citation to a person with an expired license or registration. The bureau shall first issue an order of abatement without a fine that shall contain, but is not limited to the following:
(1) Information that the licensee shall immediately cease all work and/or any work in progress that requires a valid license or registration.
(2) Information that license renewal fee and any delinquency or other fees must be fully paid within 30 calendar days, after which time the bureau may assess fines pursuant to Business and Professions Code section 148.
(3) Notice that continuing to operate without a valid license or registration may result in citation, fine, and/or other disciplinary action. 
(b) The bureau may assess an administrative fine to an unlicensed person acting in the capacity of a licensee or registrant that has not applied for and obtained a valid license. 
(c) The bureau may assess administrative fines of up to five thousand dollars ($5,000) for each violation in addition to any criminal penalties. The bureau shall base its assessment and amount of the fine on the following circumstances:
(1) The nature, gravity, severity, and seriousness of the violation.
(2) The persistence of the violation.
(3) The good faith or willfulness of the violator to cooperate with the bureau.
(4) The history of previous violations by that violator, including the commission of numerous and repeated violations.
(5) The failure to perform work for which money was received.
(6) The making of any false or misleading statement in order to induce a person to authorize repair work or pay money.
(7) The failure to make restitution to consumers affected by the violation.
(8) The extent to which the violator has mitigated or attempted to mitigate any damage or injury caused by the violation.
(9) The degree of incompetence or negligence in the performance of duties and responsibilities.
(10) The purposes and goals of this chapter and other matters as may be appropriate.
NOTE

Authority cited: Section 9882, Business and Professions Code. Reference: Sections 125, 125.9, 148, 149 and 302(d), Business and Professions Code.
HISTORY

1. New section filed 9-27-2011; operative 10-27-2011 (Register 2011, No. 39).
§3394.44. Compliance with Citation/Order of Abatement.
Note     •     History

(a) If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, the cited person may request an extension of time in which to complete the correction from the bureau chief. Such a request shall be in writing and made within the time set forth for abatement. 
(b) If a citation is not contested, or if the citation is contested and the cited person does not prevail, failure to abate the violation or to pay the assessed fine within the time allowed shall constitute a violation and a failure to comply with the citation or order of abatement. 
(c) Failure to timely comply with an order of abatement or pay an assessed fine may result in disciplinary action being taken by the bureau or other appropriate judicial action being taken against the cited person.
(d) If a fine is not paid after a citation has become final, the fine shall be added to the cited person's license or registration renewal fee. A license or registration shall not be renewed without payment of the renewal fee and fine.
(e) Nothing in this section shall be construed as permission for any person to operate or continue to operate without a valid license or registration.
NOTE

Authority cited: Section 9882, Business and Professions Code. Reference: Sections 125.9, 148, 149 and 302(d), Business and Professions Code. 
HISTORY

1. New section filed 9-27-2011; operative 10-27-2011 (Register 2011, No. 39).
§3394.45. Contested Citations and Request for a Hearing or Informal Citation Conference.
Note     •     History

(a) In addition to requesting an administrative hearing as provided for in subdivision (b)(4) of Section 125.9 of Business and Professions Code, the cited person may request an informal conference to review the acts charged in the citation. A request for an informal conference shall be made in writing, within ten (10) days after service of the citation, to the bureau chief or his/her designee.
(b) The bureau chief or his/her designee shall hold, within sixty (60) days from the receipt of the request, an informal conference with the cited person. At the conclusion of the informal conference, the bureau chief or his/her designee may affirm, modify or dismiss the citation, including any fine levied, order of abatement or order of correction issued. The bureau chief or his/her designee shall state in writing the reasons for his or her action and transmit within fifteen (15) days a copy of his or her findings and decision to the cited person. Unless an administrative hearing as provided for in subdivision (b)(4) of Section 125.9 of Business and Professions Code was requested in a timely manner, an informal conference decision which affirms the citation shall be deemed to be a final order with regard to the citation issued, including the fine levied and the order of abatement.
(c) If the citation, including any fine levied or order of abatement or correction, is modified, the citation originally issued shall be considered withdrawn and a new citation issued. If the cited person desires a hearing to contest the new citation, he or she shall make a request in writing, within ten (10) days of receipt of the informal conference decision, to the bureau chief or his/her designee. The hearing shall be conducted as provided for in subdivision (b)(4) of Section 125.9 of Business and Professions Code. A cited person may not request an informal conference for a citation which has been modified following an informal conference. 
NOTE

Authority cited: Section 9882, Business and Professions Code. Reference: Sections 125.9, 148, 149 and 302(d), Business and Professions Code.
HISTORY

1. New section filed 9-27-2011; operative 10-27-2011 (Register 2011, No. 39).
§3394.46. Disconnection of Telephone Service.
Note     •     History

Nothing in this section shall preclude the bureau from using the provisions of Section 149 of Business and Professions Code in addition to any citation issued to any person.
NOTE

Authority cited: Section 9882, Business and Professions Code. Reference: Sections 125.9, 148, 149 and 302(d), Business and Professions Code.
HISTORY

1. New section filed 9-27-2011; operative 10-27-2011 (Register 2011, No. 39).
Article 12. Miscellaneous
§3395. Criteria for Rehabilitation.
Note     •     History

(a) When considering the denial of a license or a registration under Section 480 of the Business and Professions Code, the bureau, in evaluating the rehabilitation of the applicant, will consider the following criteria:
(1) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the Business and Professions Code.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(5) Evidence, if any, of rehabilitation submitted by the applicant.
(b) When considering the suspension or revocation of a license or a registration on the grounds that the licensee or registrant has been convicted of a crime, the bureau, in evaluating the rehabilitation of such person, will consider the following criteria:
(1) Nature and severity of the act(s) or offense(s).
(2) Total criminal record.
(3) The time that has elapsed since commission of the act(s) or offense(s).
(4) Whether the licensee or registrant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the licensee or registrant.
(5) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(6) Evidence, if any, of rehabilitation submitted by the licensee or registrant.
(c) When considering a petition for reinstatement of a license or a registration, the bureau shall evaluate evidence of rehabilitation submitted by the petitioner, considering those criteria specified in subsection (b).
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 475, 480, 482 and 9884.19, Business and Professions Code.
HISTORY

1. New Article 11 (Sections 3395 and 3396) filed 7-24-73 as an emergency; effective upon filing (Register 73, No. 30).
2. Certificate of Compliance filed 9-14-73 (Register 73, No. 37). 3. Amendment filed 5-8-75; effective thirtieth day thereafter (Register 75, No. 19).
4. Amendment filed 12-23-76; effective thirtieth day thereafter (Register 76, No. 52).
5. Renumbering of former Article 11 (Section 3395) to new Article 10 (Sections 3395-3395.3), and amendment of Section 3395 filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
6. Renumbering of former article 10 to new article 11 (sections 3395-3395.3) filed 4-23-97 as an emergency; operative 4-23-97 (Register 97, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 4-23-97 order transmitted to OAL 8-19-97 and filed 9-30-97 (Register 97, No. 40).
8. Renumbering of former article 11 to new article 12 (sections 3395-3395.4) filed 12-3-98 as an emergency; operative 12-3-98 (Register 98, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-2-99 or emergency language will be repealed by operation of law on the following day.
9. Renumbering of former article 11 to new article 12 (sections 3395-3395.4) refiled 3-30-99 as an emergency; operative 4-2-99 (Register 99, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-99 or emergency language will be repealed by operation of law on the following day.
. 10. Renumbering of former article 11 to new article 12 (sections 3395-3395.4) refiled 7-26-99 as an emergency; operative 8-2-99 (Register 99, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-99 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 7-26-99 order transmitted to OAL 11-18-99 and filed 1-3-2000 (Register 2000, No. 1).
§3395.1. Conditions to Insure Future Compliance.
Note     •     History

A person whose registration has previously been refused validation or who has committed acts prohibited by Section 9884.7 of the Act shall, as a condition to any subsequent consideration of an application for validation of his registration, submit evidence which is deemed to be sufficient to establish his rehabilitation. The evidence of rehabilitation shall be submitted in addition to any other information which may be required by the bureau.
NOTE

Authority cited: Sections 482, 9882 and 9884.2, Business and Professions Code. Reference: Sections 482, 486 and 9884.2, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 3352 to Section 3395.1 filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3395.2. Criteria for Denial, Suspension, or Revocation of a Registration.
Note     •     History

A crime or act shall be considered to be substantially related to the qualifications, functions, or duties of a registrant if to a substantial degree it shows that the registrant is presently or potentially unfit to perform the functions authorized by the registration in a manner consistent with the public health, safety, or welfare. Such crimes or acts shall include, but not be limited to, any violation of the provisions of Article 3 of Chapter 20.3 of Division 3 of the Business and Professions Code.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Sections 475-491, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former Section 3357 to Section 3395.2 filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3395.3. Manufacture, Sale, or Installation of Defective Vehicle Parts.
Note     •     History

Any violation of Section 12000 through 12002 of the Vehicle Code shall be cause for disciplinary action against the registration of an automotive repair dealer.
NOTE

Authority cited: Sections 9882 and 9884.19, Business and Professions Code. Reference: Section 9884.7, Business and Professions Code; and Sections 12000-12002, Vehicle Code.
HISTORY

1. Renumbering and amendment of former Section 3374.1 to Section 3395.3 filed 2-22-83; effective thirtieth day thereafter (Register 83, No. 9).
§3395.4. Disciplinary Guidelines.
Note     •     History

In reaching a decision on a disciplinary action under the Administrative Procedure Act (Government Code Section 11400 et seq.), including formal hearings conducted by the Office of Administrative Hearing, the Bureau of Automotive Repair shall consider the disciplinary guidelines entitled “Guidelines for Disciplinary Penalties and Terms of Probation” [May, 1997] which are hereby incorporated by reference. The “Guidelines for Disciplinary Penalties and Terms of Probation” are advisory. Deviation from these guidelines and orders, including the standard terms of probation, is appropriate where the Bureau of Automotive Repair in its sole discretion determines that the facts of the particular case warrant such deviation--for example: the presence of mitigating factors; the age of the case; evidentiary problems.
NOTE

Authority cited: Section 9882, Business and Professions Code; and Sections 11400.20 and 11400.21, Government Code. Reference: Sections 11400.20, 11400.21 and 11425.50(e), Government Code.
HISTORY

1. New section filed 7-7-97; operative 7-7-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 28).
Division 33.1. Arbitration Certification Program
Article 1. 
§3396.1. Definitions.
Note     •     History

(a) “Applicable law” means the portions of the Song-Beverly Consumer Warranty Act (Civil Code Sections 1790-1795.7) that pertain to express and implied warranties and remedies for breach; the portions of Division 2 (commencing with Section 2101) of the Commercial Code that pertain to express and implied warranties and remedies for breach; the portions of Sections 43204, 43205 and 43205.5 of the Health and Safety Code that pertain to automobile emissions warranties; Chapter 9 of Division 1 of the Business and Professions Code, pertaining to certification of dispute resolution processes, and this subchapter. 
(b) “Applicant” means a manufacturer seeking certification of an arbitration program sponsored and used by the manufacturer, or an arbitration program and a manufacturer jointly seeking certification of an arbitration program used by the manufacturer. 
(c) “Arbitration program” means a “dispute resolution process,” as that term is used in Civil Code Sections 1793.22(c)-(d) and 1794(e), and Business and Professions Code Section 472, established to resolve disputes involving written warranties on new motor vehicles. The term includes an “informal dispute settlement procedure,” as that term is used in Section 703.1(e) of Title 16 of the Code of Federal Regulations, established to resolve disputes involving written warranties on new motor vehicles. The term includes an “informal dispute settlement mechanism,” as that term is used in 15 U.S.C. 2310(a)(1), and an “informal dispute settlement procedure,” as that term is used in Section 703.1(e) of Title 16 of the Code of Federal Regulations, established to resolve disputes involving written warranties on new motor vehicles. The term includes those components of a program for which the manufacturer has responsibilities under Article 2 of this subchapter.  
(d) “Arbitrator” means the person or persons within an arbitration program who actually decide disputes.
(e) “Arbitration Certification Program” means the Arbitration Certification Program of the Department of Consumer Affairs. 
(f) “Certification” means a determination by the Arbitration Certification Program, made pursuant to this subchapter, that an arbitration program is in substantial compliance with Civil Code Section 1793.22(d), Chapter 9 of Division 1 of the Business and Professions Code, and this subchapter.
(g) “Consumer” means any individual who buys or leases a new motor vehicle from a person (including any entity) engaged in the business of manufacturing, distributing, selling, or leasing new motor vehicles at retail. The term includes a lessee for a term exceeding four months, whether or not the lessee bears the risk of the vehicle's depreciation. The term includes any individual to whom the vehicle is transferred during the duration of a written warranty or under applicable state law to enforce the obligations of the warranty. The name of the registered owner or class of motor vehicle registration does not by itself determine the purpose or use.
(h) “Days” means calendar days unless otherwise stated. 
(i) “Independent automobile expert” means an expert in automotive mechanics who is certified in the pertinent area by the National Institute for Automotive Service Excellence (NIASE). The expert may be a volunteer, or may be paid by the arbitration program or the manufacturer for his or her services, but in all other respects shall be in both fact and appearance independent of the manufacturer. 
(j) “Manufacturer” means a new motor vehicle manufacturer, manufacturer branch, distributor or distributor branch, required to be licensed pursuant to Article 1 (commencing with Section 11700) of Chapter 4 of Division 5 of the Vehicle Code, or any other person (including any entity) actually making a written warranty on a new motor vehicle. 
(k) “New motor vehicle” means a new motor vehicle which is used or bought for use primarily for personal, family or household purposes. “New motor vehicle” also means a new motor vehicle with a gross vehicle weight under 10,000 pounds that is bought or used primarily for business purposes by a person, including a partnership, limited liability company, corporation, association, or any other legal entity, to which not more than five motor vehicles are registered in this state. The term includes a dealer-owned vehicle, a “demonstrator,” and any other motor vehicle sold or leased with a manufacturer's new car warranty. The term does not include a motorcycle, or a motor vehicle which is not registered under the Vehicle Code because it is to be operated or used exclusively off the highways. The term “new motor vehicle” also includes the chassis and chassis cab of the motor home, and that portion of a motor home devoted to its propulsion, but does not include any portion of a motor home designed, used or maintained primarily for human habitation. A “motor home” is a vehicular unit built on, or permanently attached to, a self-propelled motor vehicle chassis, chassis cab or van, which becomes an integral part of the completed vehicle, designed for human habitation for recreational or emergency occupancy. A “demonstrator” is a vehicle assigned by a dealer for the purpose of demonstrating qualities and characteristics common to vehicles of the same or similar model and type. 
(l) “Nonconformity” means any defect, malfunction or failure to conform to the written warranty. 
(m) “Substantial nonconformity” means any defect, malfunction or failure to conform to the written warranty which substantially impairs the use, value or safety of the new motor vehicle to the consumer. 
(n) “Written warranty” means either: 
(1) any written affirmation of fact or written promise made by a manufacturer to a consumer in connection with the sale or lease of a new motor vehicle which relates to the nature of the material or workmanship and affirms or promises that such material or workmanship is defect-free or will meet a specified level of performance over a specified period of time;
(2) any undertaking in writing made by a manufacturer to a consumer in connection with the sale or lease of a new motor vehicle to refund, repair, replace, or take other remedial action with respect to the vehicle in the event that the vehicle fails to meet the specifications set forth in the undertaking, which written affirmation, promise or undertaking becomes part of the basis of the bargain. 
NOTE

Authority cited: Sections 472, et seq., 472.1(b) and 472.4(f), Business and Professions Code. Reference: Sections 1791(a), (b) and (g), 1791.2, 1793.2(a)-(d), 1793.22(b), 1794 and 1795.4, Civil Code; Sections 472(b), 472.1(c) and 472.2(b), Business and Professions Code; 15 USC 2304(a); and 16 CFR Sections 701(d), 703.1(f) and (g). 
HISTORY

1. New subchapter 2 (sections 3396.1-3399.6, not consecutive) filed 1-3-90; operative 2-2-90 (Register 90, No. 3). For history of former subchapter 2, see Registers 89, No. 7 and 86, No. 13. 
2. Change without regulatory effect adopting new article 1 and amending subsections (a), (c), (e), (f) and Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
3. Change without regulatory effect adding new Division 33.1 and deleting Chapter 2 heading filed 3-31-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Change without regulatory effect amending division heading and subsections (e) and (f) filed 1-25-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 5).
5. Editorial correction of subsection (g) (Register 99, No. 13).
6. Change without regulatory effect amending subsection (k) filed 3-26-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 13).
7. Change without regulatory effect amending subsection (k) filed 1-25-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 4).
§3397. Scope of Regulations.
Note     •     History

NOTE

Authority cited: Sections 9889.31(a) and 9889.33, Business and Professions Code. Reference: Sections 9889.30 and 9889.32, Business and Professions Code.
HISTORY

1. New Subchapter 3 (Articles 1-3, Sections 3397-3397.43, not consecutive) filed 12-14-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 51).
2. Repealer filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
Article 2. Minimum Standards for Manufacturers
§3397.1. General Duties.
Note     •     History

(a) The manufacturer shall fund and staff the arbitration program at a level sufficient to ensure fair and expeditious resolution of all disputes.
(b) The manufacturer shall take all steps necessary to ensure that the arbitration program, and its arbitrators and staff, are sufficiently insulated from the manufacturer and the sponsor (if other than the manufacturer), so that the decisions of the arbitrators and the performance of the staff are not influenced by either the manufacturer or the sponsor. 
(c) The manufacturer shall comply with any reasonable requirements imposed by the arbitration program to fairly and expeditiously resolve warranty disputes, and shall perform all obligations to which it has agreed concerning the handling and resolution of disputes. 
(d) The manufacturer shall comply with the provisions of both this part and Article 3 of this subchapter insofar as they impose obligations on the manufacturer. 
NOTE

Authority cited: Sections 472.1(b) and (c) and 472.4(f), Business and Professions Code. Reference: 16 CFR Sections 703.2(f)(3) and (h), 16 CFR 703.3(a) and (b); Section 1793.22(d)(1), Civil Code; and Sections 472.1(b) and 472.4(f), Business and Professions Code. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). For prior history, see Register 88, No. 37. 
2. Change without regulatory effect amending Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
§3397.2. Disclosures by Manufacturer to Consumers.
Note     •     History

(a) The manufacturer shall include together, either in its written warranty or in a separate section of materials accompanying each vehicle sold or leased in California, in clear and readily understood language, the following information about the manufacturer's arbitration program and how to use it: 
(1) Either
(A) a form addressed to the arbitration program containing spaces requesting the information which the program may require for prompt resolution of warranty disputes, or 
(B) a telephone number of the arbitration program which consumers may use without charge. 
(2) The name and address of the arbitration program. 
(3) A brief description of the arbitration program's procedures and how to use them. The Arbitration Certification Program may reproduce such materials to inform the public about each program. 
(4) The time limits adhered to by the arbitration program. 
(5) The types of information which the arbitration program may require for prompt resolution of warranty disputes. 
(6) If applicable, a clear statement explaining any requirement imposed by the manufacturer that the consumer resort to the arbitration program before invoking rights or remedies conferred by 15 USC Section 2310 or Civil Code Section 1793.22(b), together with a disclosure that the consumer is not required to resort to the program if the consumer chooses to seek redress by pursuing rights and remedies not created by those laws.
(7) Any limits on the scope of the decision, if authorized by Section 3398.10(d). 
(8) A statement that if the consumer accepts the decision of the arbitration program, the manufacturer will be bound by the decision, and will comply with the decision within a reasonable time not to exceed 30 days after the manufacturer receives notice of the consumer's acceptance of the decision. 
(9) A statement that the consumer may reject the decision and go to court, and that the decision and any findings will be admissible in any court action. 
(b) The form described in subdivision (a)(1)(A) of this section may request any information reasonably necessary to decide the dispute including: 
(1) The consumer's name, address and telephone number. 
(2) The brand name and vehicle identification number (VIN) of the vehicle. 
(3) The approximate date of the consumer's acquisition of the vehicle.
(4) The name of the selling dealer or the location where the vehicle was acquired. 
(5) The current mileage. 
(6) The approximate date and mileage at the time the problem was first brought to the attention of the manufacturer or any of its repair facilities.
(7) A brief statement of the nature of the problem and whether the problem is continuing. 
(8) The names if known of any other dealers where the vehicle was serviced. 
(9) A statement of the relief that is sought. 
NOTE

Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: 16 CFR Sections 703.2(b)(3), 703.2(c)(1)-(5), 703.5(e)(1); Sections 1793.22(c) and 1793.22(d)(1)-(3), Civil Code. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). For prior history, see Register 88, No. 37. 
2. Change without regulatory effect amending subsections (a)(6) and Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
3. Change without regulatory effect amending subsection (a)(3) filed 1-25-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 5).
§3397.3. Resolution of Disputes Directly by Manufacturer.
Note     •     History

(a) The manufacturer shall take steps reasonably calculated to make consumers aware of the arbitration program's existence at the time consumers experience warranty disputes. 
(b) Nothing contained in this subchapter shall limit the manufacturer's option to encourage consumers to seek redress directly from the manufacturer as long as the manufacturer does not expressly require consumers to seek redress directly from the manufacturer. The manufacturer shall proceed fairly and expeditiously to attempt to resolve all disputes submitted directly to the manufacturer. 
(c) Whenever a dispute is submitted directly to the manufacturer, the manufacturer shall, within a reasonable time, decide whether and to what extent it will attempt to satisfy the consumer, and shall inform the consumer of its decision. In its notification to the consumer of its decision, the manufacturer shall include the information specified in subdivision (a) of Section 3397.2. 
(d) Disputes settled after the arbitration program has received notification of the dispute shall be subject to Sections 3398.9(b) and 3398.12(b).
NOTE

Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: 16 CFR Sections 703.2(d) and (e), 703.5(d)(4), 703.5(h); and Section 1793.22(d)(1), Civil Code. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
§3397.4. Manufacturer's Duty to Aid in Investigation.
Note     •     History

(a) The manufacturer shall respond fully and promptly to reasonable requests by the arbitration program for information relating to disputes.
(b) The manufacturer shall fully and promptly respond to reasonable requests by the arbitration program for any pertinent documents in its possession or under its control, such as: 
(1) technical service bulletins; 
(2) recall or parts replacement notices; 
(3) U.S. Department of Transportation publications;
(4) repair records for a particular vehicle; and 
(5) any other documents which it is reasonable that the manufacturer should provide. 
NOTE

Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: 16 CFR Sections 703.2(f)(1), 703.2(h) and 703.5(c); and Section 1793.22(d)(1), Civil Code. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
§3397.5. Manufacturer's Duties Following Decision.
Note     •     History

(a) The decision shall be binding on the manufacturer if the consumer elects to accept the decision. 
(b) The manufacturer shall perform any decision of an arbitration program within the time prescribed by the decision, which shall be a reasonable time not to exceed 30 days after the manufacturer is notified that the consumer has accepted the decision. Delays caused by reasons beyond the control of the manufacturer or its representatives, including any delay directly attributable to any act or omission of the consumer, shall extend the period for performance, but only while the reason for the delay continues. 
(c) When the decision of the arbitration program provides that the nonconforming motor vehicle be replaced or that restitution be made to the consumer, and the decision is subject to Civil Code Section 1793.2(d), the manufacturer shall either replace the vehicle if the consumer consents to this remedy or make restitution, and shall do so in accordance with Civil Code Section 1793.2(d)(2)(A), (B) and (C). 
(d) The manufacturer shall not attempt to negotiate a settlement with the consumer between the time a decision of an arbitration program is disclosed to the manufacturer and the time the decision is disclosed to the consumer. 
NOTE

Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: Section 1793.2(d) and 1793.22(b), Civil Code. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
§3397.20. Education and Experience Requirements.
Note     •     History

NOTE

Authority cited: Sections 9889.31(a) and 9889.32(a), Business and Professions Code. Reference: Section 9889.32(a), Business and Professions Code.
HISTORY

1. Repealer filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
§3397.30. Mechanic Requirements.
Note     •     History

NOTE

Authority cited: Sections 9889.31(a) and 9889.33, Business and Professions Code. Reference: Sections 9889.30, 9889.32(a), 9889.33(a)(2) and (3), 9889.36 and 9889.46(2), Business and Professions Code. 
HISTORY

1. Editorial correction of printing error (Register 84, No. 32).
2. Repealer filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
§3397.31. Financial Responsibility.
Note     •     History

NOTE

Authority cited: Sections 9889.31(a) and 9889.32, Business and Professions Code. Reference: Sections 9889.32(b) and 9889.36, Business and Professions Code.
HISTORY

1. Repealer filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
§3397.32. Warranties.
Note     •     History

NOTE

Authority cited: Sections 9889.31, 9889.32 and 9889.33, Business and Professions Code. Reference: Sections 9889.32(c) and 9889.33(a)(1), Business and Professions Code.
HISTORY

1. Repealer filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
§3397.33. Customer Satisfaction.
Note     •     History

NOTE

Authority cited: Sections 9889.31(a), 9889.32 and 9889.33, Business and Professions Code. Reference: Sections 9889.32(d), 9889.33(b) and (c), 9889.38, 9889.39 and 9889.40, Business and Professions Code.
HISTORY

1. Repealer filed 8-24-88; operative 8-23-88 (Register 88, No. 37).
§3397.34. Repair Equipment.
Note     •     History

NOTE

Authority cited: Sections 9889.31(a), 9889.32 and 9889.33, Business and Professions Code. Reference: Sections 9889.31(a), 9889.32(e) and 9839.33(a), Business and Professions Code.
HISTORY

1. Editorial correction of printing error (Register 84, No. 32).
2. Repealer filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
§3397.35. Sublet Repairs.
Note     •     History

NOTE

Authority cited: Sections 9889.31, 9889.33 and 9884.9, Business and Professions Code. Reference: Sections 9889.33(a)(3), (4) and 9889.36, Business and Professions Code.
HISTORY

1. Repealer filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
§3397.36. Other Standards.
Note     •     History

NOTE

Authority cited: Sections 9889.31, 9889.32 and 9889.33, Business and Professions Code. Reference: Sections 9889.31 and 9889.46, Business and Professions Code.
HISTORY

1. Repealer filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
§3397.37. Advertising.
Note     •     History

NOTE

Authority cited: Sections 9889.31, 9889.32 and 9889.33, Business and Professions Code. Reference: Sections 9889.33(c) and 9889.46, Business and Professions Code.
HISTORY

1. Repealer filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
§3397.40. Application Form and Fee.
Note     •     History

NOTE

Authority cited: Section 9889.33, Business and Professions Code. Reference: Sections 9889.33(a) and 9889.44, Business and Professions Code.
HISTORY

1. Repealer filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
§3397.41. Notice to Employees.
Note     •     History

NOTE

Authority cited: Section 9889.33, Business and Professions Code. Reference: Section 9889.33(a), Business and Professions Code.
HISTORY

1. Repealer filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
§3397.42. Onsite Inspection.
Note     •     History

NOTE

Authority cited: Section 9889.33, Business and Professions Code. Reference: Sections 9889.33(a), (c), (e), 9889.39 and 9889.40, Business and Professions Code.
HISTORY

1. Repealer filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
§3397.43. Certification and Recertification Procedures.
Note     •     History

NOTE

Authority cited: Section 9889.33, Business and Professions Code. Reference: Sections 9889.31(b), 9889.33(a), (b), (c), 9889.35, 9889.39 and 9889.44, Business and Professions Code; and Government Code 15376.
HISTORY

1. Repealer filed 8-24-88; operative 9-23-88 (Register 88, No. 37).
Article 3. Minimum Standards for Arbitration Programs
§3398.1. Organization of Arbitration Program
Note     •     History

(a) The arbitration program shall be funded and competently staffed at a level sufficient to ensure fair and expeditious resolution of all disputes. 
(b) The arbitration program shall not charge consumers any fee for use of the program. 
(c) The manufacturer, and the sponsor of the arbitration program (if other than the manufacturer), shall take all steps necessary to ensure that the arbitration program, and its arbitrators and staff, are sufficiently insulated from the manufacturer and the sponsor, so that the decision of the arbitrators and the performance of the staff are not influenced by either the manufacturer or the sponsor. 
(d) Steps necessary to insulate the arbitration program from influence by the manufacturer or sponsor shall include, at a minimum: 
(1) committing funds in advance, 
(2) basing personnel decisions solely on merit, and 
(3) not assigning conflicting manufacturer or sponsor duties to program staff persons. 
(e) Steps necessary to insulate the arbitration program from influence by the manufacturer or sponsor also shall include steps necessary to insulate the program's arbitrators from influence. At the very least, no employee, agent or dealer of the manufacturer shall communicate directly or otherwise participate substantively regarding the merits of any dispute with the arbitrator who is to decide that dispute, except: 
(1) the information that is communicated is disclosed to the consumer and the consumer is afforded an opportunity to explain or rebut the information and to submit additional information before a decision is rendered, or 
(2) as permitted by Section 3398.8. 
(f) The arbitration program shall impose any other reasonable requirements necessary to ensure that the members and staff act fairly and expeditiously in each dispute. 
(g) An arbitration program shall maintain both the fact and appearance of impartiality. 
NOTE

Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: 16 CFR Sections 703.3(a), (b) and (c); and Section 1793.22(d)(1), (6) and (8), Civil Code. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
3. Change without regulatory effect amending subsection (c) filed 3-31-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§3398.2. Qualification, Selection and Training of Arbitrators.
Note     •     History

(a) Arbitrators shall be persons interested in the fair and expeditious resolution of consumer disputes. 
(b) No arbitrator deciding a dispute shall be a party to the dispute, or an employee or agent of a party other than for purposes of deciding disputes. 
(c) No arbitrator deciding a dispute shall be a person who is or may become a party in any legal action, including but not limited to a class action in which the arbitrator is a representative of the class that relates to the product or complaint in dispute, or an employee or agent of such person other than for purposes of deciding disputes. 
(d) For purposes of subdivisions (b) and (c) of this section, a person shall not be considered a “party” solely because he or she acquires or owns an interest in a party solely for investment, and the acquisition of ownership of an interest which is offered to the general public shall be prima facie evidence of its acquisition or ownership solely for investment. 
(e) When one or two arbitrators are deciding a dispute, all shall be persons having no direct involvement in the manufacture, distribution, sale or service of any product. When three or more arbitrators are deciding a dispute, at least two-thirds shall be persons having no direct involvement in the manufacture, distribution, sale or service of any product. “Direct involvement” shall not include acquiring or owning an interest solely for investment, and the acquisition or ownership of an interest which is offered to the general public shall be prima facie evidence of its acquisition or ownership solely for investment. 
(f) A person who is otherwise qualified to serve as an arbitrator under subdivisions (a) through (e) of this section shall not be disqualified solely because the person is a dealer of the manufacturer. 
(g) Where arbitrators are selected from a list of arbitrators, selection shall be on a random basis. 
(h) The arbitration program shall provide each arbitrator who is assigned to decide disputes with the text and an explanation of the applicable law (Section 3396.1(a)). 
(i) The arbitration program shall provide each arbitrator with relevant training, including periodic updates and refresher courses, which shall include training in the principles of arbitration; training in the applicable law including the rights and responsibilities of arbitrators under this subchapter (including the right to request an inspection or other action under Section 3398.5(f)); and training in what a decision must and may include (Sections 3398.9 and 3398.10). 
(j) An arbitrator who does not meet the qualifications in this section or who cannot demonstrate both the fact and appearance of fairness and impartiality in deciding disputes shall disqualify himself or herself. 
NOTE

Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: 16 CFR Sections 703.3(a) and (b) and 703.4(a), (b) and (c); and Section 1793.22(d)(1), (4) and (8), Civil Code. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
§3398.3. Written Operating Procedures.
Note     •     History

(a) The arbitration program shall establish written operating procedures which shall include all of the arbitration program's policies and procedures that implement the standards set forth in this subchapter. The written procedures shall be updated at reasonable intervals to reflect the procedures in effect. 
(b) The arbitration program shall provide one copy of the written operating procedures without charge to a consumer who (1) has notified the program of a dispute and (2) either has requested more information about the arbitration program or has requested a copy of the program's written operating procedures, and also to each of the program's arbitrators. 
(c) The arbitration program shall provide one copy of the written operating procedures for a reasonable charge to any other person upon request. 
NOTE

Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: 16 CFR Section 703.5(a); and Section 1793.22(d)(1), Civil Code. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
§3398.4. Duties on Receipt of Dispute.
Note     •     History

(a) Upon notification of a dispute, including a dispute over which the program believes it does not have jurisdiction, the arbitration program shall immediately notify both the manufacturer and the consumer of its receipt of the dispute. 
(b) Notification shall be deemed to have occurred when the arbitration program has received notice of the consumer's name and address, the brand name and vehicle identification number of the vehicle (if requested by the program), and a statement of the nature of the problem or other complaint. 
(c) At the time the arbitration program notifies the consumer of its receipt of the dispute, the program shall provide the consumer with the following information in clear and readily understood language: 
(1) The information specified in Section 3397.2(a) on how to use the arbitration program. 
(2) A statement of any other steps that the consumer must take, including the submission of additional information or materials, to enable the arbitration program to investigate and decide the dispute. 
(3) A statement of the kinds of additional information and materials, such as copies of repair invoices, reports of inspection, technical service bulletins and other relevant information and documents, that the arbitration program will consider in investigating and deciding the dispute, and of the consumer's right to provide additional information or materials. 
(4) A statement of the consumer's right to obtain a copy of the arbitration program's written operating procedures upon request and without charge. 
(5) A description of the steps the arbitration program will take and the time periods within which those steps normally are taken. 
(6) Any limits on the scope of the decision, if authorized by Section 3398.10(d). 
(7) A toll-free telephone number to obtain information on the status of the dispute. 
(d) If authorized by the arbitration program's written operating procedures (Section 3398.3(a)), the staff of the arbitration program may decide that the program does not have jurisdiction to decide a dispute. In this event, the program: 
(1) shall explain to the consumer in writing the reasons that the program has so decided, 
(2) shall inform the consumer that an arbitrator will consider a written appeal of this decision made by the consumer within 30 days after the date the written notification of the decision was transmitted to the consumer, and 
(3) shall explain how to file a written appeal. 
NOTE

Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: 16 CFR Sections 703.4(b), 703.5(c) and (e)(1); and Section 1793.22(d)(1), Civil Code. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
§3398.5. Investigation of Facts.
Note     •     History

(a) The arbitration program shall investigate, gather and organize all information necessary for a fair and expeditious decision in each dispute.
(b) The arbitration program shall not require from any party any information not reasonably necessary to decide the dispute. 
(c) When the consumer's complaint, or the manufacturer's response, or any evidence gathered by or submitted to the arbitration program, raises any of the following issues, the program shall investigate those issues: 
(1) Whether the program has jurisdiction to decide the dispute. 
(2) Whether there is a nonconformity (Section 3396.1(1)). 
(3) Whether the nonconformity is a substantial nonconformity (Section 3396.1(m)). 
(4) The cause or causes of a nonconformity. 
(5) Whether the causes of a nonconformity include unreasonable use of the vehicle. 
(6) The number of repair attempts. 
(7) The time out of service for repair. 
(8) Whether the manufacturer has had a reasonable opportunity to repair the vehicle. 
(9) Factors that may affect the reasonableness of the number of repair attempts. 
(10) Other factors that may affect the consumer's right to a replacement of the vehicle or restitution under Civil Code Section 1793.2(d)(2).
(11) Facts that may give rise to a presumption under Civil Code Section 1793.2(d)(2). 
(12) Factors that may rebut any presumption under Civil Code Section 1793.22(b). 
(13) Whether a further repair attempt is likely to remedy the nonconformity. 
(14) The existence and amount of any incidental damages, including but not limited to sales taxes, license fees, registration fees, other official fees, prepayment penalties, early termination charges, earned finance charges, and repair, towing and rental costs, actually paid, incurred or to be incurred by the consumer. 
(15) Factors that may affect the manufacturer's right to an offset for mileage under Civil Code Section 1793.2(d). 
(16) Facts for determining the amount of any offset for mileage under Civil Code Section 1793.2(d) if an offset is appropriate. 
(17) Factors that may affect any other remedy under the applicable law. 
(18) Any other issue that is relevant to the particular dispute. 
(d) The investigation required by this section may be conducted by the arbitrator or arbitrators who decide the dispute, or by other program staff, or by the arbitrator or the arbitrators and other program staff. 
(e) If the arbitration program determines that the program does not have jurisdiction to decide the dispute, the program's investigation of the dispute need not include other issues. 
(f) The arbitrator or a majority of the arbitrators may at any time request of the arbitration program any or all of the following at no cost to the consumer: 
(1) An inspection and written report on the condition of the vehicle by an independent automobile expert (Section 3396.1(i)). 
(2) Consultation with any other person or persons knowledgeable in the technical, commercial or other areas relating to the vehicle, provided that the consultation does not violate Sections 3398.1(c) and (e). 
(3) An opportunity for the arbitrator, or one or more of the arbitrators, to personally inspect and test drive the vehicle. 
(4) Further investigation and report by the arbitration program on any issue relevant to a fair and expeditious decision. 
(g) The staff of the arbitration program may arrange for a visual inspection and test drive of the vehicle or an inspection and report on the vehicle by an independent automotive expert or a consultation with any other expert at no cost to the consumer. 
NOTE

Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: 16 CFR Sections 703.4(b), 703.5(c); and Sections 1793.22(d)(1), (6) and (7), Civil Code. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending subsection (c)(12) and Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
§3398.6. Resolution of Contradictory Information.
Note     •     History

(a) When information which will or may be used in the decision, submitted by one party or by a consultant, independent automobile expert or any other source, tends to contradict facts submitted by the other party, the arbitration program shall clearly, accurately, and completely disclose to both parties the contradictory information (and its source), and shall provide to both parties an opportunity to explain or rebut the information and to submit additional information or materials. 
(b) If it appears to the arbitrator at a meeting held to decide a dispute that one party to the dispute or a consultant, independent automobile expert or any other person has submitted information that contradicts facts submitted by the other party (whether submitted prior to the meeting or at the meeting), and that this fact has not been disclosed to that other party, the arbitrator may (and at the request of the other party shall) defer any decision until the arbitration program has complied with subdivision (a) of this section and both parties have had a reasonable opportunity to explain or rebut the information and to submit additional information or materials. 
(c) The arbitration program shall develop and implement fair procedures by which any party may correct an error in the proceeding, provided that the other party has a reasonable opportunity to comment on the correction. 
(d) The time limit for deciding disputes (Section 3398.9(a)) shall not be extended during any exchange, rebuttal or explanation of contradictory information under subdivision (a) of this section, but the Arbitration Certification Program may take into account circumstances leading to reasonable delays. 
NOTE

Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: 16 CFR Sections 703.3(b), 703.5(c); and Section 1793.22(d)(1) and (8), Civil Code. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
3. Change without regulatory effect amending subsection (d) filed 1-25-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 5).
§3398.7. Meetings to Decide Disputes.
Note     •     History

(a) Meetings of the arbitrator or panel of arbitrators held to hear and decide disputes shall be open to observers on reasonable and nondiscriminatory terms. The identify of the parties and products involved in disputes need not be disclosed at these meetings. 
(b) The arbitration program shall give the consumer and the manufacturer at least five days advance notice of the date, time and location of any meeting at which their dispute will or may be decided. 
(c) The arbitration program shall furnish to each arbitrator, at least five days before the meeting, a copy of all of the program's records pertaining to the dispute that are available to the program at that time. Upon the Arbitration Certification Program's request, the program also shall furnish a copy of those records to the Arbitration Certification Program. 
(d) Upon request by the Arbitration Certification Program, the arbitration program shall notify the Arbitration Certification Program of the date, time and location of the meeting or meetings held to decide particular disputes or classes of disputes. 
(e) Only the arbitration program's staff and the arbitrator may participate in a meeting held to hear and decide disputes, except that the parties to the dispute or their representatives may make oral presentations or correct errors when permitted under Section 3398.8. 
(f) If a request is made under Section 3398.5(f), the meeting may be continued for a reasonable period not to exceed 30 days; the arbitration program, as part of its investigation of the facts (Section 3398.5(a)), shall take all steps reasonable and necessary to comply with the request, and shall gather and organize the resulting information for use by the arbitrator in deciding the dispute. 
NOTE

Authority cited: Sections 472.1(b) and (c) and 472.4(f), Business and Professions Code. Reference: 16 CFR Sections 703.2(h), 703.3(a)-(c), 703.5(c), 703.5(d)(1), 703.5(f) and 703.8(d); Section 472.4(c), Business and Professions Code; and Section 1793.22(d)(1), Civil Code. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
3. Change without regulatory effect amending subsections (c) and (d) filed 1-25-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 5).
§3398.8. Oral Presentations by Parties to Disputes.
Note     •     History

(a) The arbitration program may allow an oral presentation by a party to a dispute (or a party's representative) only if: 
(1) Both the manufacturer and the consumer expressly agree to the presentation. 
(2) Prior to the agreement, the arbitration program fully discloses to the consumer the following information: 
(A) That the presentation by either party will take place only if both parties so agree, but that if they agree, and one party fails to appear at the agreed upon time and place, the presentation by the other party may still be allowed. 
(B) That the arbitrator will decide the dispute whether or not an oral presentation is made. 
(C) The proposed date, time and place for the presentation. 
(D) A brief description of what will occur at the presentation, including the parties' rights to bring witnesses and/or counsel. 
(3) Each party has the right to be present during the other party's oral presentation. 
(b) Nothing contained in this section shall preclude the arbitration program from allowing an oral presentation by one party, if the other party fails to appear at the agreed upon time and place, as long as all of the requirements of subdivision (a) of this section have been satisfied. In that event, the arbitrator may either decide the dispute or give the absent party an opportunity to explain or rebut any contradictory information and submit additional materials before a decision is made. 
(c) Notwithstanding subdivision (a) of this section, a party may correct an error at a meeting if all parties are personally present or represented and all parties expressly consent. 
NOTE

Authority cited: Sections 472.1(d) and 472.4(f), Business and Professions Code. Reference: 16 CFR Sections 703.3(a) and (c), 703.5(f)(2) and (3); and Section 1793.22(d)(1), Civil Code. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
§3398.9. Decision-Making Timelines and Procedures.
Note     •     History

(a) If the dispute has not been settled (subdivision (b) of this section), the arbitration program shall, as expeditiously as possible but at least within 40 days after receiving notification of the dispute, and except where extensions are permitted under subdivision (c) of this section, disclose to the consumer and the manufacturer its decision and the reasons therefor (Section 3398.10(e)). 
(b) For purposes of subdivision (a) of this section, a dispute shall be deemed settled when the arbitration program has ascertained from the consumer that: 
(1) the manufacturer and the consumer have entered into an agreement settling the dispute, 
(2) the consumer is satisfied with the terms of the settlement agreement, and 
(3) the agreement contains a specified reasonable time for performance. Section 3398.12(b) on the program's duty to verify performance shall apply in the event of a settlement made after the program has received notification of the dispute. 
(c) The arbitration program may delay the performance of its duties under subdivision (a) of this section beyond the 40-day standard in the following situations: 
(1) For a seven-day period in those disputes in which the consumer has made no attempt to seek redress directly from the manufacturer. 
(2) If and to the extent that the delay is due solely to failure of a consumer to provide promptly his or her name and address, the brand name and vehicle identification number (VIN) of the vehicle, and a statement of the nature of the defect or other complaint. 
(3) For a reasonable period not to exceed 30 days to enable the arbitration program to respond to a request made under subdivision (f) of Section 3398.5. 
NOTE

Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: 16 CFR Sections 703.2(e)(3)(F), 703.3(c), 703.4(b), 703.5(d)(2) and (4), and 703.5(e)(1) and (2); and Section 1793.22(d)(1) and (6), Civil Code. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
§3398.10. Content of Decision.
Note     •     History

(a) The arbitrator shall render a fair decision based upon the information gathered by the arbitration program in its investigation of the facts (Section 3398.5) and upon any information submitted by the parties under Section 3398.8 at the meeting to decide disputes. 
(b) The decision shall take into account all legal and equitable factors, including but not limited to the written warranty, the applicable law, and any other equitable considerations appropriate in the circumstances. 
(c) The decision shall include any remedies which the arbitrator finds appropriate under the circumstances, including repair, replacement, refund, reimbursement for expenses, compensation for damages, and any other remedies available under the written warranty or the applicable law, and need not be limited to the specific relief sought by the consumer. 
(d) Nothing in this section requires that decisions must consider or provide remedies in the form of awards of punitive damages or multiple damages under Civil Code Section 1794(c), attorney's fees under Civil Code Section 1794(d), or consequential damages other than (1) incidental damages to which the consumer is entitled under Civil Code Section 1793.2(d)(2), or (2) any other remedies provided under Civil Code Section 1794(a) and (b), provided that any limit on the scope of the remedies, pursuant to this subdivision, shall be limited to those authorized in this subdivision, and shall be disclosed with the information required under Sections 3397.2(a) and 3398.4(c). 
(e) The decision shall be in writing and shall include a brief statement of the reasons therefor. The statement of reasons shall include the arbitrator's determination of each issue identified in Section 3398.5(c) relevant to the particular dispute. 
(f) The decision shall prescribe a reasonable time, not to exceed 30 days after the manufacturer (or its agents) is notified that the consumer has accepted the decision, within which the manufacturer or its agents must perform the terms of the decision. 
(g) No agreement to arbitrate shall limit an arbitrator's authority to provide any remedies, except as authorized by this section. 
NOTE

Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: 16 CFR Section 703.5(d)(1); and Sections 1793.2(d)(2), 1793.22(d)(3), (5), (6) and (7), Civil Code. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
§3398.11. Replacement and Refund.
Note     •     History

(a) If the dispute involves the fact or allegation of a substantial nonconformity (Section 3396.1(m)) that has not been rectified, this section shall apply. 
(b) In determining whether the consumer is entitled to a replacement or refund, the arbitrator shall take into account the standards expressed in Civil Code Section 1793.2(d) and 1793.22, if those standards are applicable under the circumstances of the dispute. For purposes of this section, “take into account” means to be aware of the standards; to understand how they might apply to the circumstances of the particular dispute; and to apply them if it is legally proper and fair to both parties to do so. 
(c) If the decision provides for a replacement or refund, and is subject to Civil Code Section 1793.2(d), the decision shall require the manufacturer to replace the motor vehicle or make restitution in accordance with Civil Code Sections 1793.2(d)(2)(A), (B) and (C). The decision shall include payment of incidental damages to the extent authorized by the applicable law including Commercial Code Sections 2711 to 2715 inclusive, and Civil Code Sections 1793.2(d)(2) and 1794(a) and (b); and shall include all reasonable repair, towing and rental car costs, any sales or use tax, license fees, registration fees, other official fees, prepayment penalties, early termination charges and earned finance charges, if actually paid, incurred or to be incurred by the consumer (but need not include charges for which the consumer is justly responsible). If the arbitrator decides that the manufacturer is entitled to an offset for mileage, the offset shall be calculated in conformance with Civil Code Section 1793.2(d)(2)(C). 
(d) The arbitration program may adopt procedures by which the staff of the program may calculate the exact amount of the mileage offset and any damages in conformance with the decision of the arbitrator and Civil Code Section 1793.2(d)(2)(A), (B) and (C). In the exercise of these duties, the staff may only act in a clerical or ministerial capacity, and may not exercise any decision-making function, which shall be performed by the arbitrator only. 
NOTE

Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: Sections 1793.2(d)(2), 1793.22(c), 1793.22(d)(5) and (7) and 1794(a) and (b), Civil Code. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
3. Change without regulatory effect amending subsection (b) filed 3-31-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§3398.12. Acceptance and Performance of Decision.
Note     •     History

(a) The arbitration program shall inform the consumer, at the time of the disclosure of the decision (Section 3398.9(a)), in clear and readily understood language, of each of the following: 
(1) The consumer may either accept or reject the decision. 
(2) If the consumer accepts the decision, the manufacturer is bound by the decision. 
(3) If the consumer rejects the decision, or accepts the decision and the manufacturer does not promptly perform the terms of the decision, the consumer may seek redress by pursuing his or her legal rights and remedies, including use of the small claims court. 
(4) The consumer has 30 calendar days after the arbitration program transmits the notification described in Section 3398.9(a) in which to accept the decision. If no decision is made within that period, the consumer's failure to accept the decision will be considered a rejection of the decision and the manufacturer shall not be bound to perform it. 
(5) If the decision provides for a further repair attempt or any other action by the manufacturer, the program will ascertain from the consumer whether performance has occurred. 
(6) The arbitration program's decision and findings are admissible in evidence in any court action. 
(7) The consumer may obtain a copy of the arbitration program's written operating procedures upon request and without charge. 
(8) The consumer may obtain copies of all of the arbitration program's records relating to the dispute, at a reasonable cost. 
(9) The consumer may regain possession without charge of all documents which the consumer has submitted to the program, except where good accounting practice requires that the manufacturer retains original documents upon which disbursements have been made. 
(10) If the consumer has a complaint regarding the operation of the arbitration program, the consumer may register a complaint with the Arbitration Certification Program. 
(11) The address and telephone number of the Arbitration Certification Program.
(b) If the manufacturer is required to perform any obligations as part of a settlement, or if the manufacturer is obligated to take any action to implement a decision, the program shall ascertain from the consumer, within 10 days after the date set for performance, whether such performance has occurred. 
(c) If the consumer asserts that the manufacturer's performance of a further repair attempt has not occurred to the consumer's satisfaction, the arbitration program shall promptly inform the arbitrator who decided the dispute of all of the pertinent facts. In that event the arbitrator (or a majority of the arbitrators) may decide to reconsider the decision. A decision under this subdivision to reconsider a decision may be made at any time and need not be made at a meeting to decide disputes (Section 3398.7).
(d) If the arbitrator decides to reconsider the decision, the decision to reconsider shall be deemed to constitute notification of the dispute (Section 3398.4), and the program shall investigate the dispute and in all respects treat it as a new dispute, except that the program shall expedite all phases of the process, and the same arbitrator or arbitrators, if reasonably possible, shall decide the dispute. 
NOTE

Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: Sections 1793.22(c) and 1793.22(d)(2) and (3), Civil Code;16 CFR Sections 703.3(a), 703.5(a), 703.5(d)(1), 703.5(g)(1)-(3), 703.5(h); and Section 472.4(c)(2), Business and Professions Code. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
3. Change without regulatory effect amending subsections (a)(10) and (a)(11) filed 1-25-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 5).
§3398.13. Recordkeeping by Arbitration Programs.
Note     •     History

(a) The arbitration program shall maintain records on each dispute of which it has received notification, which shall include all of the following: 
(1) Name, address and telephone number of the consumer. 
(2) Name, address, and telephone number of contact person of the manufacturer. 
(3) Make and vehicle identification number of the vehicle involved. 
(4) The date of receipt of the dispute and the date of disclosure to the consumer of the decision. 
(5) All letters and other written documents submitted by either party.
(6) All other evidence collected by the arbitration program relating to the dispute, including summaries of relevant and material portions of telephone calls and meetings between the program and any other person (including any experts or consultants described in Section 3398.5(f), and any letter and summaries of any oral communication by the program to the parties to resolve contradictory information (Section 3398.6). 
(7) A summary of any relevant and material information presented by either party at an oral presentation under Section 3398.8. 
(8) The decision of the arbitrator, with information as to date, time and place of meeting, the identity of arbitrators voting, and the reasons for the decision, with the reasons for any dismissal for lack of jurisdiction or decision to reconsider, and information on any voluntary settlement. 
(9) A copy of the disclosure to the parties of the decision. 
(10) The fact and date of completion of any performance required by the decision or by any settlement made after the program has received notification of the dispute. 
(11) Copies of follow-up letters (or summaries of relevant and material portions of follow-up telephone calls) to the manufacturer and the consumer and responses thereto. 
(12) Any other documents and communications (or summaries of relevant and material portions of oral communications) relating to the dispute. 
(b) The arbitration program shall maintain a current index of each manufacturer's disputes grouped under brand name and subgrouped under product model. 
(c) The arbitration program shall maintain a current index for each manufacturer which shows: 
(1) All disputes in which the manufacturer has promised some performance (either by settlement or in response to a program decision) and has failed to comply. 
(2) All disputes in which the manufacturer has refused to abide by a program decision. 
(3) All disputes in which the consumer has registered a complaint regarding the decision, its performance by the manufacturer, or the operation of the program. 
(d) The arbitration program shall maintain a current index which shows all disputes delayed beyond the time allowed under Section 3398.9. 
(e) The arbitration program shall compile semiannually and maintain statistics which show the number and percentage of disputes in each of the following categories: 
(1) Resolved by staff of the arbitration program and manufacturer has complied. 
(2) Resolved by staff of the arbitration program, time for compliance has occurred, and manufacturer has not complied. 
(3) Resolved by staff of the arbitration program and time for compliance has not yet occurred. 
(4) Decided by arbitrator and manufacturer has complied. 
(5) Decided by arbitrator, time for compliance has occurred, and manufacturer has not complied. 
(6) Decided by arbitrator and time for compliance has not yet occurred.
(7) Decided by arbitrator with no relief to the consumer. 
(8) No jurisdiction. 
(9) Decision delayed beyond 40 days under Section 3398.9(c)(1). 
(10) Decision delayed beyond 40 days under Section 3398.9(c)(2). 
(11) Decision delayed beyond 40 days under Section 3398.9(c)(3). 
(12) Decision delayed beyond 40 days for any other reason. 
(13) Decision still pending. 
(14) Decision accepted by consumer. 
(15) Decision rejected by consumer. 
(16) Reconsideration requested by consumer per Section 3398.12(d) granted, and the results. 
(17) Reconsideration requested by consumer per Section 3398.12(d) not granted. 
(f) The individual dispute records, indexes and statistics required by this section shall be organized and maintained so as to facilitate ready access and review by the Arbitration Certification Program at any time, including access to and review of individual dispute files and other program materials. 
(g) The arbitration program shall retain all records specified in subdivisions (a)-(c) of this section for at least four years after final disposition of the dispute. 
NOTE

Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: Sections 472.4(b) and (c), Business and Professions Code; 16 CFR Sections 703.5(h) and 703.6; and Section 1793.22(d)(1), Civil Code. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
3. Change without regulatory effect amending subsection (f) filed 1-25-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 5).
§3398.14. Confidentiality of Records.
Note     •     History

(a) The statistical summaries specified in Section 3398.13(e) shall be available to any person for inspection and copying. 
(b) Except as provided under subdivisions (a), (d) and (e) of this section and Sections 3398.7(a) and 3399.5, all records of the arbitration program may be kept confidential, or made available only on such terms and conditions, or in such form, as the arbitration program shall permit. 
(c) The policy of the arbitration program with respect to records made available at the program's option shall be set out in the program's written operating procedures (Section 3398.3); the policy shall be applied uniformly to all requests for access to or copies of such records. 
(d) Upon request, the arbitration program shall provide to either party to a dispute: 
(1) Access to all records relating to the dispute. 
(2) Copies of any records relating to the dispute, at reasonable cost. 
(e) The arbitration program shall make available to any person, upon request, information relating to the qualifications of program staff and the qualifications and method of selection of arbitrators. 
(f) Nothing in this section affects the right of any party under any applicable statute to subpoena any records relating to the dispute. 
NOTE

Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: 16 CFR 703.8; and Section 1793.22(d)(1), Civil Code. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
§3398.15. Compliance by Program.
Note     •     History

(a) An arbitration program shall promptly take reasonable action to correct violations of the minimum standards prescribed in this subchapter whenever violations become known to the program. 
(b) An arbitration program shall: 
(1) Investigate each complaint concerning the operation of the program, whether directed to the program by or for a consumer or by the Arbitration Certification Program; 
(2) Furnish the Arbitration Certification Program with a copy of every written complaint concerning the operation of the program; and 
(3) Inform both the Arbitration Certification Program and the consumer of the facts of the complaint, the results of the investigation, and any corrective steps taken. 
(c) The manufacturer and the arbitration program shall establish written policies and procedures for referring unresolved complaints from consumers regarding the operation of the program to the Arbitration Certification Program. 
(d) An arbitration program shall cooperate in good faith with the Arbitration Certification Program and its staff in all matters within the purview of this subchapter. 
NOTE

Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: Sections 472.3(c) and 472.4, Business and Professions Code. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
3. Change without regulatory effect amending subsections (b)(1)-(d) filed 1-25-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 5).
Article 4. Certification Procedure
§3399.1. Application for Certification.
Note     •     History

(a) Upon receiving a request for an application for certification, the Arbitration Certification Program will inform the prospective applicant that the Arbitration Certification Program is available to confer with the prospective applicant in advance of the filing of an application for the purpose of discussing questions relating to the application. However, no application shall be decided in advance of filing. 
(b) An applicant seeking certification of an arbitration program shall file with the Arbitration Certification Program an application with all information and materials required by this subchapter. The application shall consist of (1) a completed “Application for Certification” following in the format prescribed in Appendix A, signed by or on behalf of each party to the application, and (2) the materials required by Section 3399.2 and Appendix A. The application need not include any confidential or proprietary data; provided, however, that the applicant shall have the burden of demonstrating that the arbitration program is in substantial compliance with Civil Code Section 1793.22(d), Chapter 9 of Division 1 of the Business and Professions Code, and this subchapter. 
(c) Within 30 days after receipt of the application, the Arbitration Certification Program will both acknowledge receipt of the application and notify the applicant whether or not the application is complete. If the application is not complete, the Arbitration Certification Program will state what additional information or materials must be provided. If the applicant does not provide the information and materials requested by the Arbitration Certification Program within 30 days, the Arbitration Certification Program may deem the application as withdrawn. 
(d) After receipt of the application, the Arbitration Certification Program may, in its discretion, schedule an informal conference with the applicant to discuss the application, the accompanying materials and information, and any additional materials and information that may be required by this subchapter. The informal conference is not an evidentiary hearing or a forum for the determination whether certification is appropriate. 
(e) After the Arbitration Certification Program has accepted the application for certification as complete, the Arbitration Certification Program will conduct a review of the arbitration program described in the application, which will include one or more on-site inspections of any program that is already operating, to determine whether the certification which is requested should be granted. 
(f) The Arbitration Certification Program will make a determination whether to certify an arbitration program or to deny certification not later than 90 days after the date the Arbitration Certification Program accepts the application for certification as complete. 
(g) If the Arbitration Certification Program determines that the arbitration program is in substantial compliance with Civil Code Section 1793.22(d), Chapter 9 of Division 1 of the Business and Professions Code, and this subchapter, the Arbitration Certification Program will certify the arbitration program. 
(h) If the Arbitration Certification Program determines that the arbitration program is not in substantial compliance with Civil Code Section 1793.22(d), Chapter 9 of Division 1 of the Business and Professions Code, or this subchapter, the Arbitration Certification Program will deny certification, and will state, in writing, the reasons for the denial and the modifications in the operation of the program that are required in order for the program to be certified. 
(i) If the Arbitration Certification Program denies certification of the arbitration program, the applicant may either reapply for certification or request a hearing. A request for a hearing shall be filed with the Arbitration Certification Program within 30 days after service of the notice of denial.
NOTE

Authority cited: Sections 472.1(b) and (c) and 472.4(f), Business and Professions Code. Reference: Sections 472.1(a) and (c) and 472.2, Business and Professions Code; and Sections 360.5 and 363, Financial Code. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending subsections (b), (g), (h) and Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
3. Change without regulatory effect amending section filed 1-25-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 5).
§3399.2. Materials to Accompany Application.
Note     •     History

(a) The application shall be accompanied by the following materials:
(1) The arbitration program's written operating procedures (Section 3398.3(a)). 
(2) All other written manuals, publications and documents prepared by or for the manufacturer or the arbitration program, or either of them, which constitute or describe the arbitration program's operating procedures in whole or in part, including but not limited to the policies and procedures that implement this subchapter. 
(3) All written agreements between the manufacturer and the arbitration program (including exchanges of correspondence) which define the relationship between the manufacturer and the arbitration program, including but not limited to agreements relating to handling and referring disputes; responding to requests from the program, the manufacturer or the consumer for information; implementing the decisions of the program; and responding to complaints about the decision or the operation of the arbitration program. 
(4) All written warranties on new motor vehicles offered by the manufacturer for sale or lease in California at the time the manufacturer has applied for certification; and all owner's manuals, books, pamphlets and other materials provided by the manufacturer to consumers which describe the manufacturer's current written warranties, the protections and benefits they provide to consumers, the steps which consumers must follow to obtain warranty service, or the procedures used by the manufacturer for handling complaints from consumers regarding vehicles sold or leased in California. Where documents are substantially similar for several models of vehicles, the applicant need only submit one example of each document, provided that the applicant clearly identifies the models to which the exemplar applies. 
(5) All published descriptions of the arbitration program, its purposes, or its availability and use, provided to consumers by either the manufacturer or the arbitration program. 
(6) Examples of the notices, disclosures and other documents prescribed by Sections 3397.2(a), 3398.2(h), 3398.4(c), and 3398.12(a), and of any disclosures given pursuant to Civil Code Sections 1793.22(b) or (c). 
(b) The application shall include an index of the materials that accompany the application. 
NOTE

Authority cited: Sections 472.1(c) and 472.4(f), Business and Professions Code. Reference: 16 CFR Section 703.5(a). 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending subsection (a)(6) and Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
§3399.3. Audits of Arbitration Programs.
Note     •     History

NOTE

Authority cited: Sections 472.1(c) and 472.4(f), Business and Professions Code. Reference: Section 472.4(c), Business and Professions Code; and 16 CFR Section 703.7. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
3. Repealer filed 7-16-96; operative 8-15-96 (Register 96, No. 29).
§3399.4. Reports to the Arbitration Certification Program by Arbitration Programs.
Note     •     History

(a) The arbitration program shall notify the Arbitration Certification Program in writing of any material changes in the information or materials submitted in or with the application for certification or subsequently at the request of the Arbitration Certification Program, and shall do so either before or within a reasonable time after the change becomes effective. 
(b) The arbitration program shall provide to the Arbitration Certification Program, six months after certification and annually thereafter, a report on disputes closed during the reporting period, which shall contain the following information in the case of each dispute (including disputes over which the program did not exercise jurisdiction): 
(1) The name, address, and telephone number of the consumer. 
(2) The name of the manufacturer of the vehicle. 
(3) The office where the dispute was processed. 
(4) The number or other identification of the dispute used by the process, if one exists. 
(5) With respect to each dispute: 
(A) the date when notification of the dispute was received by the program; 
(B) the dates of all meetings held to decide the dispute; 
(C) the date of decision of the arbitrator; 
(D) the fact and date of performance of the decision by the manufacturer; and 
(E) the elapsed time in days between (A) and (C). 
(6) The nature of the consumer's request for relief categorized by one or more of the following: 
(A) repair; 
(B) replacement; 
(C) return and restitution; 
(D) either replacement or return and restitution; 
(E) reimbursement of expenses; 
(F) other. 
(7) The nature of the decision or decisions categorized by one or more of the following: 
(A) repair; 
(B) replacement; 
(C) return and restitution; 
(D) either replacement or return and restitution; 
(E) reimbursement of expenses; 
(F) no relief; 
(G) other. 
(8) Any report of any information required by this subchapter (other than the annual audit required under Section 3399.3), or any portion thereof, may be submitted in electronic form compatible with the Arbitration Certification Program's computer system. 
(c) The period covered by the annual report required by subdivision (b) of this section may coincide with the same period covered by the annual audit required by Section 3399.3, and the two reports may be submitted separately or as a single document. 
NOTE

Authority cited: Sections 472.1(c) and (d), 472.3(a) and 472.4(f), Business and Professions Code. Reference: Sections 472.1(b) and 472.4(f), Business and Professions Code; 16 CFR Section 703.6. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
3. Change without regulatory effect amending section heading and subsections (a), (b) and (b)(8) filed 1-25-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 5).
§3399.5. Review of Program Operations by the Arbitration Certification Program.
Note     •     History

(a) The Arbitration Certification Program will conduct a review of the operation and performance of each certified program at least once annually. The review may consist of: 
(1) An examination of updates of all information and materials required in the application and periodic reports. 
(2) One or more on-site inspections of the program's facilities, records and operations, including the records of individual disputes, interviews of the program's staff and arbitrators, and attendance at meetings held to decide disputes. 
(3) Evaluation of the qualifications, training, and performance of arbitrators. 
(4) Investigation and analysis of complaints from any source regarding the operation of the program. 
(5) An evaluation of consumer satisfaction based on the results of an annual random mail or telephone survey by the Arbitration Certification Program. 
(6) An evaluation of other information obtained through the Arbitration Certification Program's monitoring and inspection or which is relevant to continuing certification. 
(b) All of the statistical summaries and other records of the arbitration program shall be available for inspection and copying by the Arbitration Certification Program. 
(c) The arbitration program, on request by the Arbitration Certification Program, shall forward to the Arbitration Certification Program, without charge, a copy of all or any portion of the records of any individual dispute or disputes. 
(d) The Arbitration Certification Program may, in its discretion, schedule an informal conference with an arbitration program to discuss an apparent lack of compliance with Civil Code Section 1793.22(d), Chapter 9 of Division 1 of the Business and Professions Code, or this subchapter, and any modifications in the operation of the program that the Arbitration Certification Program believes may be required in order for the program to be in substantial compliance. The informal conference is not an evidentiary hearing or a forum for the determination whether certification or decertification is appropriate. 
NOTE

Authority cited: Sections 472.1(b), 472.3(a) and 472.4(f), Business and Professions Code. Reference: Sections 472.3(a) and 472.4(a), Business and Professions Code; Section 363, Financial Code. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending subsection (d) and Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
3. Change without regulatory effect amending section heading and section filed 1-25-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 5).
§3399.6. Decertification.
Note     •     History

(a) If it appears to the Arbitration Certification Program that an arbitration program is not in substantial compliance with Civil Code Section 1793.22(d), Chapter 9 of Division 1 of the Business and Professions Code, or this subchapter, the Arbitration Certification Program may issue a written notice of causes for decertification. The notice will specify the reasons for the notice and prescribe the modifications in the operation of the arbitration program which, if timely made, will enable the program to retain its certification. The written notice will be served on the party or parties to the original application designated to receive notices from the Arbitration Certification Program. 
(b) No arbitration program shall be decertified unless and until either:
(1) a decision to decertify is made by the Arbitration Certification Program pursuant to the notice of causes for decertification after a hearing under subdivision (c) of this section, or 
(2) the expiration of 180 days after service of the notice of causes for decertification as provided in subdivision (d) of this section. 
(c) The entity or entities on whom service of the notice of causes for decertification is made, or any of them, shall have a right to a hearing upon written request filed with the Arbitration Certification Program within 30 days after service of the notice. The date of service shall be deemed to be the date of transmittal by the Arbitration Certification Program. If a request is made, the program will be decertified only if a decision to decertify the program is made by the Arbitration Certification Program after a hearing. The Arbitration Certification Program will conclude the decertification proceedings within 180 calendar days after service of its written notice of causes for decertification. 
(d) The decertification shall become effective 180 days after the notice is served. However, the Arbitration Certification Program will withdraw the notice prior to its effective date if the Arbitration Certification Program determines, after a public hearing, that the entity or entities have made the modifications in the operation of the program required in the notice of decertification, and the program is in substantial compliance with the requirements of Civil Code Section 1793.22(d), Chapter 9 of Division 1 of the Business and Professions Code, and this subchapter. 
(e) Any person may request copies of all notices and decisions issued by the Arbitration Certification Program under this section. 
NOTE

Authority cited: Section 472.4(f), Business and Professions Code. Reference: Section 472.3(c), Business and Professions Code; Federal Constitution, 14th Amendment; California Constitution, Art. I, Section 7; see Witkin, Calif. Proc., Const. Law, Sections 518-577, and Kash v. Los Angeles (1977) 19 Cal. 3d 294, 138 Cal. Rptr. 53. 
HISTORY

1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3). 
2. Change without regulatory effect amending subsections (a), (d) and Note and subsection 1.2 of appendix filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
3. Editorial correction of History 2 (Register 99, No. 5).
4. Change without regulatory effect amending section and appendix filed 1-25-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 5).

Appendix A

Arbitration Certification Program
Department of Consumer Affairs
Application for Certification
Pursuant to Title 16, California Code of Regulations, Section 3399.1, the undersigned submit(s) to the Arbitration Certification Program of the California Department of Consumer Affairs, this application for certification of the arbitration program described below, accompanied by the materials described in Title 16, California Code of Regulations, Section 3399.2.

1.0. GENERAL INFORMATION
1.1 Please provide the names or titles, with the addresses and telephone numbers, of:
1.11 The manufacturer's principal administrator in charge of the arbitration program.
1.12 The administrator in charge of each area or office of the arbitration program located within California.
1.13 The manufacturer's and the arbitration program's agent to whom all communications and notices from the Arbitration Certification Program may be directed.
1.14 The arbitration program's principal place of business, and all other places of business of the arbitration program within California.
1.15 The custodian or custodians of the records which are required to be maintained under Section 3398.13 of this subchapter.
1.2 Please provide the names or titles, with addresses and telephone numbers, of the person or persons to whom consumers should give notice of a dispute when consumers are required to directly notify the manufacturer of a dispute, if the manufacturer elects to require that notice under Civil Code Section 1793.22(b)(1).

2.0. ARBITRATION PROGRAM
2.1 Please indicate where, in the written operating procedures (Section 3399.2(a) (1)) or other materials accompanying this application (Section 3399.2(a) (2)), the applicant has set forth the policies and procedures that will implement each of the requirements of this subchapter respectively. Please organize the response to this question by section and subdivision numbers that correspond to each of the sections and subdivisions in Articles 2 and 3 of this subchapter.
2.2 Please describe the steps the applicant has taken and will take to reasonably assure that the policies and procedures to which reference is made in the response to question 2.1 will be implemented.
2.3 Please describe the factors that the applicant requests the Arbitration Certification Program to consider in determining whether the arbitration program is competently staffed at a level sufficient to ensure fair and expeditious resolution of disputes.
2.4 Please describe any methods or amounts of payment by the manufacturer to the arbitration program that are affected by the method by which the dispute is resolved (for instance, by mediation, arbitration, or voluntary settlement) or by the nature of the decision (for instance, payment of money, further repair, or replacement or restitution). Specific dollar amounts need not be provided.
2.5 Please describe how arbitrators are selected and trained.
2.6 Please describe the procedure and criteria for the selection of independent automobile experts so as to ensure their independence.
2.7 Please state the date of your most recent application, and indicate in what respects this application is identical with, or differs from, that application.
2.8 Please identify any other applications submitted by the same sponsor and please indicate in what respects this application is identical with, or differs from those applications.
Dated:

	(NAME OF APPLICANT)

		(Signature)                
Dated:

	(NAME OF APPLICANT)

		(Signature)
Division 34. Polygraph Examiners Board
Article 1. General Provisions
§3402. Definitions.
Note     •     History

NOTE

Authority cited: Section 9304, Business and Professions Code. Reference: Sections 9302, 9303, 9304, 9307 and 9318, Business and Professions Code.
HISTORY

1. New section filed 1-15-88; operative 2-14-88 (Register 88, No. 5).
2. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
§3404. Delegation of Certain Functions.
Note     •     History

NOTE

Authority cited: Section 9304, Business and Professions Code. Reference: Section 9304, Business and Professions Code.
HISTORY

1. New section filed 1-15-88; operative 2-14-88 (Register 88, No. 5).
2. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
§3406. Filing of Addresses.
Note     •     History

NOTE

Authority cited: Section 9304, Business and Professions Code. Reference: Sections 9304 and 9318, Business and Professions Code.
HISTORY

1. New section filed 1-15-88; operative 2-14-88 (Register 88. No. 5).
2. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
§3408. Change of Name.
Note     •     History

NOTE

Authority cited: Section 9304, Business and Professions Code. Reference: Section 9304 and 9318, Business and Professions Code.
HISTORY

1. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
§3410. Records; Retention.
Note     •     History

NOTE

Authority cited: Section 9304(d), Business and Professions Code. Reference: Section 9319, Business and Professions Code.
HISTORY

1. New section filed 2-1-88; operative 3-2-88 (Register 88, No.9).
2. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
§3414. Audits.
Note     •     History

NOTE

Authority cited: Section 9304(d), Business and Professions Code. Reference: Sections 9306 and 9307, Business and Professions Code.
HISTORY

1. New chapter 34 (sections 3414-3480, not consecutive) filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47). For history of former chapter 34, see Registers 82, No. 35; 75, Nos. 12 and 6; and 74, No. 37.
2. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
Article 2. Application for General Polygraph Examiners License
§3420. Form and Date for Filing.
Note     •     History

NOTE

Authority cited: Section 9304(d), Business and Professions Code. Reference: Sections 9307, Business and Professions Code.
HISTORY

1. New section filed 12-26-86; effective thirtieth day thereafter (Register 86, No. 52).
2. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
§3422. Documentation of Eligibility for Examination.
Note     •     History

NOTE

Authority cited: Section 9304 (d), Business and Professions Code. Reference: Sections 9302, and 9307, Business and Professions Code.
HISTORY

1. New section filed 1-15-88; operative 2-14-88 (Register 88, No. 5).
2. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
§3425. Applications Filed Prior to July 1, 1986.
Note     •     History

NOTE

Authority cited: Section 9304, Business and Professions Code. Reference: Section 9307, Business and Professions Code.
HISTORY

1. New section filed 1-15-88; operative 2-14-88 (Register 88, No. 5).
2. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
§3426. Reciprocity.
Note     •     History

NOTE

Authority cited: Section 9304(d), Business and Professions Code. Reference: Sections 9309, Business and Professions Code.
HISTORY

1. New section filed 12-26-86; effective thirtieth day thereafter (Register 86, No. 52).
2. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
§3427. Abandonment of Application.
Note     •     History

NOTE

Authority cited: Section 9304, Business and Professions Code. Reference: Section 9306, Business and Professions Code.
HISTORY

1. New section filed 1-15-88; operative 2-14-88 (Register 88, No. 5).
2. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
§3432. Intern Supervisors.
Note     •     History

NOTE

Authority cited: Sections 9304(d), Business and Professions Code. Reference: Sections 9302, 9307, and 9307.1, Business and Professions Code.
HISTORY

1. New section filed 1-15-88; operative 2-14-88 (Register 88, No. 5).
2. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
§3434. Instruction of Interns.
Note     •     History

NOTE

Authority cited: Section 9304(d) and (h), Business and Professions Code. Reference: Section 9305, Business and Professions Code.
HISTORY

1. New section filed 12-26-86; effective thirtieth day thereafter (Register 86, No. 52).
2. Amendment filed 1-9-89; operative 2-8-89 (Register 89, No. 7).
3. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
§3436. Withdrawal of Approval.
Note     •     History

NOTE

Authority cited: Section 9304(d), Business and Professions Code. Reference: Section 9305, Business and Professions Code.
HISTORY

1. New section filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47).
2. Repealer and new section filed 1-9-89; operative 2-8-89 (Register 89, No. 7).
3. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
Article 4. Approval and Maintenance of Polygraph Instruments
§3440. Filing.
Note     •     History

NOTE

Authority cited: Section 9304, Business and Professions Code. Reference: Section 9317, Business and Professions Code.
HISTORY

1. New section filed 1-15-88; operative 2-14-88 (Register 88, No. 5).
2. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
§3442. Criteria for Approval.
Note     •     History

NOTE

Authority cited: Section 9304, Business and Professions Code. Reference: Section 9317, Business and Professions Code.
HISTORY

1. New section filed 1-15-88; operative 2-14-88 (Register 88, No. 5).
2. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
§3444. Calibrating of Instruments.
Note     •     History

NOTE

Authority cited: Section 9304, Business and Professions Code. Reference: Section 9317, Business and Professions Code.
HISTORY

1. New section filed 1-15-88; operative 2-14-88 (Register 88, No. 5).
2. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
Article 5. Approval of Polygraph Schools
§3450. Approved Polygraph Schools.
Note     •     History

NOTE

Authority cited: Section 9304(d), Business and Professions Code. Reference: Sections 9304 and 9307, Business and Professions Code.
HISTORY

1. New section filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47).
2. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
Article 6. Polygraph Training Courses
§3462. Certification of Polygraph Training Courses.
Note     •     History

NOTE

Authority cited: Section 9304(d), Business and Professions Code. Reference: Sections 9304(g) and 9307(b), Business and Professions Code.
HISTORY

1. New section filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47).
2. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
Article 7. Continuing Education
§3470. Continuing Education Requirements.
Note     •     History

NOTE

Authority cited: Section 9304(d), Business and Professions Code. Reference: Sections 9310, 9311 and 9312, Business and Professions Code.
HISTORY

1. New section filed 12-26-86; effective thirtieth day thereafter (Register 86, No. 52).
2. Amendment filed 1-9-89; operative 2-8-89 (Register 89, No. 7).
3. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
§3472. Standards for Continuing Education Courses.
Note     •     History

NOTE

Authority cited: Section 9304(d), Business and Professions Code. Reference: Sections 9310, 9311 and 9312, Business and Professions Code.
HISTORY

1. New section filed 12-26-86; effective thirtieth day thereafter (Register 86, No. 52).
2. Amendment filed 2-1-88; operative 3-2-88 (Register 88, No. 9).
3. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
§3474. Approval of Continuing Education Courses.
Note     •     History

NOTE

Authority cited: Section 9304(d), Business and Professions Code. Reference: Sections 9310, 9311 and 9312, Business and Professions Code.
HISTORY

1. New section filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47)
2. Amendment filed 1-9-89; operative 2-8-89 (Register 89, No. 7).
3. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
§3474.1. Continuing Education Provider Fee.
Note     •     History

NOTE

Authority cited: Section 9304, Business and Professions Code. Reference: Section 9321, Business and Professions Code.
HISTORY

1. New section filed 1-15-88; operative 2-14-88 (Register 88, No. 5).
2. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
§3476. Instructors.
Note     •     History

NOTE

Authority cited: Section 9304(d), Business and Professions Code. Reference: Sections 9310, 9311 and 9312, Business and Professions Code.
HISTORY

1. New section filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47).
2. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
Article 8. Discipline
§3480. Denial, Suspension and Revocation of Licenses.
Note     •     History

NOTE

Authority cited: Section 9304(d), Business and Professions Code. Reference: Sections 9301 and 9313, Business and Professions Code.
HISTORY

1. New section filed 11-20-86; effective thirtieth day thereafter (Register 86, No. 47).
2. Amendment filed 1-9-89; operative 2-8-89 (Register 89, No. 7).
3. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
§3482. Substantial Relation Criteria.
Note     •     History

NOTE

Authority cited: Section 9304, Business and Professions Code. Reference: Sections 475, 480, 481, 490 and 9313, Business and Professions Code.
HISTORY

1. New section filed 1-15-88; operative 2-14-88 (Register 88, No. 5).
2. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
§3484. Criteria for Rehabilitation.
Note     •     History

NOTE

Authority cited: Sections 482 and 9304(d), Business and Professions Code. Reference: Sections 480 and 482, Business and Professions Code.
HISTORY

1. New section filed 1-9-89; operative 2-8-89 (Register 89, No. 7).
2. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
§3486. Citation and Fines.
Note     •     History

NOTE

Authority cited: Sections 125.9, 125.95 and 9304(d), Business and Professions Code. Reference: Sections 125.9 and 125.95, Business and Professions Code.
HISTORY

1. New section filed 7-17-89; operative 8-16-89 (Register 89, No. 29).
2. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
§3488. Contest of Citations, Citation Review Conference.
Note     •     History

NOTE

Authority cited: Sections 125.9, 125.95 and 9304(d), Business and Professions Code. Reference: Sections 125.9 and 125.95, Business and Professions Code.
HISTORY

1. New section filed 7-17-89; operative 8-16-89 (Register 89, No. 29).
2. Statutory authority expired by its own terms on 1-1-90; ch. 827, Stats. 1987 (Register 91, No. 40).
Division 35. California Auctioneer Commission
Article 1. Fees
§3525. Fees.
Note     •     History

(a) The fee for an initial license for an auctioneer or auction company shall be two hundred dollars ($200).
(b) The license renewal fee for an auctioneer shall be two hundred sixty-five dollars ($265) and the license renewal fee for an auction company shall be two hundred seventy-five dollars ($275).
NOTE

Authority cited: Section 5717, Business and Professions Code. Reference: Sections 5731, 5735, 5738, 5741, 5742, 5743, 5744 and 5791, Business and Professions Code.
HISTORY

1. New Chapter 35 (Article 1, Section 3525) filed 5-16-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 20).
2. Amendment filed 2-27-85; effective thirtieth day thereafter (Register 85, No. 9).
3. Amendment of subsection (b) filed 1-24-86; effective thirtieth day thereafter (Register 86, No. 4).
§3526. Conflict of Interest Code.
Note     •     History

The Political Reform Act, Government Code Sections 81000, et seq., requires state and local government agencies to adopt and promulgate Conflict of Interest Codes. The Fair Political Practices Commission has adopted a regulation, 2 Cal. Code of Regs. Section 18730, which contains the terms of a standard conflict of Interest Code, which can be incorporated by reference, and which may be amended by the Fair Political Practices Commission to conform to amendments in the Political Reform Act after public notice and hearings. Therefore, the terms of 2 Cal. Code of Regs. Section 18730 and any amendments to it duly adopted by the Fair Political Practices Commission, along with the attached Appendix in which officials and employees are designated and disclosure categories are set forth, are hereby incorporated by reference and constitute the Conflict of Interest Code of the California Auctioneer Commission.
Designated employees shall file statements of economic interests with the agency. Upon receipt of the statements of Board Members, the Executive Officer, and the Council of Advisers Members, the agency shall make and retain a copy and forward the original of these statements to the Fair Political Practices Commission.
NOTE

Authority cited: Sections 87300 and 87306, Government Code; and Section 5717, Business and Professions Code. Reference: Sections 87300-87302, Government Code.
HISTORY

1. New section filed 5-28-86; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 4-8-86 (Register 86, No. 22).
2. Amendment filed 11-26-91; operative 12-26-91. Submitted to OAL for printing only (Register 92, No. 9).

Appendix

	Assigned
Designated Positions	Disclosure Category
Board Member	 I
Executive Officer	 I
Member, Council of Advisers	 I
Member, Disciplinary Review Committee	 I
Consultant*	 I
		
Disclosure Categories
I. All designated employees shall report any investment in, business positions in, or any income from:
1. Any person rendering services or selling products to the Commission, or the manufacturers, wholesalers or distributors of such products.
2. Any person, school, college or university offering individual courses and/or a curriculum which is approved by the Board.
3. Any person against whom the Board is contemplating legal or administrative action, has legal or administrative action pending or has intervened in such action.
4. Any person engaged in a profession or business regulated or licensed by the Commission, or has a license application pending before the Commission.

*Consultants shall be included in the list of designated employees and shall disclose pursuant to the broadest disclosure category in the code, subject to the following limitation:

The Executive Officer may determine in writing that a particular consultant, although a “designated position,” is hired to perform a range of duties that is limited in scope and thus is not required to fully comply with the disclosure requirements in this section. Such written determination shall include a description of the consultant's duties and, based upon that description, a statement of the extent of disclosure requirements. The Executive Officer's determination is a public record and shall be retained for public inspection in the same manner and location as this conflict of interest code. 
Division 36. Dispute Resolution Advisory Council
Article 1. General Provisions
§3600. Terms and Definitions.
Note     •     History

As used in the chapter:
(a) “Act” means the Dispute Resolution Programs Act of 1986, commencing with Section 465 of the California Business and Professions Code.
(b) “Code” means the California Business and Professions Code.
(c) “Department of Consumer Affairs” means the California State Department of Consumer Affairs, located at 1020 N Street, Room 504, Sacramento, California 95814.
(d) “Regulations” refers to California Code of Regulations, Title 16, Chapter 36, commencing with Section 3600.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Section 471.3, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
§3601. Application of Regulations.
Note     •     History

These Regulations apply to dispute resolution services provided pursuant to the Act, to counties that fund dispute resolution programs pursuant to the Act, and to the dispute resolution programs that receive funding pursuant to the Act. These Regulations supplement the requirements of the Act, and must be read, interpreted and applied in conjunction with the Act.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 471 and 471.3, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
§3602. Dispute Resolution Services.
Note     •     History

(a) Dispute resolution services refers to a variety of dispute resolution processes and techniques, both proven and experimental, which are designed to assist parties in resolving disputes without the necessity of formal judicial proceedings, and include:
(1) Conciliation, which means a process of independent communications between the disputants and a neutral person.
(2) Mediation, which means a process in which a neutral person(s) facilitates communication between the disputants to assist them in reaching a reconciliation, settlement, or other understanding.
(3) Arbitration, which means a voluntary adjudicative process in which a neutral person conducts a hearing, receives spoken and/or written evidence from the disputants and their witnesses, and renders a decision that may be binding or nonbinding depending on the consent of the disputants.
(b) “Collateral services,” refers to screening and intake of disputants, preparing for and conducting dispute resolution proceedings, drafting agreements and/or awards, providing information and/or referral services, and conducting follow-up surveys.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 467.2, 467.3, 467.7, 468.2(c) and (g), 471, 471.3 and 471.5, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
Article 2. General Eligibility and Application Requirements
§3605. Eligibility for Funding.
Note     •     History

Every applicant for funding shall comply with all relevant provisions of the Act and shall also meet the eligibility requirements described in this section. Evidence of compliance with each of these requirements shall be submitted to the Board of Supervisors or its designee at the time of application.
(a) Organizational Status.
(1) Every applicant for funding must certify that its status is one of the following:
(A) A distinct, definitive unit of a governmental entity with a separate and identifiable annual budget;
(B) A nonpartisan, nonprofit corporation; or
(C) A distinct, definitive component or project of a nonpartisan, nonprofit corporation with a separate and identifiable annual budget.
(2) A nonpartisan, nonprofit corporation or component thereof must also provide evidence that it:
(A) is exempt from federal taxation under Internal Revenue Code Section 501(c)(3), or
(B) has an application for section 501(c)(3) status currently pending before the Internal Revenue Service.
(b) Primary Purpose.
To satisfy the primary purpose requirement of section 407.2(g) of the Act, a minimum of 51% of the estimated budget for the grant period of any program, project or entity shall be encumbered for the provision of dispute resolution services, as defined in Section 3602 of these Regulations.
(c) Community Support.
Each applicant for funding shall submit letters of support from community organizations, judicial and legal system representatives, administrative agencies, or other appropriate public service organizations in the proposed area of service. Such letters should, if appropriate, attest to the organization's willingness to make referrals to the applicant.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 467.2, 468, 468.2, 470.2, 471 and 471.3, Business and Professions Code.
HISTORY

1. New Section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
§3608. Grant Application Requirements.
Note     •     History

(a) In addition to the requirements of Section 468.2 of the Act, all applicants shall also provide the following as part of their application for funding:
(1) A description of the applicant's organizational structure, including that of any sponsoring or parent organizations;
(2) A description of the proposed geographic area of service, the service population, and the number of persons the applicant will have the capacity to serve on an annual basis;
(3) A description of the types of disputes to be handled, the types of dispute resolution services to be offered, and any restrictions to be imposed by the program;
(4) A description of any fee schedule to be used;
(5) A list of civic groups, social services agencies, governmental entities, and justice system agencies available to accept and make referrals to the applicant;
(6) A description of the applicant's plans for publicizing its services to potential referral agencies, courts and justice system agencies, and the public;
(7) The applicant's organizational chart, personnel policies, duty statements, and resumes of all professional staff.
(8) A statement that in hiring staff, recruiting volunteers, or rendering services, the applicant will not discriminate with regard to race, religious creed, color, national origin, ancestry, physical handicap, medical condition, marital status, sex, sexual orientation or age.
(b) Pursuant to Section 470.2 of the Code, each applicant shall submit an estimated budget for the grant period. In-kind donations may be reported as anticipated revenue to be derived from sources other than the county revenues generated pursuant to the Act, so long as the requirements of Section 3640 of these Regulations are satisfied.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 467.1, 467.2, 468, 468.1, 468.2, 468.3, 470.2 and 471.3, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
§3609. Coordination with Department of Consumer Affairs.
Note     •     History

At the time of submission of the application to the Board of Supervisors or its designee, every applicant shall forward to the Department of Consumer Affairs a copy of the application and supporting documentation for its request for funding pursuant to the Act.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 471 and 471.3, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
§3611. Voluntary Participation by Criminal Defendants.
Note     •     History

For the purposes of satisfying the eligibility requirements for funding, applicants who provide dispute resolution services to accused persons or defendants in pending criminal proceedings shall not be deemed to violate Section 467.2(f) of the Code so long as Section 467.7(b) of the Code is satisfied.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 467.2(f), 467.7(b) and 471.3, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
Article 3. Grantee Operations, Training and Service Standards
§3615. Budgetary Allocations.
Note     •     History

For the duration of the grant period, a minimum of 51% of the Grantee's budget for the grant period must be allocated and expended for dispute resolution services, as defined in these Regulations, which may include collateral services, as defined in these Regulations.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 467.1, 468, 469, 470.1(b), 470.2 and 471.5, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
§3618. Fees for Service.
Note     •     History

(a) Under the Act and these Regulations, a Grantee is not required to charge fees to disputants for dispute resolution services. However, if a Grantee charges fees for its dispute resolution services, such fees must be assessed on a sliding scale basis, according to income and financial need. The Grantee shall fully explain to all disputants, in advance of the services being furnished, the basis for and the amount of any fees and other costs that may be charged.
(b) A Grantee may not assess any fees upon disputants who are indigent. “Indigent” includes persons whose income and resources meet the financial qualifications for federal Supplemental Security Income benefits.
(c) A Grantee is prohibited from charging the following fees:
(1) contingent fees;
(2) fees calculated on the basis of the amount in controversy; or
(3) fees based on the failure or success of the disputants to agree to resolution terms previously designated by one or more of the disputants.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 467.2(c), 470.1(a) and 471.3, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
§3620. Services by Neutral Persons.
Note     •     History

(a) A Grantee shall ensure that its dispute resolution services are provided by neutral persons.
(b) An individual shall not function as the neutral person if he or she has any personal bias regarding any particular disputant or the subject matter of the dispute.
(c) An individual shall not function as the neutral person if he or she has a financial interest in the subject matter of the dispute of a financial relationship with any party to the dispute resolution proceeding. The existence of such interests or relationships shall be deemed a conflict of interest.
(d) If, before or during the provision of dispute resolution services, a neutral person has or acquires an actual or apparent conflict of interest, the neutral person shall so inform all of the disputants, and shall disqualify himself or herself as the neutral person unless all of the disputants consent in writing to continue. The Grantee shall replace a disqualified neutral person at no additional cost to any disputant.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 467.2(b) and (e) and 471.3, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
§3622. Orientation and Training of Neutral Persons.
Note     •     History

(a) Each Grantee shall require that all persons who provide dispute resolution services on its behalf complete a training program. The training must be completed prior to the provision of dispute resolution services by that person.
(b) For purposes of fulfilling the requirements of section 468.2(g) of the Act, each Grantee shall provide an orientation and training program for mediators and other facilitators. The program shall consist of a minimum of 25 hours of classroom and practical training.
(c) The classroom training shall consist of a minimum of 10 hours of lecture and discussion, and shall address the following topics:
(1) The history of dispute resolution as a problem solving technique and its relationship to the traditional justice system;
(2) The Act and these Regulations;
(3) An overview of the structure of the California justice system and the traditional methods of processing civil and criminal cases;
(4) The structure, design, practice, and theory of dispute resolution proceedings and services, as defined, including the varying roles, functions and responsibilities of neutral persons, and the distinction between binding and non binding processes;
(5) Communication skills and techniques, including developing opening statements, building trust, gathering facts, framing issues, taking notes, empowerment tactics, effective listening and clarifications skills. Face-to-face as well as over-the-telephone communication skills shall be addressed;
(6) Problem identification and disagreement management skills, including instruction in the establishment of priorities and areas of agreement and disagreement, and the management of special problems that threaten the process;
(7) Techniques for achieving agreement or settlement, including instruction in creating a climate conducive to resolution, identifying options,reaching consensus, and working toward agreement;
(8) General review of fact patterns present in typical disputes, including landlord-tenant, customer-merchant, and neighbor-neighbor cases;
(9) Administrative and intake skills related to dispute resolution services, including completion of paperwork involved in handling and tracking cases, administrative and reporting forms, correspondence with disputants and referral agencies, agreements to mediate or arbitrate, and the drafting of settlement agreements and awards;
(10) The role and participation of attorneys and witnesses in dispute resolution proceedings;
(11) The organization and administration of dispute resolution programs, including intake procedures, follow-up procedures, and record-keeping; and
(12) The necessity of the voluntary and consensual nature of a disputant's participation in any dispute resolution proceedings.
(d) The practical training shall consist of a minimum of 10 hours, which shall include role plays of simulated disputes and observations of actual dispute resolution services, including intake procedures as well as actual dispute resolution proceedings.
(e) The training shall provide for personal assessment and evaluation of the trainee.
(f) Grantees shall provide written verification of the dates and times at which the training was attended and completed to all trainees who satisfactorily complete the required orientation and training program.
(g) Any neutral person who has received training which complies substantially with these Regulations, or who has had at least 25 hours of dispute resolution experience prior to his or her provision of dispute resolution services, shall be deemed to have met the orientation and training requirements mandated by these Regulations. Such prior training or experience shall be verified by the program or organization through which it was rendered.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 467.2(b), 468.2(g), 468.3(b) and 471.3, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
§3626. Agreements by Disputants.
Note     •     History

(a) Oral or Written Agreements.
Agreements reached between disputants as a result of the dispute resolution services may be oral or written.
(b) Presumption of Non-Enforceability.
Under section 467.4 of the Code, such agreements are presumed not enforceable or admissible as evidence in judicial or administrative proceedings.
(c) Option to Make Agreements Enforceable.
Disputants may elect to make their agreements enforceable at law or admissible as evidence at judicial or administrative proceedings. This election may be made at any time. To be enforceable or admissible, an agreement must:
(1) Be in writing and signed by all disputants, and
(2) Contain an Enforcement of Agreement Statement that clearly expresses that each disputant intends that the agreement will be enforceable at law and/or admissible as evidence in any judicial or administrative proceeding.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 467.3(e), 467.4(a), 467.7(a) and 471.3, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
§3630. Attorney Participation.
Note     •     History

(a) Disputants are entitled to be accompanied by an attorney at any dispute resolution session.
(b) Participation by attorneys in dispute resolution proceedings may be restricted by the policy of the Grantee. Such policies shall be clearly explained in the Information Statement provided to disputants.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Section 467.3(c)(2), Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
§3632. Information and Referral Services.
Note     •     History

When the Grantee deems it appropriate or when disputants request it, a Grantee may provide the disputants with information about the services of other agencies. However, no commissions, rebates, or any other form of payment shall be given or received by a Grantee, its staff, or its volunteers for referring disputants to other services or agencies.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Section 465.5, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
§3635. Follow-up Surveys.
Note     •     History

(a) Yearly or on a more frequent basis, Grantees shall conduct follow-up surveys of disputants who have used their services.
(b) The surveys shall request the disputants' evaluations of:
(1) the dispute resolution services provided by the Grantee;
(2) the fairness or adequacy of the settlement agreement or award;
(3) any particular difficulties experienced by the disputant in carrying out and obtaining compliance with the settlement agreement or award;
(4) the disputant's willingness to use the Grantee's services in the future;
(5) the disputant's willingness to recommend the Grantee's services to others who are involved in disputes.
(c) The survey results shall be submitted as part of the yearly statistical report to the Board of Supervisors or its designee in compliance with section 471.5 of the Act. Copies of the survey results shall also be forwarded by the Grantees to the Department of Consumer Affairs at the time of submission to the Board of Supervisors or its designee.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 471.3, 471.5(a) and (d), Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
Article 4. Grantee Management, Accounting, and Reporting Requirements
§3640. In-Kind Donations.
Note     •     History

(a) In-kind donations, including services of volunteers and materials and/or property, may be reported or credited as revenue or expenditures, if such donations:
(1) Will be received during the proposed budgetary period;
(2) Represent necessary and ordinary expenses or services related to the operation and management of the Grantee; and
(3) Serve a purpose consistent in nature and cost with the Grantee's operation.
(b) In-kind donations must be clearly documented with descriptions of the services or materials donated, the dates received, and the names and addresses of the donors. Volunteer personnel services shall be documented by time sheets signed by the volunteer and verified by the Program Administrator.
(c) For uniform budgeting purposes, standardized values must be used in assessing value to the in-kind donations. The following assessments shall apply:
(1) Donations of personal property shall be reported at a fair market value, as determined by the Grantee.
(2) Volunteer personnel services shall be valued at no more than $25.00 per hour.
(3) Donated facilities may be valued at no more than $50.00 per dispute resolution proceeding.
(d) The following may not be included or credited as in-kind donations:
(1) Volunteer time provided by members of the Grantee's board of directors while serving in the capacity as members of the board.
(2) Fringe benefits associated with time donated by volunteers.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 468.2(b), (d) and (f), 468.3, 470.2 and 471.3, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
§3642. Yearly Fiscal Reports.
Note     •     History

(a) The Grantee shall submit a yearly report prepared by an independent accountant that describes and assesses the Grantee's fiscal practices and status. The report shall be delivered to the Board of Supervisors or its designee and to the Department of Consumer Affairs no later than 90 days from the close of the grant period.
(b) Annually or within ninety days of the close of each grant period, the Grantee shall submit to the Board of Supervisors or its designee and to the Department of Consumer Affairs a final reconciliation of actual revenues and expenses compared to the estimated budget for the grant period.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 470.1(b), 471, 471.3 and 471.5, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
§3644. Record-Keeping Practices.
Note     •     History

(a) All records and files maintained pursuant to section 471.5 of the Code shall be retained as follows:
(1) All financial records shall be retained for a minimum of four years after the expiration of the grant period.
(2) Signed personnel time sheets for volunteers and employees shall be maintained for a period of two years.
(3) All other statistical data shall be retained for a period of three years.
(b) All records described in this section shall be made available to the Board of Supervisors or its designee and to the Department of Consumer Affairs upon request.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 471, 471.3 and 471.5, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
§3648. Personnel Policies.
Note     •     History

(a) Each Grantee shall have an employee designated as “Program Administrator.” The Program Administrator shall be responsible for overall program management.
(b) Each Grantee shall maintain written job descriptions and job qualifications for all staff and volunteer classifications.
(c) Each Grantee shall maintain a current organizational chart that reflects its organizational structure.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 465, 465.5, 471, 471.3 and 471.5, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
§3650. Public Education and Relations.
Note     •     History

Each Grantee shall maintain an ongoing public relations and information effort to promote its services and resources. These public relations efforts may include newspaper, radio, television and other public media contacts as well as written brochures and handouts.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 465, 465.5, 471 and 471.3, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
Article 5. County Use of Fees and Grant Management
§3660. Filing Fee Revenues.
Note     •     History

(a) A county shall create a separate interest-bearing account called the Dispute Resolution Program Account for the deposit of revenues generated pursuant to the Act.
(1) All filing fees collected by the county pursuant to the Act shall be deposited into the account.
(2) All interest which accrues to the account shall be deemed part of the account.
(b) Revenues generated pursuant to the Act shall not be used to replace any preexisting allocations of county funds for the provision of dispute resolution services.
(c) Only actual administrative costs may be deducted from the Account to finance a county's administration of the grant program.
(d) Funds generated under the Act shall be used only to fund services authorized by the Act and these Regulations. Such funds shall not be used by a county to fund:
(1) family conciliation court or conciliation and mediation services pursuant to section 4607 or 4351.5 of the Civil Code, or
(2) judicial arbitration pursuant to section 1141.10 et seq. of the Code of Civil Procedure or any other formal or mandatory judicial arbitration program, or
(3) any other programs or services not expressly authorized by the Act or these Regulations.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 467.1, 468, 469, 470, 470.2, 470.3, 471 and 471.3, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
§3662. Public Information and Coordination.
Note     •     History

(a) Each Board of Supervisors or its designee shall appoint or designate a qualified person to function as the Dispute Resolution Program Coordinator.
(1) The Coordinator shall be the public's contact person and information resource regarding the county's grant solicitation and award procedures, the county's functions and responsibilities under the Act and these Regulations, and the dispute resolution programs and services provided by the county.
(2) The Board of Supervisors or its designee shall notify the Department of Consumer Affairs of the Coordinator's name, address, and telephone number.
(b) Each county shall maintain an ongoing public information and dispute resolution awareness program to disseminate information and materials on the purposes and benefits of dispute resolution services. Such public information shall publicize the availability of services within the county and include the name and telephone number of the Coordinator, the existence and availability of grant monies to fund local programs, and the names and services provided by Grantees in that county.
(c) To assure the neutrality and the absence of any conflict of interest, the Coordinator shall not be administratively, professionally, or financially affiliated with any applicant or Grantee.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 469, 470, 470.3(a), 471 and 471.3, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
§3665. Competitive Grant Proposal Process.
Note     •     History

(a) A Board of Supervisors or its designee shall award grants to dispute resolution programs through a competitive proposal process. The process shall: provide reasonable public notice about the availability of dispute resolution program grants; actively solicit proposals from potential applicants; provide a reasonable period of time in which to respond; and, explain the reasons for selection of each Grantee.
(b) The Board of Supervisors, or its designee, shall review the estimated budget for the grant period submitted by an applicant pursuant to section 3605(b) of these Regulations to assess its accuracy. Such assessment shall include the authority to determine whether the reported estimations are substantiated and justified. In making allocations, the county shall use the facts reported in the applicant's estimated budget as assessed and verified by the county.
(c) Qualified applicants shall be screened by the county according to the following criteria:
(1) The need for the applicant's services in the proposed geographical area and any duplication or overlap among dispute resolution programs in the proposed area of service.
(2) The structure and scope of the services to be provided by the applicant.
(3) The amount of the requested grant.
(4) The reliability of the applicant's other funding sources.
(5) The adequacy and cost of facilities and personnel.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 467.1, 467.2, 468, 468.3, 470, 470.2 and 471.3, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
§3670. Grant Award Timeframes.
Note     •     History

(a) A Board of Supervisors that increases its civil filing fees pursuant to the Act shall disperse the grant funds to eligible applicants within six months from the effective date of the increase or, if the balance in the account has not yet reached $15,000, within 90 days after the date that the balance reaches $15,000.
(b) The Board of Supervisors or its designee shall notify the Department of Consumer Affairs of its selection of any Grantee within 30 days after the selection is made. Notification shall include the name, address, and telephone number of each Grantee, the name of the each Grantees' Program Administrator, and the amount and terms of the grant award.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 467.1, 469, 470, 470.3 and 471.3, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
§3675. Reporting to Department of Consumer Affairs.
Note     •     History

Within ninety days of each calendar year, the Board of Supervisors or its designee shall provide the Department of Consumer Affairs with a report of its activities pursuant to the Act during the previous calendar year. The report shall include the following:
(a) The amount of revenues that were collected from superior, municipal, and justice court filing fees during the year.
(b) The amount of revenues deposited in and interest accrued on the dispute resolution program account during the year.
(c) An accounting of all disbursements from the dispute resolution program account, including a listing of all grant amounts to Grantees, the dates of disbursements, and all deductions made pursuant to the county's administrative costs.
(d) Any problems encountered in implementing the Act or these Regulations, and any recommendations for rectifying the problems.
(e) Any evaluations or review processes instituted to monitor the services provided by Grantees.
(f) Any evidence of misuse or misappropriation of revenues by Grantees.
(g) Any rules or procedures in addition to the Act and these Regulations that have been invoked by the Board of Supervisors or its designee upon applicants for funding or Grantees.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 471 and 471.3, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
§3680. Local Administrative Policies and Practices.
Note     •     History

The Board of Supervisors or its designee shall comply with all standards set forth in the Act and these Regulations. Neither the Board of Supervisors nor its designee shall institute any policies, practices, or procedures that conflict with the Act, these Regulations, or the policies and principles expressed in the Act's statement of legislative intent.
NOTE

Authority cited: Section 471, Business and Professions Code. Reference: Sections 471 and 471.3, Business and Professions Code.
HISTORY

1. New section filed 8-31-89; operative 9-30-89 (Register 89, No. 36).
Division 38. Department of Consumer Affairs

(Originally Printed 4-2-77)
Chapter 2. Department of Consumer Affairs--Conflict of Interest Code
§3830. General Provisions.
Note     •     History

The Political Reform Act Government Code sections 81000, et seq., require state and local government agencies to adopt and promulgate Conflict of Interest Codes. The Fair Political Practices Commission has adopted a regulation, 2 California Code of Regulations section 18730, which contains the terms of a standard Conflict of Interest Code, which can be incorporated by reference, and which may be amended by the Fair Political Practices Commission to conform to amendments in the Political Reform Act after public notice and hearings. Therefore, the terms of 2 California Code of Regulations section 18730 and any amendments to it duly adopted by the Fair Political Practices Commission, along with the attached Appendix in which officials and employees are designated and disclosure categories are set forth, are hereby incorporated by reference and constitute the Conflict of Interest Code of the Department of Consumer Affairs.
Designated employees shall file statements of economic interests with the agency who will make the statements available for public inspection and reproduction. (Govt. Code Section 81008.) Upon receipt of the statements of the Director and members of committees and subcommittees, and members of any licensing or regulatory boards, bureaus, and commissions, the agency shall make and retain a copy and forward the original of each statement to the Fair Political Practices Commission.
NOTE

Authority cited: Sections 87300, 87306 and 87307, Government Code. Reference: Sections 87300-87302 and 87306, Government Code.
HISTORY

1. New chapter 38 (sections 3830-3880 and Appendix A) filed 4-1-77: effective thirtieth day thereafter. Approved by Fair Political Practices Commission 3-17-77 (Register 77, No. 14).
2. Repealer of chapter 38 (sections 3830-3880 and Appendix A) a new chapter 38 (section 3830 and Appendix) filed 2-26-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-80 (Register 81, No. 9).
3. Amendment of chapter 38 (section 3830 and Appendix) filed 10-30-90; operative 11-29-90. Approved by Fair Political Practices Commission 10-2-90 (Register 91, No. 1).
4. Amendment of section, appendix and Note filed 8-12-97; operative 9-11-97. Approved by Fair Political Practices Commission 7-3-97 (Register 97, No. 33).
5. Amendment of section and Appendix filed 12-29-2003; operative 1-28-2004. Approved by Fair Political Practices Commission 11-4-2003  (Register 2004, No. 1). 
6. Editorial correction amending operative date in History 5 (Register 2004, No. 9). 
7. Amendment of section and Appendix filed 4-3-2009; operative 5-3-2009. Approved by Fair Political Practices Commission 3-12-2009. Submitted to OAL for printing only (Register 2009, No. 14). 
8. Amendment of Appendix filed 9-13-2011; operative 10-13-2011. Approved by Fair Political Practices Commission 7-27-2011 (Register 2011, No. 37).

Appendix

Designated Employees	Disclosure Categories

Administration Executive Offices
 Director	1
 Senior Chief Deputy Director	1
 Chief Deputy Director	1
 Senior Advisor to the Director	1
 Deputy Director, Board/Bureau Support	1
 Deputy Director, Enforcement and Compliance	1
 Deputy Director, Communications	1
 Deputy Director, External Affairs	1
 Chief, Licensing for Job Creation	1
 Information Officer (All Levels), Public Affairs Office	2,5

 Staff Services Manager (All Levels)	6
 Administrative Assistant (All Levels)	5

Program and Consumer Services Division
 Deputy Director	1
 Chief, Consumer Information Center	2,5
  Manager, Consumer Information Center/Correspondence 
   Unit	2,5
 Information Officer (All Levels)	2,5
 Program Manager, Complaint Resolution Program	2,5
  Staff Services Manager (All Levels)	2,5
  Program Representative (All Levels), Field Offices of the 
   Complaint Resolution Program	2,5
  Manager, Outreach Program	2,5
 Manager, Strategic Planning and Development	2,5
 Manager, Office of Publications, Design and Editing	2,5 

Office of Administrative and Information Services 
 Deputy Director	1
  Fiscal Officer, Fiscal Operations Office	5
  Accounting Administrator (All Levels), 
   Cashiering/Payroll	5
  Manager, Accounts Receivable/Revenue	5
  Accounting Administrator (All Levels), General Ledger 	5
  Manager, Calstars 	5
  Accounting Administrator (All Levels), Accounts Payable 	5
 Staff Services Manager (All Levels), Budget Office 	5
 Staff Services Manager (All Levels), Business Services Office 	5
   Associate Governmental Program Analyst 	5
   Associate Business Management Analyst	5
   Business Services Assistant	5
  Staff Services Manager (All Levels), Facilities and 
   Planning Unit 	5
   Associate Business Management Analyst 	5
   Associate Governmental Program Analyst 	5
  Staff Services Manager (All Levels), Contracts Unit 	5
   Associate Governmental Program Analyst 	5
   Staff Services Analyst 	5
   Associate Information Systems Analyst	5
  Staff Services Manager (All Levels), Business Management 
   Services Unit	5
   Staff Services Analyst/Associate Governmental Program 
    Analyst	5
   Business Services Officer (All Levels) 	5
  Staff Services Manager (All Levels), Business Resources 
   Unit	5
   Office Services Supervisor (All Levels) 	5
   Assistant Information Systems Analyst 	5
   Associate Governmental Program Analyst	5
   Digital Composition Specialist (All Levels)	5
  Personnel Officer, Office of Human Resources 	5
  Assistant Personnel Officer, Office of Human 
   Resources	5
  Labor Relations Specialist, Labor Relations Office 	5
 Chief Information Officer, Office of Information Services 	5
  Data Processing Manager (All Levels), Infrastructure 
   Services	5
   Senior Information Systems Analyst (Supervisor)	5
  Data Processing Manager (All Levels), Enterprise Technology 
   Services	5
   Systems Software Specialist (All Levels) (Supervisor)	5
   Systems Software Specialist (All Levels) (Tech)	5
   Senior Information Systems Analyst (Supervisor) 	5
  Data Processing Manager (All Levels), Client Services	5
   Staff Information Systems Analyst (Supervisor)	5
  Data Processing Manager (All Levels), Enterprise Project
   Services	5
  Data Processing Manager (All Levels), Application Services	5
   Senior Information Systems Analyst (Supervisor)	5
   Senior Programmer Analyst	5
  Data Processing Manager (All Levels), Information Security
   Office	5
  Data Processing Manager (All Levels), IT Governance	5
   Senior Information Systems Analyst (Spec)	5
 Manager, SOLID (Strategic Organization, Leadership, and 
   Individual Development) Training Solutions	5

Equal Employment Opportunity Office 
 Chief 	5

Office of Professional Examination Services
 Chief	5
 Supervising Personnel Selection Consultant	5
  Personnel Selection Consultant (All Levels), Supervisor 	5
  Personnel Selection Consultant (All Levels)	5
  Staff Services Manager (All Levels), Operations Manager 	5
   Staff Information Systems Analyst (Specialist) 	5
   Test Validation and Development Specialist (All Levels)	5
   Staff Services Analyst	5

Internal Audit Office 
 Chief 	5
 Staff Management Auditor 	5
 Associate Management Auditors 	5

Division of Legal Affairs 
 Deputy Director 	1
 Supervising Counsel	1
 Staff Counsel 	1
 Coordinator, Dispute Resolution Office 	1

Legislative and Regulatory Review Division 
 Deputy Director 	1
 Assistant Deputy Director 	1
 Manager 	1

All Members and Executive Officers of Boards Including But Not Limited to the following Boards: 

California Board of Accountancy 
 Board Members 	4,5
 Executive Officer 	4,5
 Staff Services Manager (All Levels)/Assistant Executive 
  Officer 	4,5
 CEA II/Chief of Enforcement 	4,5
 Supervising Investigative CPA 	4.5
 Staff Services Manager (All Levels)/Licensing Chief	4,5
 Information Officer (All Levels), Information and Planning 
  Officer	4,5
 Staff Services Manager (All Levels), Enforcement	4,5
 Staff Services Manager (All Levels), License Renewal &  
  Continuing Competency and Client Services Units	4,5
 Staff Services Manager (All Levels), Initial Licensing 
  Units	4,5
 Staff Services Manager (All Levels), Examination and Practice 
  Privilege Units	4,5
 Manager, Administrative Services	4,5
 SISA/Network Administrator	5
 AISA/Systems Analyst	5
 APA/Programmer Analyst	5
 AISA/IT Support Analyst	5
 AGPA/Board Relations Analyst	4,5
 AGPA/Legislative and Regulations Analyst	4,5
 AGPA/Personnel and Publications Liaison	4,5

 SSA/Contract and Expenditure Tracking Analyst	5
 Business Services Officer	5

 Members of the following committees: 
 Qualifications Committee 	4
 Accounting Education Committee	4
 Enforcement Advisory Committee	4
 Ethics Curriculum Committee	4
 Peer Review Oversight Committee	4

Acupuncture Board 
 Board Members 	4,5,6
 Executive Officer 	4,5,6
 Associate Governmental Program Analyst	4,5,6
 Staff Services Analyst	4,5,6

California Architects Board 
 Board Members 	4,5
 Executive Officer 	4,5
 Assistant Executive Officer 	4,5
  Staff Services Manager (All Levels), Program Manager 
   Examination/Licensing Unit	4,5
  Staff Services Analyst/Associate Governmental Program 
   Analyst, Administration Analyst	4,5
  Staff Services Analyst, Communications Analyst	4,5
  Associate Governmental Program Analyst, 
   Enforcement Officer 	4.5
  Staff Services Analyst/Associate Governmental Program 
   Analyst, Examination/Licensing Analyst 	4,5
   Staff Services Analyst/Associate Governmental Program 
   Analyst, Examination/Licensing Analyst	4,5
   Staff Services Analyst, Supplemental Exam 
   Coordinator 	4,5
   Staff Services Manager (All Levels), Landscape Architects 
    Technical Committee, (LATC) Program Manager 	4,5
   Associate Governmental Program Analyst, LATC 
    Special Projects Analyst	4,5
   Staff Services Analyst, LATC Enforcement 
    Coordinator	4,5
   Staff Services Analyst, LATC Exam Coordinator 	4,5
 Architect Consultant	4,5

Members of the following committees: 

 Professional Qualifications Committee 	4
 Examination Committee 	4
 Regulatory and Enforcement Committee 	4
 Communications Committee 	4
 Landscape Architects Technical Committee	4

State Athletic Commission 
 Commission Members 	4.5,6
 Executive Officer 	4,5,6
 Assistant Executive Officer	4,5,6
 Chief Inspector 	4,5,6
 Assistant Chief Inspector 	4,5,6

Board of Barbering and Cosmetology 
 Board Members 	4,5,6
 Executive Officer 	4,5,6
 Assistant Executive Officer 	4,5,6
 Manager, Administration Section 	4,5,6
 Manager, Enforcement Section 	4,5,6
 Supervising Inspector (All Levels), Inspection Section 	4,5,6
 Supervising Cosmetology Examiner, 
  Examination Section 	4,5,6

Board of Behavioral Sciences 
 Board Members 	4,5
 Executive Officer 	4,5
 Staff Services Manager (All Levels)	4,5

Contractors' State License Board 
 Board Members 	4,5
 Registrar 	4,5
 Chief Deputy Registrar (CEA) 	4,5
 Research Program Specialist (All Levels), Budgets 	5
 Chief, Administration Division 	5
 Manager, Business and Support Services Payables 	5
 Manager, Personnel	5
  Associate Governmental Program Analyst, Business 
   Services, Payables and Contracts 	5
 Business Services Assistant, Purchasing 	5
 Chief, Enforcement Division (CEA)	4,5
  Enforcement Supervisors (All Levels) 	4,5
  Enforcement Representatives (All Levels) 	4,5
  Consumer Service Representatives 	4,5
   Associate Governmental Program Analyst 	4,5
   Staff Services Analyst 	4,5
 Chief, Licensing Division (CEA) 	4,5
  Managers, License Processing Operations	4,5
 Chief, Office of Public Information 	4,5
  Information Officer (All Levels) 	4.5
 Chief, Legislation (CEA) 	4,5
 Manager, Testing Division 	4,5
  Supervising Personnel Specialist Consultant (All Levels),  
   Examination Development/Maintenance (EDM)	4,5
  Personnel Selection Consultant (All Levels), EDM	4,5
  Test Validation Development Specialists (All Levels), 
   EDM	4,5
  Associate Governmental Program Analyst, EDM 	4,5
  Associate Information Systems Analyst (Sup.) Examination 
    Administration 	4,5
  Staff Services Analyst, Examination Administration 	4,5
 Chief, Office of Information Technology	4,5
  Staff Information Systems Analyst (Sup.)	4,5
  Associate Information Systems Analyst, IT Contracts	4,5

Court Reporters Board 
 Board Members 	4,5
 Executive Officer 	4,5
 Associate Governmental Program Analyst	4,5
 Staff Services Analyst	4,5

Dental Board of California 
 Board Members 	4,5,6
 Executive Officer 	4,5,6
 Assistant Executive Officer 	4,5,6
 Supervising Investigator (All Levels) 	4,5,6
 Supervising Special Investigator (All Levels) 	4,5,6
 Enforcement Supervisor (Staff Services Manager
   (All Levels)) 	4,5,6
 Diversion Evaluation Committee Members 	5
 Dental Assisting Forum Committee Members	4,5

Dental Hygiene Committee
 Committee Members 	4,5
 Executive Officer 	4,5
 Special Investigator	4,5
 Associate Governmental Program Analyst	4,5
 Staff Services Analyst	4,5

State Board of Guide Dogs for the Blind 
 Board Members 	4,5
 Executive Officer	4,5

Medical Board of California 
 Board Members 	4,5
 Executive Director	4,5
 Deputy Director 	4,5
  Chief of Legislation 	4,5
 Legal Counsel 	1

Enforcement 
 Chief of Enforcement 	4,5
 Deputy Chief of Enforcement, Field Operations 	4,5
 Supervising Investigator (All Levels) 	4,5
 Medical Consultant 	4,5
 Staff Services Manager (All Levels)	4,5

Licensing 
 Chief of Licensing 	4,5
 Medical Consultant 	4,5

Business Services Office
 Business Services Manager	4,5

Occupational Therapy Board 
 Board Members 	4,5
 Executive Officer 	4,5
 Staff Services Manager (All Levels)	4,5

Board of Optometry 
 Board Members 	4,5,6
 Executive Officer 	4,5,6
 Enforcement Coordinator 	4,5,6
 Associate Governmental Program Analyst/Staff Services 
  Analyst -- Licensing Coordinator 	4,5,6
 Associate Governmental Program Analyst -- 
  Enforcement	4,5,6

Osteopathic Medical Board
 Board Members 	4,5
 Executive Director 	4,5
 Special Consultant 	4,5
 Members of the Naturopathic Medicine Committee	4,5
 Executive Officer 	4,5

Board of Pharmacy 
 Board Members 	4,5,6
 Executive Officer 	4,5,6
 Assistant Executive Officer 	4,5,6
 Supervising Inspector 	4,5,6
 Inspectors 	4,5,6
 Staff Services Managers	4,5,6
 Staff Services Manager (All Levels) (Specialist -- 
  Legislation and Regulation)	4,5,6
 Staff Services Manager (All Levels) (Specialist --  
 Pharmacists Recovery Program)	4,5,6

Physical Therapy Board 
 Board Members 	4,5
 Executive Officer 	4,5
 Assistant Executive Officer	4,5

Physician Assistant Committee 
 Board Members 	4,5
 Executive Officer 	4,5
 Associate Governmental Program Analysts 	4,5
 Staff Services Analyst	4,5

Board of Podiatric Medicine 
 Board Members 	4,5
 Executive Officer 	4,5
 Associate Governmental Program Analyst --
  Administration	4,5
 Associate Governmental Program Analyst -- Licensing
  Coordinator	4,5
 Associate Governmental Program Analyst -- Enforcement	4,5

Board for Professional Engineers and Land Surveyors 
 Board Members 	4,5
 Executive Officer 	4,5
 Assistant Executive Officer 	4,5
 Staff Services Manager, Enforcement	4,5
 Senior Registrar 	4,5
 Technical Advisory Committee Members 	4,5
 Subject Matter Experts	4,5

Board of Psychology 
 Board Members 	4,5
 Executive Officer 	4,5
 Assistant Executive Officer 	4,5

Board of Registered Nursing 
 Board Members 	4,5
 Executive Officer	 4,5
 Assistant Executive Officer 	4,5
 Supervising Nursing Education Consultants 	4,5
 Nursing Education Consultants 	4,5
 Diversion Evaluation Committee Members 	4,5
 Diversion Program Manager 	4,5
 Enforcement Program Manager 	4,5
 Manager, Licensing and Administrative Services 	4,5
 Manager, Licensing Standards and Evaluation; 
  Advanced Practice 	4,5

Respiratory Care Board 
 Board Members 	4,5
 Executive Officer 	4,5
 Staff Services Manager (All Levels)/Assistant Executive 
  Officer 	4,5
 Staff Services Manager (All Levels)	4,5

Speech-Language Pathology, Audiology, and Hearing Aid Dispensers Board 
 Board Members 	4,5
 Executive Officer 	4,5
 Staff Services Manager (All Levels)	4,5
 Associate Governmental Program Analysts 	4,5
 Staff Services Analysts 	4,5

Veterinary Medical Board 
 Board Members 	4,5,6
 Executive Officer 	4,5,6
 Assistant Executive Officer	4,5,6
 Registered Veterinary Technician Committee Members	4
 Drug and Alcohol Diversion Evaluation Committee Members	4
  Program Manager 	4

Board of Vocational Nursing and Psychiatric Technicians 
 Board Members 	4,5
 Executive Officer 	4,5
 Assistant Executive Officer 	4,5
 Supervising Nursing Education Consultants 	4,5
 Nursing Education Consultants 	4,5
 Staff Services Managers 	4,5

All Bureau Chiefs, Deputy Bureau Chiefs, and Bureau Committee Members, including, but not limited to the following Bureaus: 

Arbitration Certification Program
 Chief	4,5,6

Bureau of Automotive Repair 
 Bureau Chief 	4,5,6
 Assistant Chief, Smog Check Policy Development & 
  Oversight	4,5,6
 Deputy Chief, Smog Check Operations and Engineering 
  and Research Division 	4,5,6
  Supervising Air Quality Engineer, Engineering and 
   Research Branch	4,5,6
  Supervising Air Quality Engineer, Training and Compliance 
   Branch	4,5,6
  Data Program Manager (All Levels), Technology Services 
   Branch	4,5,6
  Senior Programmer Analyst (Supervisor)	4,5,6
  Senior Air Quality Engineer, Standards and Training 
   Unit	4,5,6
  Senior Air Quality Engineer, Data Maintenance & 
   QA/Auditing	4,5,6
  Senior Air Quality Engineer, Program Evaluation	4,5,6
  Senior Air Quality Engineer, Equipment Certification	4,5,6
 Deputy Chief, Consumer Assistance and Administration 
  Division 	4,5,6
  Program Manager (All Levels), Consumer Assistance 
   Program	4,5,6
  Staff Services Manager (All Levels), Administration 
   Branch	4,5,6
  Staff Services Manager (All Levels), Contracts	4,5,6
   Associate Governmental Program Analyst, Contracts	4,5,6
   Staff Services Manager (All Levels), Business Services	4,5,6
    Staff Services Analyst, Facilities	4,5,6
    Staff Services Analyst, Purchasing 	4,5,6
    Office Technician, Contract and Purchasing 
      Support 	4,5,6
   Staff Services Manager (All Levels), Personnel Unit	4,5,6
    Associate Governmental Program Analyst, 
     Personnel	4,5,6
    Staff Services Analyst, Personnel	4,5,6
   Staff Services Manager (All Levels), Licensing Unit	4,5,6
 Deputy Chief, Field Operations and Enforcement 
  Branch 	4,5,6
  Program Manager (All Levels), Northern California 
   Field Operations and Enforcement Branch	4,5,6
   Program Manager (All Levels), Central Valley	4,5,6
   Program Manager (All Levels), San Francisco/
    Bay Area	4,5,6
  Program Manager (All Levels), Southern California  
   Field Operations and Enforcement Branch	4,5,6
   Program Manager (All Levels), Los Angeles (North)/
    Bakersfield 	4,5,6
   Program Manager (All Levels), Los Angeles 
    (East)/Orange	4,5,6
   Program Manager (All Levels), Inland Empire/
    San Diego	4,5,6
  Program Manager (All Levels), Enforcement Planning 
   and Oversight Branch	4,5,6
  Program Manager (All Levels), Complaint Intake and 
   Care Management	4,5,6
  Program Manager (All Levels), Vehicle Documentation 
   Laboratories    	4,5,6
   Program Manager (All Levels), Vehicle Documentation 
    Laboratories HQ	4,5,6

Cemetery and Funeral Bureau 
 Chief 	4,5
 Deputy Chief 	4,5
 Supervising Governmental Auditor 	4,5
 General Auditor (All Levels)	4,5
 Field Representatives 	4,5
 Associate Governmental Program Analyst 	4,5

Bureau of Electronic and Appliance Repair, Home Furnishings and 
Thermal Insulation 
 Bureau Chief 	4,5,6
 Manager, Licensing	4,5,6
 Manager, Field Operations 	4,5,6
 Manager, Compliance 	4,5,6
 Supervising Chemist 	4,5,6

Professional Fiduciaries Bureau
 Chief	4,5

Bureau for Private Postsecondary Education 
 Chief 	4,5
 Deputy Bureau Chief	4,5
 Staff Services Manager (All Levels) (Enforcement Unit 
  Manager)	4,5
 Staff Services Manager (All Levels) (Admin Support and STRF 
  Manager)	4,5
 Staff Services Manager (All Levels) (Licensing Manager)	4,5
 Staff Services Manager (All Levels) (Compliance Inspections 
  Manager)	4,5
 Staff Services Manager (All Levels) (Investigations and 
  Discipline Manager)	4,5
 Education Senior Specialist	4,5
 Education Specialist	4,5

Bureau of Security and Investigative Services 
 Bureau Chief 	4,5
 Deputy Chief 	4,5
 Staff Services Managers	4,5
 Alarm Company Disciplinary Committee Members 	4,5
 Private Security Operator Disciplinary Committee 
  Members 	4,5

Bureau of Telephone Medical Advice Services 
 Chief 	4,5
 Associate Governmental Program Analyst	4,5

Division of Investigation 
 Chief	 2,4,5
 Deputy Chief 	 2,4,5
 Supervising Investigator  (All Levels)  	 2,4,5
 Staff Services Manager 	5
 Manager, Unlicensed Activity Program	2,5

Consultants/New Positions for the Department and all Boards, Commissions, Committees, Bureaus, and Programs * 
*Consultants/New Position shall be included in the list of designated employees and shall disclose pursuant to the broadest disclosure category in the code subject to the following limitation:
The (chief executive officer) may determine in writing that a particular consultant, although a “designated position,” is hired to perform a range of  duties that is limited in scope and thus is not required to fully comply with the disclosure requirements in this section. Such written determination shall include a description of the consultant's duties and, based upon that description, a statement of the extent of disclosure requirements. The (chief executive officer's) determination is a public record and shall be retained for public inspection in the same manner and location as this conflict of interest code. (Gov. Code Sec. 81008)
Disclosure Categories
Category 1
Designated officials or employees assigned to this category must report:
All interests in real property, as well as investments, business positions and sources of income, including gifts, loans and travel payments.
Category 2
Designated officials or employees assigned to this category must report:
All interests in real property and investments and business positions in, and any income, including gifts, loans and travel payments from, a business entity or individual where the business entity or individual's profession is regulated by or is of the type which qualifies for licensing or continuing education credit by any licensing agency within the Department of Consumer Affairs, or if, currently or within the previous four years, the Department of Consumer Affairs has taken any civil or administrative action against such entity, or has intervened in such action.
Category 3
Designated officials or employees assigned to this category must report:
Investments and business positions in, and any income, including gifts, loans and travel payments from, a business entity where the entity is engaged in the manufacturing, wholesaling or retailing of any equipment or product required to be approved or meet standards set by any licensing agency within the Department of Consumer Affairs.
Category 4
Designated officials or employees assigned to this category must report:
All interests in real property and investments and business positions in, and any income, including gifts, loans and travel payments from, a business entity, professional association or individual where the business entity, professional association or individual's profession is regulated by or offers programs or courses qualifying for licensing or continuing education credit by the official's or employee's licensing agency.
Category 5
Designated officials or employees assigned to this category must report:
Investments and business positions in, and any income, including gifts, loans and travel payments from, a business entity if, within the previous two years, the entity is of the type which has contracted with the official's or employee's immediate employer (e.g., board, bureau, division or licensing agency, or, when applicable, the department) to provide goods or services.
Category 6
Designated officials or employees assigned to this category must report:
Investments and business positions in, and any income, including gifts, loans and travel payments from, a business entity where the entity is engaged in the manufacturing, wholesaling, or retailing of any equipment or product required to be approved or meet standards set by the official's or employee's licensing agency.
Chapter 3. Immigration Consultants
§3840. Immigration Consultants Standard Contract.
Note     •     History

(a) Every immigration consultant as defined in Section 22451 of the Business and Professions Code shall complete the standard form contract as specified in subsection (b) of this section. Upon its execution by all parties, the immigration consultant shall provide a copy of the contract to all client parties. The contract shall be provided by the immigration consultant to the client in both English and the language of the client, the responsibility for translating the contract into the language of the client resting with the immigration consultant. The translation shall appear on the reverse side of the document containing the English version of the contract.
(b) Immigration Consultants Contract for Services. 

IMMIGRATION CONSULTANT
CONTRACT FOR SERVICES
This is a contract between                                                        , called

“Immigration Consultant,” and                                                          , called “client.”

NOTICE
1. It is important that the client read this entire contract before signing it.
2. (In 10 point bold type) This Immigration Consultant is not an attorney and cannot give legal advice or provide legal services in representing you in this immigration matter.
3. It is a violation of California law for the Immigration Consultant to keep any of your original documents because you have failed to pay fees or expenses to the Immigration Consultant.

I.--SERVICES
The Immigration Consultant will provide the following services: (List all services for which the client is being charged.)
A.                                                                                                         
B.                                                                                                          
C.                                                                                                          
D.                                                                                                         
You are paying only for those services listed above and the Immigration Consultant makes no promises to provide any other services. The Immigration Consultant does not have special influence and cannot obtain special favors from the United States Immigration and Naturalization Service. It is a violation of California law for the Immigration Consultant to claim special influence or to make false or misleading statements to the client.

II.--FEES AND EXPENSES
The client agrees to pay the Immigration Consultant the following fees and expenses:
A. A flat fee in the total amount of $____________ for all services and expenses to be paid (state terms of payment)

OR
B. An hourly rate of $____________ per hour, not to exceed a total of $____________ for all services and expenses. Where an hourly fee is charged, the Immigration Consultant agrees to provide a statement itemizing all services rendered and expenses incurred. This statement will be provided to the client at any time a payment is due, and at least every six months, whether or not a payment is due.

OR
C. A contingency fee in the amount of $____________ for all services and expenses. No part of this fee shall be paid until the Immigration Consultant achieves the following result for the client: (Here state the specific immigration status or other benefit to be achieved for the client.)

III.--CANCELLATION
This contract may be cancelled by the client, in writing, at any time.
A. If the contract is cancelled within 72 hours of its signing, the client is not required to pay any fees or expenses to the Immigration Consultant and is entitled to a refund of any fees or expenses previously paid.
B. If the contract is cancelled after 72 hours of being signed, the client shall pay the full contract fee and expenses if the contract was substantially completed or fully performed, or the reasonable value of the services provided and expenses incurred, whichever is less.
IV.--DAMAGES, ATTORNEYS FEES, AND COSTS
In the event of a suit for damages arising from this contract or to enforce any of its provisions the court may award reasonable attorneys fees and costs of the suit to the prevailing party.

Executed this ________day of _______________,19____. 
______________________________________________	_________________________________________________
 (Immigration Consultant)	(Client)                
______________________________________________	_________________________________________________
       (Street Address)	(Client)                
______________________________________________	_________________________________________________
         (City, State)	(Street Address)        
	_________________________________________________
 (    )                                          	  (City, State)             
     (Telephone Number)	           
	(       )                                       
	(Telephone Number)    
(BEFORE THIS CONTRACT IS VALID AND BINDING A COPY FULLY EXECUTED BY ALL PARTIES MUST BE GIVEN TO THE CLIENT.)
ALLEGED VIOLATIONS OF THE LAW GOVERNING THIS CONTRACT MAY BE REPORTED TO THE LOCAL DISTRICT ATTORNEY
NOTE

Authority cited: Section 22452, Business and Professions Code. Reference: Sections 22452, 22453 and 22454, Business and Professions Code.
HISTORY

1. New Subchapter 3 (Section 3840) filed 1-25-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 4).
Chapter 4. Unlawful Detainer Assistants
Article 1. Review of Denial of Registration or Renewal of Registration
§3850. Definitions.
Note     •     History

The following terms have the following meanings in this article:
(a) “Applicant” means an individual who has submitted an application to a county clerk for registration as an unlawful detainer assistant and who has been denied registration or renewal of registration by the county clerk under subdivision (c) of section 6406 of the Business and Professions Code.
(b) “Application” means an application form prepared by the clerk of a county that an applicant for registration as an unlawful detainer assistant in that county has properly completed and submitted to the county clerk, and that the county clerk has returned to the applicant under subdivision (c) of section 6406 of the Business and Professions Code.
(c) “Department” means the Department of Consumer Affairs.
(d) “Director” means the director of the Department of Consumer Affairs or his or her designee.
(e) “Disqualifying event” means a conviction, civil judgment or revocation of registration described in subdivision (b) of section 6406 of the Business and Professions Code. The term also means a disbarment or suspension from the practice of law described in section 6402 of the Business and Professions Code.
(f) “Unlawful detainer assistant” has the same meaning as in subdivision (a) of section 6400 of the Business and Professions Code.
NOTE

Authority cited: Section 6406, Business and Professions Code. Reference: Sections 10, 6400, 6402 and 6406, Business and Professions Code.
HISTORY

1. New subchapter 4 (section 3850) and section filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
2. Editorial correction changing subchapter 4 to chapter 4 (Register 96, No. 13).
3. New article 1 (sections 3850-3890), renumbering of former section 3850 to section 3890, and new section 3850 filed 6-15-99; operative 7-1-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 25).
§3860. Request for Review of Denial of Registration or Renewal.
Note     •     History

(a) Following a county clerk's denial of registration or renewal of registration as an unlawful detainer assistant pursuant to subdivision (c) of section 6406 of the Business and Professions Code, an applicant who wishes the director to review the denial shall submit the following documents to the director at the department's headquarters: the application that the applicant submitted to the county clerk and the county clerk's notice specifying the reasons for the denial of registration or renewal of registration.
(b) The applicant also shall submit to the director a certified copy of each final judgment and a certified copy of each conviction and disposition for each civil judgment, criminal conviction and revocation of registration that is disclosed on the applicant's application or cited in the county clerk's notice of denial.
(c) The applicant also shall submit to the director a certified copy of the order disbarring or suspending the applicant from the practice of law if a disbarment or suspension is disclosed in the application or is cited in the county clerk's notice of denial.
(d) The applicant also may submit any other relevant written information that the applicant wishes the director to consider.
(e) The applicant's request for review shall not be deemed to be submitted under section 3880 until the director has received at the department's headquarters all of the documents required by subdivision (a) and all of the documents as required by subdivisions (b) and (c).
NOTE

Authority cited: Section 6406, Business and Professions Code. Reference: Section 6406, Business and Professions Code.
HISTORY

1. New section filed 6-15-99; operative 7-1-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 25).
§3870. Director's Review of Denial of Registration or Renewal.
Note     •     History

(a) The director shall review the documents submitted by the applicant under section 3860 and shall apply the criteria stated in this section to determine whether to order that the applicant's certificate of registration be granted or denied pursuant to subdivision (e) of section 6406 of the Business and Professions Code.
(b) Where the county clerk has denied the applicant registration or renewal of registration because the applicant is currently disbarred or suspended from the practice of law as prohibited by section 6402 of the Business and Professions Code, or because of a conviction, civil judgment or revocation of registration as specified in subdivision (b) of section 6406 of that Code, the director shall review each disbarment, suspension, conviction, civil judgment and revocation of registration disclosed in the application or cited in the county clerk's notice of denial to determine whether any of these disqualifying events, separately or in combination, is substantially related to the qualifications, functions and duties of an unlawful detainer assistant. The director shall make this determination by applying the criteria stated in paragraphs (1) and (2).
(1) The director shall consider a disqualifying event to be substantially related to the qualifications, functions and duties of an unlawful detainer assistant if to a substantial degree it evidences present or potential unfitness of the applicant to perform the functions authorized by his or her registration in a manner consistent with the public health, safety or welfare.
(2) The director also shall evaluate the rehabilitation of the applicant and his or her present eligibility to be registered. The director shall consider the following criteria in making this evaluation:
(A) The nature and severity of the disqualifying event;
(B) Evidence of any act committed subsequent to the disqualifying event which also could be considered as grounds for denial under section 480 or subdivision (b) of section 6406 of the Business and Professions Code;
(C) The time that has elapsed since the disqualifying event occurred;
(D) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant;
(E) If applicable, evidence of expungement proceedings pursuant to section 1203.4 of the Penal Code; and
(F) Evidence, if any, of rehabilitation submitted by the applicant.
(3) The director's determination that a disqualifying event is substantially related to the qualifications, functions and duties of an unlawful detainer assistant shall constitute the director's determination, for purposes of subdivision (e) of section 6406 of the Business and Professions Code, that the issuance of a certificate of registration to the applicant is likely to expose consumers to a significant risk of harm.
NOTE

Authority cited: Section 6406, Business and Professions Code. Reference: Sections 475-482, 6402 and 6406, Business and Professions Code.
HISTORY

1. New section filed 6-15-99; operative 7-1-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 25).
§3880. Director's Decision.
Note     •     History

Within 30 days of the applicant's submission of his or her request for review under section 3860, the director shall complete the review and determination process prescribed by section 3870 and shall send to the applicant and the county clerk a written decision listing the reasons that registration shall be granted or denied. The director shall order the applicant's certificate of registration to be granted if the director determines that issuance of the certificate is not likely to expose consumers to a significant risk of harm. The director shall order the applicant's certificate of registration to be denied if the director determines that issuance of the certificate is likely to expose consumers to a significant risk of harm.
NOTE

Authority cited: Section 6406, Business and Professions Code. Reference: Section 6406, Business and Professions Code.
HISTORY

1. New section filed 6-15-99; operative 7-1-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 25).
Article 2. Unlawful Detainer Assistant Standard Contract
§3890. Unlawful Detainer Assistant Standard Contract.
Note     •     History

(a) Every unlawful detainer assistant as defined in subdivision (a) of Section 6400 of the Business and Professions Code who enters into a contract or agreement with a client to provide services shall complete the standard form contract specified in subdivision (b). Upon execution of the contract by all parties, and prior to providing any service, the unlawful detainer assistant shall give a copy of the contract to all client parties. The contract shall be in English and in any other language understood by the client and principally used in any oral sales presentation or negotiation leading to execution of the contract. The unlawful detainer assistant shall be responsible for translating the contract into any language other than English principally used in any oral sales presentation or negotiation leading to execution of the contract, and shall give all client parties copies of both the fully-executed English-language version of the contract and the foreign-language translation of it before any service has been provided.
(b) Unlawful Detainer Assistant Contract for Services.

UNLAWFUL DETAINER ASSISTANT
CONTRACT FOR SERVICES
This is a contract between me, _______________________, and you, _______________________, for the services described in Part I below. I am the “unlawful detainer assistant” and you are the “client.”

IMPORTANT NOTICES
1. You should read and understand this entire contract before you sign it.
2. [12-point bold type] I am not an attorney. I cannot perform the legal services that an attorney performs.  I cannot engage in the practice of law.
3. [12-point bold type] The county clerk has not evaluated or approved my knowledge or experience, or the quality of my work.
4. I cannot keep your original documents if you request that I return them to you. I cannot keep your original documents if you and I do not sign this contract or if this contract terminates (ends) for any reason. I cannot keep your original documents after all of the contract services have been provided (see Part I below). It is a violation of California law if I keep your original documents under any of these circumstances.
5. It is a violation of California law if I make any false or misleading statement to you.
6. I cannot obtain special favors from, and I do not have any special influence with, any court or any state or federal agency.
7. As required by law, I have filed a bond or made a cash deposit, and have registered as an unlawful detainer assistant in each county where I will perform services on your behalf.

I. SERVICES
[12-point bold type] I cannot engage in the practice of law. This means that I cannot give you any kind of advice, explanation, opinion or recommendation about possible legal rights, remedies, defenses, strategies or options that you may have. I cannot give you any advice, explanation, opinion or recommendation regarding selection of forms.
I will provide you all the following services (list all services for which the client is being charged):

A. 	

B. 	

C. 	

D. 	

You are paying me only for those services listed above and no others. It is unlawful for me to make any guarantee or promise to you unless it is written in this contract and unless I have a factual basis for making  the guarantee or promise.

II. FEES AND EXPENSES
You agree to pay me the following fees, costs and expenses:

A. A flat fee in the total amount of $ _______ for all services, costs and expenses, to be paid as follows (itemize services, costs and expenses and state terms of payment): 	

OR
B. A rate of $ _______ per hour, not to exceed a total of $ _______ for all services, costs and expenses. I will provide you a statement itemizing all services rendered, expenses incurred, and the balance owed, each time a payment is due.

III. CANCELLATION
[Bold type] You may cancel this contract for any reason within 24 hours after we both have signed it.
[Bold type] If you cancel the contract, I must immediately refund any fees which you have paid me. The only fees that I may keep are  fees for services which I have actually, necessarily and reasonably performed on your behalf during the 24-hour period. I cannot keep any fees for services performed during the 24-hour period unless you knew that I would perform those services and you agreed in this contract that I would perform them.
To cancel this contract, send me a written notice stating that you are canceling the contract. Mail the notice by first-class mail with the correct postage, and send it to me at my address (see Part V below). Cancellation takes effect on the date of the postmark on the notice. You can also cancel this contract by delivering a written notice of cancellation to my address within the 24-hour period.
You also may cancel this contract at any time if I:
· Fail to give you a copy of this contract before providing any services to you, or
· Fail to specify in the contract the services which I will perform and the costs of those services, or
· Fail to give you a copy of the contract in English and in any other language that you understand and that was principally used in any oral sales presentation or negotiation leading to execution of the contract.

If you cancel this contract for any of these reasons, I must immediately refund in full any fees which you have paid me.
You may also cancel this contract at any time if you have legal cause.

IV. ATTORNEY'S FEES AND COSTS
In the event of suit for damages arising from this contract or to enforce any of its provisions, the court may award the prevailing party his or her reasonable attorneys fees and costs.

V. DESCRIPTION OF THE PARTIES
Unlawful Detainer Assistant

Full name:		
Business name (if different):		
Street address of business:		
City, State:		
Telephone number:		
Fax number (if any):		

Registration number in
county where services will
be provided:			

 Date of expiration:		

 County:			

I have filed a bond or made a cash deposit in the following 
counties:			

Client

Name of client:		
Name of client:		
Street address:		
City, State:		
Telephone number:		

VI. SIGNATURES

Executed at 	, California.

			
(Signature of Unlawful		(Date)
Detainer Assistant)

Notices to Client
[12-point bold type] You may obtain information from the local bar association or a legal aid or legal services office regarding free or low-cost representation by a lawyer.
You may contact the local police, sheriff, district attorney or legal aid or legal services office if you believe that you are the victim of fraud, unauthorized practice of law or other injury.

			
(Client)		(Date)

(Client)		(Date)

(THIS CONTRACT IS NOT VALID OR BINDING UNTIL THE UNLAWFUL DETAINER ASSISTANT HAS GIVEN ALL CLIENT PARTIES A FULLY EXECUTED COPY OF  IT, INCLUDING AN ACCURATE TRANSLATION OF IT IN ANY LANGUAGE  OTHER THAN ENGLISH THAT THE CLIENT UNDERSTANDS AND THAT WAS PRINCIPALLY USED IN ANY ORAL SALES PRESENTATION OR NEGOTIATION LEADING TO EXECUTION OF THE CONTRACT.)
(c) The unlawful detainer assistant shall reproduce the standard form contract prescribed by subdivision (b).
NOTE

Authority cited: Section 6410, Business and Professions Code. Reference: Sections 6402, 6405, 6408, 6409, 6410 and 6411, Business and Professions Code.
HISTORY

1. New article 2 (section 3890) and renumbering and amendment of former section 3850 to section 3890 filed 6-15-99; operative 7-1-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 25). 
2. Editorial correction of History 1 (Register 99, No. 33).
Chapter 5. Legal Document Assistants
Article 1. Legal Document Assistant Registration Forms
§3900. Legal Document Assistant Registration Forms.
Note     •     History

(a) Every individual who wishes to register as a legal document assistant as defined in paragraph (1) of subdivision (c) of section 6400 of the Business and Professions Code shall complete the following form and submit it to the county clerk in each county where the individual performs acts for which registration is required: 

Individual 

APPLICATION FOR REGISTRATION AS LEGAL
DOCUMENT ASSISTANT
County of ____________

INSTRUCTIONS: Completely fill in all personal information requested in Part A. Check each applicable box in Parts B-E and provide information as requested for each box that is checked. Attach legible copies of all documents requested for each box that is checked (attach certified copies and originals as specified). You must sign the completed application under penalty of perjury. 
A. PERSONAL INFORMATION: 

Name: 	

Date of Birth: 	

Business Name: 	

Business Address: 	

Business Telephone Number: 	

California Driver's License Number: 	

(or other personal identification that is acceptable to the county clerk). 
B. EDUCATION AND EXPERIENCE: 
1. Paralegal Program/ABA School 

j	a.	I have earned a certificate of completion from a paralegal program that is approved by the American Bar Association (attach copy of certificate of completion). 
2. Paralegal Program/Non-ABA School

j	a.	I have earned a certificate of completion from a paralegal program that is institutionally accredited but that is not approved by the American Bar Association (attach copy of certificate of completion) 
AND

j	b.	I successfully completed a minimum of 24 semester units (or the equivalent) in legal specialization courses (attach copy of transcript).

		Number of semester units (or the equivalent)	
3. College or University

j	a.	I have a bachelor's degree in (field)	 (attach copy of diploma) 
AND

j	b.	I have completed at least one year of law-related experience working under the supervision of a licensed attorney (attach original statement on the attorney's letterhead signed by the attorney describing the scope and dates of your experience)
OR

j		I completed at least one year of experience providing self-help service as defined by Business and Professions Code § 6400(d) before January 1, 1999 (attach original statement describing the scope and dates of your experience).
4. High School or General Equivalency Diploma

j	a.	I have a high school diploma (attach copy of diploma) 
OR

j		I have a general equivalency diploma (attach copy of diploma)
AND

j	b.	I have completed at least two years of law-related experience working under the supervision of a licensed attorney (attach original statement on the attorney's letterhead signed by the attorney describing the scope and dates of your experience)
OR

j		I completed at least two years of experience providing self-help service as defined by Business and Professions Code § 6400(d) before January 1, 1999 (attach original statement describing the scope and dates of your experience).
C. CIVIL JUDGMENT:

j	1.	I have been held liable in a final judgment or a stipulated judgment entered in a civil action that alleged fraud, use of an untrue or misleading representation, or use of an unfair, unlawful or deceptive business practice (attach certified copy of each judgment).

j	2.	I have had a civil judgment entered against me in an action arising out of my negligent, reckless or wilful failure to properly perform my obligation as a legal document assistant or an unlawful detainer assistant (attach certified copy of each judgment).
D. CRIMINAL CONVICTION:

		(NOTE: Conviction means a plea or verdict of guilty or a conviction following a plea of nolo contendere. Any conviction dismissed under Penal Code § 1203.4 must be included.)

j	1.	I have been convicted of a felony (attach certified copies of each conviction and disposition).

j	2.	I have been convicted of misdemeanor unlawful practice of law or contempt of the authority of a court under Business and Professions Code § 6126 or § 6127 (attach certified copies of each conviction and disposition).

j	3.	I have been convicted of a misdemeanor violation of the provisions on legal document assistants and unlawful detainer assistants at Business and Professions Code §§ 6400-6416 (attach certified copies of each conviction and disposition).
E. REVOCATION OF REGISTRATION:

j	1.	I have had registration as a legal document assistant or an unlawful detainer assistant revoked by a county clerk under Business and Professions Code § 6413 (attach certified copy of each revocation).
I declare under penalty of perjury under the laws of the State of California that all information on this application and on all accompanying documents is true and correct and that I am not currently disbarred or suspended from the practice of law pursuant to Business and Professions Code §§ 6100-6117.

Signature: 	

Date: 	
(b) Every corporation or partnership that wishes to register as a legal document assistant as defined in paragraph (2) of subdivision (c) of Section 6400 of the Business and Professions Code shall complete the following form and submit it to the county clerk in each county where the corporation or partnership performs acts for which registration is required: 

Corporation or Partnership
APPLICATION FOR REGISTRATION AS LEGAL
DOCUMENT ASSISTANT
County of 	

INSTRUCTIONS: Completely fill in all business and personal information requested in Part A. Check each applicable box in Parts B-F and provide information as requested for each box that is checked. Attach legible copies of all documents requested for each box that is checked (attach certified copies and originals as specified). The completed application must be signed under penalty of perjury by a senior executive officer or a general partner.
A. BUSINESS AND PERSONAL INFORMATION:

Name of Corporation or Partnership: 	

Business Name: 	

Business Address: 	

Telephone number: 	

Name of Each Corporate Officer or
General Partner: 	

Date of Birth of Each Corporate Officer or
General Partner: 	
B. EDUCATION AND EXPERIENCE: (NOTE: This information must be provided for at least one corporate officer or general partner.)

		Name of corporate officer or general partner for whom education and experience information is provided: 	
1. Paralegal Program/ABA School

j	a.	The above-named officer or partner has earned a certificate of completion from a paralegal program that is accredited by the American Bar Association (attach copy of certificate of completion).
2. Paralegal Program/Non-ABA School

j	a.	The above-named officer or partner has earned a certificate of completion from a paralegal program that is institutionally accredited but that is not approved by the American Bar Association (attach copy of certificate of completion)
AND

j	b.	The above-named officer or partner has successfully completed a minimum of 24 semester units (or the equivalent) in legal specialization courses (attach copy of transcript).

		Number of semester units (or the equivalent) ________.
3. College or University

j	a.	The above-named officer or partner has a bachelor's degree in (field) 	 (attach copy of diploma)
AND

j	b.	The above-named officer or partner has completed at least one year of law-related experience working under the supervision of a licensed attorney (attach original statement on the attorney's letterhead signed by the attorney describing the scope and dates of this experience)
OR

j		The above-named officer or partner completed at least one year of experience providing self-help service as defined by Business and Professions Code § 6400(d) before January 1, 1999 (attach original statement signed by the officer or partner describing the scope and dates of this experience).
4. High School or General Equivalency Diploma

j	a.	The above-named officer or partner has a high school diploma (attach copy of diploma)
OR

j		The above-named officer or partner has a general equivalency diploma (attach copy of diploma)
AND

j	b.	The above-named officer or partner has completed at least two years of law-related experience working under the supervision of a licensed attorney (attach original statement on the attorney's letterhead signed by the attorney describing the scope and dates of this experience)
OR

j		The above-named officer or partner completed at least two years of experience providing self-help service as defined by Business and Professions Code § 6400(d) before January 1, 1999 (attach original statement signed by the officer or partner describing the scope and dates of this experience).
C. DISBARMENT/SUSPENSION: (NOTE: This information must be provided for each corporate officer or general partner.)

j	1.	An officer or general partner is presently disbarred or suspended from the practice of law pursuant to Business and Professions Code §§ 6100-6117.

Name: 	

Date of disbarment or suspension: 	
D. CIVIL JUDGMENT: (NOTE: This information must be provided for each corporate officer or general partner.)

j	1.	An officer or general partner has been held liable in a final judgment or a stipulated judgment entered in a civil action that alleged fraud, use of an untrue or misleading representation, or use of an unfair, unlawful or deceptive business practice (attach certified copy of each judgment).

j	2.	An officer or general partner has had a civil judgment entered against him or her in an action arising out of negligent, reckless or wilful failure to properly perform the obligations of a legal document assistant or an unlawful detainer assistant (attach certified copy of each judgment). 
E. CRIMINAL CONVICTION: (NOTE: This information must be provided for each corporate officer or general partner. Conviction means a plea or verdict of guilty or a conviction following a plea of nolo contendere. Any conviction dismissed under Penal Code § 1203.4 must be included.)

j	1.	An officer or general partner has been convicted of a felony (attach certified copies of each conviction and disposition).

j	2.	An officer or general partner has been convicted of misdemeanor unlawful practice of law or contempt of the authority of a court under Business and Professions Code § 6126 or § 6127 (attach certified copies of each conviction and disposition).

j	3.	An officer or general partner been convicted of a misdemeanor violation of the provisions on legal document assistants and unlawful detainer assistants at Business and Professions Code §§ 6400-6416 (attach certified copies of each conviction and disposition).
F. REVOCATION OF REGISTRATION: (NOTE: This information must be provided for each corporate officer or general partner.)

j	1.	An officer or general partner has had registration as a legal document assistant or an unlawful detainer assistant revoked by a county clerk under Business and Professions Code § 6413 (attach certified copy of each revocation).
I declare under penalty of perjury under the laws of the State of California that all information on this application and on all accompanying documents is true and correct.

Signature:* 	

Title: 	

Date: 	
* Corporate applicant: Application must be signed by the chairman of the board or the president; or by any vice president and the secretary, any assistant secretary, the chief financial officer or any assistant treasurer. 
* Partnership applicant: Application must be signed by at least one general partner. 
(c) The county clerk in each county shall reproduce the application forms prescribed by subdivisions (a) and (b). 
NOTE

Authority cited: Section 6402, Business and Professions Code. Reference: Sections 7.5, 6402, 6402.1 and 6403, Business and Professions Code.
HISTORY

1. New chapter 5 (articles 1-5), article 1 (section 3900) and section filed 8-12-99; operative 8-16-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 33). 
Article 2. Review of Denial of Registration or Renewal of Registration
§3910. Definitions.
Note     •     History

The following terms have the following meanings in this article: 
(a) “Applicant” means an individual, partnership or corporation that has submitted an application to a county clerk for registration as a legal document assistant and that has been denied registration or renewal of registration by the county clerk under subdivision (c) of section 6406 of the Business and Professions Code. 
(b) “Application” means the application form prescribed by subdivision (a) or (b) of section 3900 that an applicant has properly completed and submitted to a county clerk, and that the county clerk has returned to the applicant under subdivision (c) of section 6406 of the Business and Professions Code. 
(c) “Department” means the Department of Consumer Affairs. 
(d) “Director” means the director of the Department of Consumer Affairs or his or her designee. 
(e) “Disqualifying event” means a conviction, civil judgment or revocation of registration described in subdivision (b) of section 6406 of the Business and Professions Code. The term also means a disbarment or suspension from the practice of law described in section 6402 of the Business and Professions Code. 
(f) “Legal document assistant” has the same meaning as in subdivision (c) of section 6400 of the Business and Professions Code. 
NOTE

Authority cited: Section 6406, Business and Professions Code. Reference: Sections 10, 6400, 6402 and 6406, Business and Professions Code.
HISTORY

1. New article 2 (sections 3910-3940) and section filed 8-12-99; operative 8-16-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 33). 
§3920. Request for Review of Denial of Registration or Renewal.
Note     •     History

(a) Following a county clerk's denial of registration or renewal of registration as a legal document assistant pursuant to subdivision (c) of section 6406 of the Business and Professions Code, an applicant who wishes the director to review the denial shall submit the following documents to the director at the department's headquarters: (1) the application that the applicant submitted to the county clerk and (2) the county clerk's notice specifying the reasons for the denial of registration or renewal of registration. 
(b) The applicant also shall submit to the director a certified copy of: 
(1) each final judgment or stipulated judgment for each civil judgment, 
(2) each conviction and disposition for each criminal conviction, and 
(3) each revocation of registration for each revocation of registration that is disclosed in the applicant's application or cited in the county clerk's notice of denial. 
(c) The applicant also shall submit to the director a certified copy of the order disbarring or suspending the applicant from the practice of law if a disbarment or suspension is disclosed in the applicant's application or is cited in the county clerk's notice of denial. 
(d) The applicant also may submit any other relevant written information that the applicant wishes the director to consider. 
(e) The applicant's request for review shall not be deemed to be submitted under section 3940 until the director has received at the department's headquarters all of the documents required by subdivision (a) and all of the documents as required by subdivisions (b) and (c). 
NOTE

Authority cited: Section 6406, Business and Professions Code. Reference: Section 6406, Business and Professions Code.
HISTORY

1. New section filed 8-12-99; operative 8-16-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 33). 
§3930. Director's Review of Denial of Registration or Renewal.
Note     •     History

(a) The director shall review the documents submitted by the applicant under section 3920 and shall apply the criteria stated in this section to determine whether to order that the applicant's certificate of registration be granted or denied pursuant to subdivision (e) of section 6406 of the Business and Professions Code. 
(b) Where the county clerk has denied the applicant registration or renewal of registration because the applicant has failed to demonstrate having met one of the education and experience requirements stated in section 6402.1 of the Business and Professions Code, the director shall determine whether the failure specified in the county clerk's notice of denial is likely to expose consumers to a significant risk of harm. 
(c) Where the county clerk has denied the applicant registration or renewal of registration because the applicant is currently disbarred or suspended from the practice of law as prohibited by section 6402 of the Business and Professions Code, or because of a conviction, civil judgment or revocation of registration as specified in subdivision (b) of section 6406 of that Code, the director shall review each disbarment, suspension, conviction, civil judgment and revocation of registration disclosed in the application or cited in the county clerk's notice of denial to determine whether any of these disqualifying events, separately or in combination, is substantially related to the qualifications, functions and duties of a legal document assistant. The director shall make this determination by applying the criteria stated in paragraphs (1) and (2). 
(1) The director shall consider a disqualifying event to be substantially related to the qualifications, functions and duties of a legal document assistant if to a substantial degree it evidences present or potential unfitness of the applicant to perform the functions authorized by his or her registration in a manner consistent with the public health, safety or welfare. 
(2) The director also shall evaluate the rehabilitation of the applicant and his or her present eligibility to be registered. The director shall consider the following criteria in making this evaluation: 
(A) The nature and severity of the disqualifying event; 
(B) Evidence of any act committed subsequent to the disqualifying event which also could be considered as grounds for denial under section 480 or subdivision (b) of section 6406 of the Business and Professions Code; 
(C) The time that has elapsed since the disqualifying event occurred; 
(D) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant; 
(E) If applicable, evidence of expungement proceedings pursuant to section 1203.4 of the Penal Code; and
(F) Evidence, if any, of rehabilitation submitted by the applicant. 
(3) The director's determination that a disqualifying event is substantially related to the qualifications, functions and duties of a legal document assistant shall constitute the director's determination, for purposes of subdivision (e) of section 6406 of the Business and Professions Code, that the issuance of a certificate of registration to the applicant is likely to expose consumers to a significant risk of harm. 
NOTE

Authority cited: Section 6406, Business and Professions Code. Reference: Sections 475-482, 6402 and 6406, Business and Professions Code.
HISTORY

1. New section filed 8-12-99; operative 8-16-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 33). 
§3940. Director's Decision.
Note     •     History

Within 30 days of the applicant's submission of his or her request for review under section 3920, the director shall complete the review and determination process prescribed by section 3930 and shall send to the applicant and the county clerk a written decision listing the reasons that registration shall be granted or denied. The director shall order the applicant's certificate of registration to be granted if the director determines that issuance of the certificate is not likely to expose consumers to a significant risk of harm. The director shall order the applicant's certificate of registration to be denied if the director determines that issuance of the certificate is likely to expose consumers to a significant risk of harm. 
NOTE

Authority cited: Section 6406, Business and Professions Code. Reference: Section 6406, Business and Professions Code.
HISTORY

1. New section filed 8-12-99; operative 8-16-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 33). 
Article 3. Legal Document Assistant Standard Contract
§3950. Legal Document Assistant Standard Contract.
Note     •     History

(a) Every legal document assistant as defined in subdivision (c) section 6400 of the Business and Professions Code who enters into a contract or agreement with a client to provide self-help services shall complete the standard form contract specified in subdivision (b). Upon execution of the contract by all parties, and prior to providing any service, the legal document assistant shall give a copy of the contract to all client parties. The contract shall be in English and in any other language understood by the client and principally used in any oral sales presentation or negotiation leading to execution of the contract. The legal document assistant shall be responsible for translating the contract into any language other than English principally used in any oral sales presentation or negotiation leading to execution of the contract, and shall give all client parties copies of both the fully-executed English-language version of the contract and the foreign-language translation of it before providing any service. 
(b) Legal Document Assistant Contract for Self-Help Services. 

LEGAL DOCUMENT ASSISTANT 
CONTRACT FOR SELF-HELP SERVICES 
This is a contract between me, ____________________, and you, ___________________, for the self-help services described in Part I below. I am the “legal document assistant” and you are the “client.” 

IMPORTANT NOTICES 
1. You should read and understand this entire contract before you sign it. You should understand the kinds of services that I can and cannot perform for you (see Part I below). 
2. [12-point bold type] I am not an attorney. I cannot perform the legal services that an attorney performs. I cannot engage in the practice of law.
3. [12-point bold type] The county clerk has not evaluated or approved my knowledge or experience, or the quality of my work.
4. I cannot keep your original documents if you request that I return them to you. I cannot keep your original documents if you and I do not sign this contract or if this contract terminates (ends) for any reason. I cannot keep your original documents after all of the contract services have been provided (see Part I below). It is a violation of California law if I keep your original documents under any of these circumstances. 
5. It is a violation of California law if I make any false or misleading statement to you. 
6. I cannot obtain special favors from, and I do not have any special influence with, any court or any state or federal agency. 
7. As required by law, I have filed a bond or made a cash deposit and have registered as a legal document assistant in each county where I will perform services on your behalf. 

I. SELF-HELP SERVICES 
Kinds of services that I can perform for you: I can perform the following self-help services for you in connection with a legal matter in which you are representing yourself: I can type or otherwise complete, as you specifically direct, legal documents that you have selected. I can provide you general published factual legal information that has been written or approved by an attorney, to help you represent yourself. I can provide you published legal documents. I can file and serve legal forms and documents as you specifically direct. 
These are the only kinds of services that I can perform for you. I cannot provide you any service if you need additional services. If you need additional services, then you require the services of an attorney. 
Kinds of services that I cannot perform for you: I cannot provide you any self-help service unless you are representing yourself in a legal matter and the self-help service relates to that legal matter. 
[12-point bold type] I cannot engage in the practice of law. This means that I cannot give you any kind of advice, explanation, opinion or recommendation about possible legal rights, remedies, defenses, strategies or options that you may have. I cannot give you any advice, explanation, opinion or recommendation regarding selection of forms. 
I will provide you all the following services (list all services for which the client is being charged): 

A. 	

B. 	

C. 	

D. 	
You are paying me only for those services listed above and no others. It is unlawful for me to make any guarantee or promise to you unless it is written in this contract and unless I have a factual basis for making the guarantee or promise. 

II. FEES AND EXPENSES 
You agree to pay me the following fees, costs and expenses: 
A. A flat fee in the total amount of $____________________ for all services, costs and expenses, to be paid as follows (itemize services, costs and expenses and state terms of payment):  

 	

OR 
B. A rate of $____________________ per hour, not to exceed a total of $____________________ for all services, costs and expenses. I will provide you a statement itemizing all services rendered, expenses incurred, and the balance owed, each time a payment is due. 

III. CANCELLATION 
[Bold type] You may cancel this contract for any reason within 24 hours after we both have signed it.
[Bold type] If you cancel the contract, I must immediately refund any fees which you have paid me. The only fees that I may keep are fees for services which I have actually, necessarily and reasonably performed on your behalf during the 24-hour period. I cannot keep any fees for services performed during the 24-hour period unless you knew that I would perform those services and you agreed in this contract that I would perform them.
To cancel this contract, send me a written notice stating that you are canceling the contract. Mail the notice by first-class mail with the correct postage, and send it to me at my address (see Part V below). Cancellation takes effect on the date of the postmark on the notice. You can also cancel this contract by delivering a written notice of cancellation to my address within the 24-hour period.
You may also cancel this contract at any time if I: 
· Fail to give you a copy of this contract before providing any services to you, or
· Fail to specify in the contract the services which I will perform and the costs of those services, or
· Fail to give you a copy of the contract in English and in any other language that you understand and that was principally used in any oral sales presentation or negotiation leading to execution of the contract.

If you cancel this contract for any of these reasons, I must immediately refund in full any fees which you have paid me.
You may also cancel this contract at any time if you have legal cause. 

IV. ATTORNEY'S FEES AND COSTS 
In the event of suit for damages arising from this contract or to enforce any of its provisions, the court may award the prevailing party his or her reasonable attorney's fees and costs. 

V. DESCRIPTION OF THE PARTIES 

Legal Document Assistant

Full name:		
Business name (if different):		
Street address of business:		
City, State, ZIP:		
Telephone number:		
Fax number (if any):		

Registration number in
county where services will
be provided:			

 Date of expiration:		

 County:			

I have filed a bond or made a cash deposit in the following 
counties:			

Client

Name of client:		
Name of client:		
Street address:		
City, State, ZIP:		
Telephone number:		

Title or brief description of the legal matter in which the client is representing himself or herself:			

VI. SIGNATURES 

Executed at 	, California.

			
(Signature of Legal		(Date)
Document Assistant)

Notices to Client
[12-point bold type] You may obtain information from the local bar association or a legal aid or legal services office regarding free or low-cost representation by a lawyer.
You may contact the local police, sheriff, district attorney or legal aid or legal services office if you believe that you are the victim of fraud, unauthorized practice of law or other injury.

			
(Client)		(Date)

(Client)		(Date)

(THIS CONTRACT IS NOT VALID OR BINDING UNTIL THE LEGAL DOCUMENT ASSISTANT HAS GIVEN ALL CLIENT PARTIES A FULLY EXECUTED COPY OF IT, INCLUDING AN ACCURATE TRANSLATION OF IT IN ANY LANGUAGE OTHER THAN ENGLISH THAT THE CLIENT UNDERSTANDS AND THAT WAS PRINCIPALLY USED IN ANY ORAL SALES PRESENTATION OR NEGOTIATION LEADING TO EXECUTION OF THE CONTRACT.) 
(c) The legal document assistant shall reproduce the standard form contract prescribed by subdivision (b). 
NOTE

Authority cited: Section 6410, Business and Professions Code. Reference: Sections 6401.6, 6402, 6405, 6408, 6409, 6410 and 6411, Business and Professions Code.
HISTORY

1. New article 3 (section 3950) and section filed 8-12-99; operative 8-16-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 33). 
Chapter 6. Telephone Medical Advice
Article 1. General Provisions
§4000. Citation.
Note     •     History

Chapter 6 of Division 38 of Title 16 shall be cited and referred to as the “Telephone Medical Advice Services Regulations.”
NOTE

Authority cited: Section 4999.6, Business and Professions Code. Reference: Section 4999, Business and Professions Code.
HISTORY

1. New chapter 6 (articles 1-5, sections 4000-4040), article 1 (sections 4000-4001) and section filed 9-21-2000 as an emergency; operative 9-21-2000. Pursuant to Business and Professions Code section 4999.9, a Certificate of Compliance must be transmitted to OAL by 3-20-2001 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only (Register 2000, No. 38).
2. Editorial correction of History 1 (Register 2001, No. 10).
3. New chapter 6 (articles 1-5, sections 4000-4040), article 1 (sections 4000-4001) and section refiled 3-19-2001 as an emergency; operative 3-19-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-19-2001 order transmitted to OAL 7-16-2001 and filed 8-24-2001 (Register 2001, No. 34).
§4001. Definitions.
Note     •     History

For the purpose of the regulations contained in this chapter, the terms:
(a) “Act” shall mean the laws governing telephone medical advice services as contained in Chapter 15 (commencing with Section 4999) of Division 2 of the Business and Professions Code, Section 1348.8 of the Health and Safety Code, and Section 10279 of the Insurance Code.
(b) “Bureau” shall mean the Telephone Medical Advice Services Bureau within the Department of Consumer Affairs.
(c) “Business” shall mean individual, partnership, corporation, company and any other business entity.
(d) “Code” shall mean the Business and Professions Code.
(e) “Consumer” shall mean “patient,” “client,” or any other user of a telephone medical advice services residing in California.
(f) “Registrant” shall mean a telephone medical advice services business registered by the Bureau under the Act, including the individual owner, partners, officers, members or trustees of the registrant.
NOTE

Authority cited: Section 4999.6, Business and Professions Code. Reference: Section 4999, Business and Professions Code.
HISTORY

1. New section filed 9-21-2000 as an emergency; operative 9-21-2000. Pursuant to Business and Professions Code section 4999.9, a Certificate of Compliance must be transmitted to OAL by 3-20-2001 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only (Register 2000, No. 38).
2. Editorial correction of History 1 (Register 2001, No. 10).
3. New section refiled 3-19-2001 as an emergency; operative 3-19-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-19-2001 order, including amendment of section, transmitted to OAL 7-16-2001 and filed 8-24-2001 (Register 2001, No. 34).
Article 2. Applications
§4010. Applications.
Note     •     History

(a) Businesses applying for initial registration shall complete and submit the Application for Registration Form A-1 Rev: 03/13/2001, incorporated herein by reference, and Form A-2 Rev: 03/13/2001 incorporated herein by reference and fee prescribed in Section 4040(a) to the Bureau for processing.
(b) In addition to the information required by Section 4999.1 of the Code, an applicant shall comply with the following requirements:
(1) If the business is a limited liability company, the application shall be signed by one of the owners, and she or he shall be identified as the owner, partner, president, secretary, member, or trustee.
(2) If the business is a corporation, the name and address of the corporation shall be provided.
(c) A registrant seeking to renew a telephone medical advice services registration shall pay the fee(s) specified in Section 4040. All registrations shall expire 24 months after the initial date of registration on the last day of the month.
NOTE

Authority cited: Section 4999.6, Business and Professions Code. Reference: Sections 4999.1 and 4999.2, Business and Professions Code.
HISTORY

1. New article 2 (sections 4010-4013) and section filed 9-21-2000 as an emergency; operative 9-21-2000. Pursuant to Business and Professions Code section 4999.9, a Certificate of Compliance must be transmitted to OAL by 3-20-2001 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only (Register 2000, No. 38).
2. Editorial correction of History 1 (Register 2001, No. 10).
3. New article 2 (sections 4010-4013) and section refiled 3-19-2001 as an emergency; operative 3-19-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-19-2001 order, including amendment of section and Note, transmitted to OAL 7-16-2001 and filed 8-24-2001 (Register 2001, No. 34).
§4011. Permit Processing Times.
Note     •     History

(a) “Permit” as defined by the Permit Reform Act of 1981 means any license, certificate, registration, permit, or any other form of authorization required by a state agency to engage in a particular activity or act. Processing times for the Telephone Medical Advice Services Bureau are set forth below. The actual times reflect the period from the date the Bureau receives an application to the date a registration is issued.
(b) Applications for an Initial or to Renew a Registration: The Bureau shall inform, in writing, an applicant seeking a registration (initial or to renew) within thirty (30) calendar days from receipt of an application of its decision whether the application is complete and accepted for filing or is deficient and what specific information is needed.
(c) Once an application is “complete” the Bureau shall inform an applicant seeking a registration (initial or to renew) within forty-five (45) calendar days after completion of the application of its decision whether the applicant meets the requirements of registration and is approved. “Completion of the application” means that a completed application form together with all required information, documentation, and fees have been received by the Bureau.
(d) The minimum, median, and maximum processing times for registration from the time of receipt of a completed application until the Bureau makes a decision are set forth below:
Initial Registration:

	Minimum	=	Unknown*

	Median	=	Unknown*

	Maximum	=	Unknown*
Renewal of Registration

	Minimum	=	Unknown*

	Median	=	Unknown*

	Maximum	=	Unknown*
*The Bureau was enacted by the Legislature on January 1, 2000 and the actual processing times based on the prior two years are not yet known.
NOTE

Authority cited: Section 4999.6, Business and Professions Code; and Section 15376, Government Code. Reference: Section 15376, Government Code.
HISTORY

1. New section filed 9-21-2000 as an emergency; operative 9-21-2000. Pursuant to Business and Professions Code section 4999.9, a Certificate of Compliance must be transmitted to OAL by 3-20-2001 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only (Register 2000, No. 38).
2. Editorial correction of History 1 (Register 2001, No. 10).
3. New section refiled 3-19-2001 as an emergency; operative 3-19-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-19-2001 order, including amendment of section, transmitted to OAL 7-16-2001 and filed 8-24-2001 (Register 2001, No. 34).
§4012. Substantial Relationship Criteria.
Note     •     History

For the purposes of denial, suspension, or revocation of a Telephone Medical Advice Services registration pursuant to Division 1.5 (commencing with Section 475) of the Code, a crime or act shall be considered to be substantially related to the qualifications, functions or duties of a telephone medical advice service if it evidences present or potential unfitness of a telephone medical advice service to perform the functions authorized by its registration in a manner consistent with the public health, safety, or welfare.
NOTE

Authority cited: Section 4999.6, Business and Professions Code. Reference: Sections 475 and 4999.3, Business and Professions Code.
HISTORY

1. New section filed 9-21-2000 as an emergency; operative 9-21-2000. Pursuant to Business and Professions Code section 4999.9, a Certificate of Compliance must be transmitted to OAL by 3-20-2001 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only (Register 2000, No. 38).
2. Editorial correction of History 1 (Register 2001, No. 10).
3. New section refiled 3-19-2001 as an emergency; operative 3-19-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-19-2001 order transmitted to OAL 7-16-2001 and filed 8-24-2001 (Register 2001, No. 34).
§4013. Criteria for Rehabilitation.
Note     •     History

(a) The Bureau shall evaluate the rehabilitation of the applicant, or registrant, or petitioner and her or his present eligibility for a registration under the following circumstances:
(1) When considering the denial of an applicant for registration under the provisions of Section 480 of the Code.
(2) When considering the suspension or revocation of a registration on the grounds that a registrant has been convicted of a crime.
(3) When considering a petition for reinstatement of a registration under the provisions of Section 11522 of the Government Code.
(b) In evaluating the rehabilitation of the applicant, registrant, or petitioner, the Bureau shall consider the following criteria:
(1) The nature and severity of the act(s) or crime(s) under consideration.
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial that also could be considered as grounds for denial under Section 480 of the Code when considering an applicant pursuant to subsection (a)(1) of this section.
(3) The total criminal record when considering an applicant, registrant, or petitioner pursuant to subsections (a)(1), (a)(2), and (a)(3) of this section.
(4) The time that has elapsed since commission of the act(s) or crime(s) under consideration.
(5) The extent to which the applicant, registrant, or petitioner has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant, registrant, or petitioner.
(6) Evidence, if any, of rehabilitation submitted by the applicant, registrant, or petitioner. Such evidence may include, but is not limited to, proof of additional training or education, or evidence of service to the community.
NOTE

Authority cited: Section 4999.6, Business and Professions Code. Reference: Section 482, Business and Professions Code.
HISTORY

1. New section filed 9-21-2000 as an emergency; operative 9-21-2000. Pursuant to Business and Professions Code section 4999.9, a Certificate of Compliance must be transmitted to OAL by 3-20-2001 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only (Register 2000, No. 38).
2. Editorial correction of History 1 (Register 2001, No. 10).
3. New section refiled 3-19-2001 as an emergency; operative 3-19-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-19-2001 order, including amendment of subsections (a) and (b), transmitted to OAL 7-16-2001 and filed 8-24-2001 (Register 2001, No. 34).
Article 3. Registered Telephone Medical Advice Services
§4020. Engaged in the Business.
Note     •     History

This Act shall not apply to businesses that are providing telephone medical advice services to patients temporarily visiting from out-of-state provided that the business does not otherwise provide telephone medical advice services to patients in California.
NOTE

Authority cited: Section 4999.6, Business and Professions Code. Reference: Sections 4999 and 4999.7, Business and Professions Code.
HISTORY

1. New article 3 (sections 4020-4025) and section filed 9-21-2000 as an emergency; operative 9-21-2000. Pursuant to Business and Professions Code section 4999.9, a Certificate of Compliance must be transmitted to OAL by 3-20-2001 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only (Register 2000, No. 38).
2. Editorial correction of History 1 (Register 2001, No. 10).
3. New article 3 (sections 4020-4025) and section refiled 3-19-2001 as an emergency; operative 3-19-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-19-2001 order, including amendment of section, transmitted to OAL 7-16-2001 and filed 8-24-2001 (Register 2001, No. 34).
§4021. Good Professional Practice.
Note     •     History

“Good professional practice” is that standard of practice consistent with the current ethical principals and codes of conduct, and that meets and adheres to laws and regulations as specified in Division 2 of the Business and Professions Code, that apply to the professional practices that may provide telephone medical advice as specified in Section 4999 of the Business and Professions Code.
NOTE

Authority cited: Sections 4999.2 and 4999.6, Business and Professions Code. Reference: Sections 4999 and 4999.2, Business and Professions Code.
HISTORY

1. New section filed 9-21-2000 as an emergency; operative 9-21-2000. Pursuant to Business and Professions Code section 4999.9, a Certificate of Compliance must be transmitted to OAL by 3-20-2001 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only (Register 2000, No. 38).
2. Editorial correction of History 1 (Register 2001, No. 10).
3. New section refiled 3-19-2001 as an emergency; operative 3-19-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-19-2001 order transmitted to OAL 7-16-2001 and filed 8-24-2001 (Register 2001, No. 34).
§4022. Consumer Complaints; Disclosure.
Note     •     History

(a) Complainant Rules:
(1) Consumers that contact the Bureau directly to complain about a telephone medical advice service shall be sent, by the Bureau, a Consumer Complaint Form A-5, Rev: 05/17/2001, incorporated herein by reference, Pages 1 and 2. The consumer shall complete Form A-5 and return it to the Bureau for processing in accordance with Section 129 of the Code.
(2) If a consumer refuses to execute the authorization for release of information contained in Form A-5, Page 2, the Bureau may not be able to investigate or forward the complaint.
(b) Registrant's Rules:
(1) If a registrant receives a consumer complaint in writing relating to telephone medical advice, the registrant shall immediately send the consumer the Consumer Complaint Form A-5.
(2) If a registrant receives a consumer complaint by telephone relating to telephone medical advice, the registrant shall immediately send the consumer the Consumer Complaint Form A-5.
(3) If a registrant receives a completed Consumer Complaint Form A-5 the registrant shall immediately forward the complaint to the Bureau.
(4) Registrants shall report all data based on any form of written and verbal complaints as described in subsections (b)(1), (2), and (3) and report such data to the Bureau every calendar quarter.
(c) The Bureau shall forward a copy of any complaint submitted to the Program pursuant to this chapter within ten (10) business days to the entity that issued the license to the licensee involved in the advice provided to the consumer.
NOTE

Authority cited: Section 4999.6, Business and Professions Code. Reference: Sections 129 and 4999.3, Business and Professions Code.
HISTORY

1. New section filed 9-21-2000 as an emergency; operative 9-21-2000. Pursuant to Business and Professions Code section 4999.9, a Certificate of Compliance must be transmitted to OAL by 3-20-2001 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only (Register 2000, No. 38).
2. Editorial correction of History 1 (Register 2001, No. 10).
3. New section refiled 3-19-2001 as an emergency; operative 3-19-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-19-2001 order, including further amendment of section and Note, transmitted to OAL 7-16-2001 and filed 8-24-2001 (Register 2001, No. 34).
§4023. Quarterly Reports.
Note     •     History

(a) The Bureau shall utilize Quarterly Reports to collect complaint data pertaining to telephone medical advice as mandated by Section 4999.8 of the Code. Every registrant shall file a Quarterly Report Form A-3, Rev: 03/13/2001 incorporated herein by reference, with the Bureau.
(b) A registrant that signed the initial application for registration shall date and sign the quarterly report under penalty of perjury.
(c) Registrants shall file quarterly reports to the Bureau within 30 days of the end of each calendar quarter. Each calendar quarter is specified as follows:
(1) First Quarter covering January 1 through March 31
(2) Second Quarter covering April 1 through June 30
(3) Third Quarter covering July 1 through September 30
(4) Fourth Quarter covering October 1 through December 31
(d) If there are no changes to the health care professional information contained in the most recent quarterly report, the registrant shall so certify to this on Form A-3 and is thus exempt from providing Form A-2.
NOTE

Authority cited: Section 4999.6, Business and Professions Code. Reference: Sections 4999.1 and and 4999.8, Business and Professions Code.
HISTORY

1. New section filed 9-21-2000 as an emergency; operative 9-21-2000. Pursuant to Business and Professions Code section 4999.9, a Certificate of Compliance must be transmitted to OAL by 3-20-2001 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only (Register 2000, No. 38).
2. Editorial correction of History 1 (Register 2001, No. 10).
3. New section refiled 3-19-2001 as an emergency; operative 3-19-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-19-2001 order, including further amendment of section, transmitted to OAL 7-16-2001 and filed 8-24-2001 (Register 2001, No. 34).
§4024. Recordkeeping.
Note     •     History

(a) Registrants shall make records of the telephonic exchange of information between the telephone medical advice service and each consumer. The record shall be adequate to ensure effective review by the Bureau; example, permitting an administrative review of the record to investigate a complaint. At a minimum, the record shall consist of an accurate summary of the telephonic information exchanged including, but not limited to, the names of the caller and health care provider, date and time of the call, the patient's question regarding his or her or a family member's medical care or treatment, and the response that was provided.
(b) For purposes of this chapter, the term “record” or “records” includes all material possessed by the registrant regardless of form or format that relates to the provision of telephone medical advice to consumers in this state.
(c) Records created pursuant to this chapter shall be maintained for a period of five years. Registrants shall also maintain copies of all consumer complaints made to the registrant regarding its telephone medical advice service for a period of five years.
NOTE

Authority cited: Section 4999.6, Business and Professions Code. Reference: Section 4999.2, Business and Professions Code.
HISTORY

1. New section filed 9-21-2000 as an emergency; operative 9-21-2000. Pursuant to Business and Professions Code section 4999.9, a Certificate of Compliance must be transmitted to OAL by 3-20-2001 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only (Register 2000, No. 38).
2. Editorial correction of History 1 (Register 2001, No. 10).
3. New section refiled 3-19-2001 as an emergency; operative 3-19-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-19-2001 order, including repealer and new section, transmitted to OAL 7-16-2001 and filed 8-24-2001 (Register 2001, No. 34).
§4025. Inspection of Records.
Note     •     History

(a) All records relating to the provision of telephone medical advice to consumers in this state shall be open to inspection by the Bureau, or its authorized representatives, during regular business hours. A copy of all those records shall be provided to the Bureau within ten (10) business days of the Bureau's request.
(b) This Act will be executed consistent with provisions of the California Confidentiality of Medical Information Act, Part 2.6, Division 1 of the Civil Code.
NOTE

Authority cited: Section 4999.6, Business and Professions Code. Reference: Section 4999.2, Business and Professions Code; Part 2.6, Division 1, Civil Code.
HISTORY

1. New section filed 9-21-2000 as an emergency; operative 9-21-2000. Pursuant to Business and Professions Code section 4999.9, a Certificate of Compliance must be transmitted to OAL by 3-20-2001 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only (Register 2000, No. 38).
2. Editorial correction of History 1 (Register 2001, No. 10).
3. New section refiled 3-19-2001 as an emergency; operative 3-19-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-19-2001 order, including further amendment of section and Note, transmitted to OAL 7-16-2001 and filed 8-24-2001 (Register 2001, No. 34).
Article 4. Disciplinary Proceedings
§4030. Citations; Content and Service.
Note     •     History

NOTE

Authority cited: Sections 125.9 and 4999.6, Business and Professions Code. Reference: Sections 125.9 and 4999.2, Business and Professions Code.
HISTORY

1. New article 4 (sections 4030-4034) and section filed 9-21-2000 as an emergency; operative 9-21-2000. Pursuant to Business and Professions Code section 4999.9, a Certificate of Compliance must be transmitted to OAL by 3-20-2001 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only (Register 2000, No. 38).
2. Editorial correction of History 1 (Register 2001, No. 10).
3. New article 4 (sections 4030-4034) and section refiled 3-19-2001 as an emergency; operative 3-19-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-19-2001 order, including renumbering of former section 4030 to section 4031, transmitted to OAL 7-16-2001 and filed 8-24-2001 (Register 2001, No. 34).
§4031. Citations; Content and Service.
Note     •     History

(a) The director or her or his designee is authorized to determine when and against whom a citation will be issued and to issue citations containing orders of abatement and/or fines for violations by registrants of the statutes and regulations governing telephone medical advice service providers.
(b) Each citation shall be in writing and shall describe with particularity the nature and facts of each violation specified in the citation, including a reference to the statute or regulation alleged to have been violated.
(c) The citation may contain an assessment of an administrative fine, an order of abatement fixing a reasonable time for abatement of the violation, or both.
(d) The citation shall inform the cited registrant of the right to a citation review conference concerning the matter and of the right to an administrative hearing.
(e) The Bureau shall serve the citation upon the cited registrant personally or by certified mail, return receipt requested.
NOTE

Authority cited: Sections 125.9 and 4999.6, Business and Professions Code. Reference: Sections 125.9 and 4999.2, Business and Professions Code.
HISTORY

1. New section filed 9-21-2000 as an emergency; operative 9-21-2000. Pursuant to Business and Professions Code section 4999.9, a Certificate of Compliance must be transmitted to OAL by 3-20-2001 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only (Register 2000, No. 38).
2. Editorial correction of History 1 (Register 2001, No. 10).
3. New section refiled 3-19-2001 as an emergency; operative 3-19-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-19-2001 order, including renumbering of section 4031 to section 4032 and renumbering and amendment of former section 4030 to section 4031, transmitted to OAL 7-16-2001 and filed 8-24-2001 (Register 2001, No. 34).
§4032. Violations and Fines.
Note     •     History

(a) The director or her or his designee shall consider the factors listed in Section 125.9 of the Code in determining the amount of the fine to be assessed or the terms of the order of abatement in any citation.
(b) The director or her or his designee may, in her or his discretion, assess a fine not to exceed $2,500 for each inspection or each investigation made with respect to the violation, and issue an order of abatement for any violation of the Code or regulations governing telephone medical advice services.
NOTE

Authority cited: Sections 125.9 and 4999.6, Business and Professions Code. Reference: Sections 125.9, 4999.2 and 4999.3, Business and Professions Code.
HISTORY

1. New section filed 9-21-2000 as an emergency; operative 9-21-2000. Pursuant to Business and Professions Code section 4999.9, a Certificate of Compliance must be transmitted to OAL by 3-20-2001 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only (Register 2000, No. 38).
2. Editorial correction of History 1 (Register 2001, No. 10).
3. New section refiled 3-19-2001 as an emergency; operative 3-19-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-19-2001 order, including renumbering of section 4032 to section 4033 and renumbering and amendment of former section 4031 to section 4032, transmitted to OAL 7-16-2001 and filed 8-24-2001 (Register 2001, No. 34).
§4033. Citations for Unregistered Businesses.
Note     •     History

(a) The director or her or his designee may issue citations, in accordance with Section 148 of the Code, against any business who is performing or who has performed telephone medical advice for which registration is required under the act or regulations governing telephone medical advice services and is not or has not registered. “Telephone medical advice” means a telephonic communication between a patient and a health care professional, wherein the health care professional's primary function is to provide to the patient a telephonic response to the patient's questions regarding his or her or a family member's medical care or treatment. This subdivision applies to businesses that are unregistered in California.
(b) Each citation issued under this section shall contain an order of abatement, where appropriate.
(c) The director or her or his designee shall consider the factors listed in Section 125.9 of the Code in determining the amount of the fine to be assessed or the terms of the order of abatement in any citation.
(d) The director or her or his designee may, in her or his discretion, assess a fine not to exceed $2,500 for the unregistered activity in accordance with Section 148 of the Code and issue an order of abatement for any violation of the Code or regulations governing telephone medical advice services.
(e) Each citation shall be in writing and shall describe with particularity the nature and facts of each violation specified in the citation, including a reference to the statute or regulation alleged to have been violated.
(f) The Bureau shall service the citation upon the cited business personally or by certified mail, return receipt requested.
(g) The citation shall inform the cited business of the right to a citation review conference concerning the matter and of the right to an administrative hearing.
(h) The sanction authorized under this section shall be separate from and in addition to any civil or criminal remedy.
NOTE

Authority cited: Sections 148 and 4999.6, Business and Professions Code. Reference: Sections 125.9, 148, 4999.2 and 4999.3, Business and Professions Code.
HISTORY

1. New section filed 9-21-2000 as an emergency; operative 9-21-2000. Pursuant to Business and Professions Code section 4999.9, a Certificate of Compliance must be transmitted to OAL by 3-20-2001 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only (Register 2000, No. 38).
2. Editorial correction of History 1 (Register 2001, No. 10).
3. New section refiled 3-19-2001 as an emergency; operative 3-19-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-19-2001 order, including renumbering of section 4033 to section 4034 and renumbering and amendment of former section 4032 to section 4033, transmitted to OAL 7-16-2001 and filed 8-24-2001 (Register 2001, No. 34).
§4034. Compliance with Citation/Order of Abatement.
Note     •     History

(a) Orders of abatement may be extended for good cause. If a cited business or registrant who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond her or his control after the exercise of reasonable diligence, then she or he may request from the director or her or his designee an extension of time within which to complete the correction. Such a request shall be in writing and shall be made within the time set forth for abatement.
(b) If a citation is not contested, or if the citation is appealed and the business or registrant cited does not prevail, failure to abate the violation or to pay the assessed fine within the time allowed shall constitute a violation and a failure to comply with the citation or order of abatement.
(c) Failure to timely comply with an order of abatement or pay an assessed fine may result in disciplinary action being taken by the Bureau or other appropriate judicial relief being taken against the business or registrant cited.
(d) If a registrant's fine is not paid after a citation has become final, the fine shall be added to the cited registrant's renewal fee. A registration shall not be renewed without payment of the renewal fee, fine, and any other mandated fees.
(e) Failure to pay a fine by an unregistered business is grounds for denial of the application for registration.
NOTE

Authority cited: Sections 125.9 and 4999.6, Business and Professions Code. Reference: Sections 125.9, 4999.2 and 4999.3, Business and Professions Code.
HISTORY

1. New section filed 9-21-2000 as an emergency; operative 9-21-2000. Pursuant to Business and Professions Code section 4999.9, a Certificate of Compliance must be transmitted to OAL by 3-20-2001 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only (Register 2000, No. 38).
2. Editorial correction of History 1 (Register 2001, No. 10).
3. New section refiled 3-19-2001 as an emergency; operative 3-19-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-19-2001 order, including renumbering of section 4034 to section 4035 and renumbering and amendment of former section 4033 to section 4034, transmitted to OAL 7-16-2001 and filed 8-24-2001 (Register 2001, No. 34).
§4035. Contest of Citations.
Note     •     History

(a) In addition to requesting a hearing provided for in Section 125.9 of the Code, the cited business or registrant may, within 30 days after service of the citation, notify the director or her or his designee in writing of her or his request for an informal citation review conference with the Bureau chief regarding the acts charged in the citation. The time allowed for the request shall begin the first day after the citation has been served or received.
(b) The director or her or his designee shall hold, within thirty (30) days from the receipt of the request, an informal citation review conference with the business or registrant cited and/or her or his legal counsel or authorized representative.
(c) At the conclusion of the informal citation review conference, the director or her or his designee may affirm, modify, or dismiss the citation, including any fine assessed or order of abatement issued. The director or her or his designee shall state in writing the reasons for her or his action and serve, as provided in subsection (e) of Section 4031 and subsection (f) of Section 4033, a copy of her or his findings and decision to the business or registrant cited within fifteen (15) business days from the date of the informal citation review conference. This decision shall be deemed to be a final order with regard to the citation issued, including the fine assessed and the order of abatement. The cited business or registrant is not entitled to another informal citation review conference.
(d) The cited business or registrant does not waive her or his request for a formal hearing to contest a citation by requesting an informal citation review conference after which the citation is affirmed by the director or her or his designee. If the citation is dismissed after the informal citation review conference, the request for a hearing on the matter of the citation shall be deemed to be withdrawn. If the citation, including any fine assessed or order of abatement, is modified, the citation originally issued shall be considered withdrawn and a new citation issued.
(e) If a cited business or registrant wishes to contest an affirmed or modified citation, the cited business or registrant shall, within 30 days after service of the citation, contest the affirmed or modified citation by submitting a written request for an administrative hearing, as provided for in subdivision (b)(4) of Section 125.9 of the Code, to the director or her or his designee. An informal citation conference shall not be held on affirmed or modified citations.
NOTE

Authority cited: Sections 125.9 and 4999.6, Business and Professions Code. Reference: Sections 125.9, 4999.2 and 4999.3, Business and Professions Code.
HISTORY

1. Certificate of Compliance as to 3-19-2001 order, including renumbering of former section 4034 to section 4035, transmitted to OAL 7-16-2001 and filed 8-24-2001 (Register 2001, No. 34).
Article 5. Fees
§4040. Fees.
Note     •     History

(a) The telephone medical advice services application processing and initial registration fee shall be $7500, payable by the applicant at the time that the application is submitted to the Bureau.
(b) The telephone medical advice services biennial renewal fee shall be $7500.
(c) The delinquency fee for any registration that is renewed after its expiration date shall be $1000.
NOTE

Authority cited: Section 4999.6, Business and Professions Code. Reference: Section 4999.5, Business and Professions Code.
HISTORY

1. New article 5 (sections 4040) and section filed 9-21-2000 as an emergency; operative 9-21-2000. Pursuant to Business and Professions Code section 4999.9, a Certificate of Compliance must be transmitted to OAL by 3-20-2001 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only (Register 2000, No. 38).
2. Editorial correction of History 1 (Register 2001, No. 10).
3. New article 5 (section 4040) and section refiled 3-19-2001 as an emergency; operative 3-19-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-19-2001 order, including further amendment of section, transmitted to OAL 7-16-2001 and filed 8-24-2001 (Register 2001, No. 34).
Division 39. Board of Occupational Therapy
Article 1. General Provisions
§4100. Definitions.
Note     •     History

In addition to the definitions found in Business and Professions Code section 2570.2, the following terms are used and defined herein: 
(a) “Certificate” means the authority granted by the board to a person to offer occupational therapy services as an occupational therapy assistant under the appropriate supervision of an occupational therapist. 
(b) “Code” means the Business and Professions Code. 
(c) “Holder” means the person to whom a license, certificate or limited permit has been issued by the board. 
(d) “License” means the authority granted by the board to a person to offer occupational therapy services as an occupational therapist. 
(e) “Limited permit” means the authority granted by the board to a person to offer occupational therapy services under the direction and appropriate supervision of an occupational therapist. 
(f) “Incompetence” is the lack of possession of or the failure to exercise that degree of knowledge, learning, skill, ability, care or experience ordinarily possessed and exercised by a competent licensed professional.
(g) “Negligence” is a departure from the standard of care, which under similar circumstances, would have been ordinarily exercised by a competent licensed professional.
(h) “Gross negligence” is an extreme departure from the standard of care, which under similar circumstances, would have been ordinarily exercised by a competent licensed professional.
(i) For the purposes of denial, suspension, or revocation of a license, a crime or act shall be considered to be substantially related to the qualifications, functions or duties of an occupational therapy practitioner, if it evidences present or potential unfitness of a licensee to perform the functions authorized by his or her license or in a manner inconsistent with the public health, safety, or welfare. Such crimes or acts include but are not limited to those involving the following:
(1) Violating or attempting to violate, directly or indirectly, or assisting or abetting the violation of or conspiring to violate any provision or term of the Occupational Therapy Practice Act.
(2) Fiscal dishonesty, theft or larceny.
(3) An incident involving controlled substances to the extent that practice is impaired or a threat to the health or safety of themselves or others.
(4) Conviction of a crime involving harassment or stalking (as defined by the Penal Code).
(5) Conviction of a crime involving lewd conduct, prostitution or solicitation thereof, or pandering or indecent exposure (as defined by the Penal Code).
(6) Assaultive or abusive conduct including, bit not limited to, those violations listed in subdivision (d) of Penal Code Section 11160.
(7) Failure to comply with any mandatory reporting requirements.
(8) Any conviction or act subject to an order of registration pursuant to Section 290 of the Penal Code.
(j) “The Occupational Therapy Practice Act” or “Act” means Chapter 5.6 of Division 2, of the Business and Professions Code. 
NOTE

Authority cited: Section 2570.20, Business and Professions Code. Reference: Sections 481, 2570, 2570.2, 2570.5 and 2570.25, Business and Professions Code. 
HISTORY

1. New division 39, article 1 (sections 4100-4102) and section filed 2-28-2002; operative 2-28-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 9).
2. New subsections (f)-(i)(8), subsection relettering and amendment of Note filed 3-8-2010; operative 4-7-2010 (Register 2010, No. 11).
§4101. Delegation of Certain Functions.
Note     •     History

The power and discretion conferred by law upon the Board to receive and file accusations and statements of issues; issue notices of defense; determine the time and place of hearings under Section 11508 of the Government Code; issue subpoenas and subpoenas duces tecum; set and calendar cases for hearing and perform other functions necessary to the dispatch of the business of the Board in connection with proceedings under the provisions of Sections 11500 through 11528 of the Government Code, prior to the hearing of such proceedings; and the certification and delivery or mailing of copies of decisions under Section 11518 of the Government Code are hereby delegated to and conferred upon the executive officer of the Board. 
NOTE

Authority cited: Section 2570.20, Business and Professions Code. Reference: Sections 480, 2570.1, 2570.6, 2570.17, 2570.19, 2570.20 and 2570.23, Business and Professions Code; and Section 11500 et seq., Government Code. 
HISTORY

1. New section filed 2-28-2002; operative 2-28-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 9).
§4102. Filing of Addresses.
Note     •     History

(a) Each person licensed, certified or issued a limited permit by the board, shall report to the board every change of residence address within 30 days after the change, giving both the old and new addresses. In addition to the residence address, the person may provide the board with an alternate address of record. If an alternate address is the person's address of record, he or she may request, in writing, that the residence address not be disclosed to the public. 
(b) Each person licensed, certified or issued a limited permit by the board shall report to the board every change of name within 30 days after the change, giving both the old and new names. 
(c) This section refers to every person who holds an active, inactive, unexpired, suspended license or certificate, or a limited permit. 
NOTE

Authority cited: Section 2570.20, Business and Professions Code. Reference: Sections 136, 2570 (original), 2570.3, 2570.5, 2570.8, 2570.9, 2570.10 and 2570.11, Business and Professions Code. 
HISTORY

1. New section filed 2-28-2002; operative 2-28-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 9).
Article 2. Applications
§4110. Application.
Note     •     History

(a) An application for a license, certificate, or limited permit shall contain the information required by sections 30, 144, 851, 2570.5, 2570.6, 2570.7, 2570.8, 2570.9, 2570.14, and 2570.16 of the Code and Family Code section 17520, accompanied by the appropriate fees.
(b) For an applicant applying for licensure pursuant to section 2570.15 of the Code, “substantially equal” means that the applicant has successfully completed the academic requirements of an educational program, including the educational program and supervised fieldwork requirements, for an occupational therapist or an occupational therapy assistant that are approved by the board and approved by the foreign credentialing review process of the National Board of Certification in Occupational Therapy (NBCOT), the American Occupational Therapy Certification Board, or the American Occupational Therapy Association.
NOTE

Authority cited: Section 2570.20, Business and Professions Code. Reference: Sections 30, 144, 850, 851, 2570.5, 2570.6, 2570.7, 2570.8, 2570.9, 2570.14, 2570.15 and 2570.16, Business and Professions Code; and Section 17520, Family Code. 
HISTORY

1. New article 2 (sections 4110-4114) and section filed 2-28-2002; operative 2-28-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 9).
2. Amendment designating first paragraph as subsection (a), new subsection (b) and amendment of Note filed 7-28-2009; operative 8-27-2008 (Register 2009, No. 31).
§4111. Place of Filing.
Note     •     History

Applications shall be filed with the board's principal office. 
NOTE

Authority cited: Section 2570.20, Business and Professions Code. Reference: Sections 2570.5, 2570.6, 2570.7, 2570.8, 2570.9, 2570.14 and 2570.16, Business and Professions Code. 
HISTORY

1. New section filed 2-28-2002; operative 2-28-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 9).
§4112. Review of Application.
Note     •     History

Within thirty (30) days after receipt of an application for a license, certificate, or limited permit, the board shall inform the applicant, in writing, whether the application is complete and accepted for filing or that it is deficient and what specific information or documentation is required to complete the application. 
NOTE

Authority cited: Section 2570.20, Business and Professions Code. Reference: Sections 144, 2570.5, 2570.6, 2570.7, 2570.8, 2570.9, 2570.14 and 2570.16, Business and Professions Code; and Section 15376, Government Code. . 
HISTORY

1. New section filed 2-28-2002; operative 2-28-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 9).
§4113. [Reserved].

§4114. Abandonment of Application.
Note     •     History

(a) An application for a license or certificate shall be deemed abandoned and the application fee forfeited when: 
(1) The applicant fails to complete the application within two years after it is originally received by the board. 
(2) The applicant fails to submit the initial license or certification fee within sixty (60) days after the date of notification of eligibility by the board. 
(b) An application for a limited permit shall be deemed abandoned and the application fee forfeited if the applicant fails to complete the application or submit the required fee within sixty (60) days after it is originally received by the board. 
(c) An application submitted subsequent to the abandonment of a previous application shall be treated as a new application. 
NOTE

Authority cited: Section 2570.20, Business and Professions Code. Reference: Sections 2570.5, 2570.6, 2570.7, 2570.8, 2570.9, 2570.14 and 2570.16, Business and Professions Code. 
HISTORY

1. New section filed 2-28-2002; operative 2-28-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 9).
2. Amendment of subsections (a)(1)-(b) filed 7-10-2007; operative 8-9-2007 (Register 2007, No. 28).
Article 3. License, Certificate, Limited Permit, Inactive Status
§4120. Renewal of License or Certificate.
Note     •     History

(a) The term of a license or certificate shall be two years. 
(1) Unless renewed, a license or certificate issued by the board shall expire at 12 midnight on the last day of the holder's birth month during an odd year if the licensee was born in an odd year or during an even year, if the licensee was born in an even year. The initial license fee shall be prorated from the month of issuance based on the holder's birth month and birth year. 
(2) To renew an unexpired license or certificate, the holder shall, before the time at which the license or certificate would otherwise expire, apply for renewal, pay the renewal fee, and certify that the licensee's or certificate holder's representations on the renewal form are true, correct, and contain no material omissions of fact, signed under penalty of perjury.
(3) The renewal application shall include a statement specifying whether the licensee or certificate holder was convicted of a crime or disciplined by another public agency during the preceding renewal period, and whether the continuing competency requirements have been met if renewing in an active status. 
(4) For a license or certificate that expires on or after July 1, 2010, as a condition of renewal, an applicant for renewal not previously fingerprinted by the board, or for whom a record of the submission of fingerprints no longer exists, is required to furnish to the Department of Justice, as directed by the board, a full set of fingerprints for the purpose of conducting a criminal history record check and to undergo a state and federal level criminal offender record information search conducted through the Department of Justice. Failure to submit a full set of fingerprints to the Department of Justice on or before the date required for renewal of a license or certificate is grounds for discipline by the board. It shall be certified on the renewal form whether the fingerprints have been submitted. This requirement is waived if the license or certificate is renewed in an inactive status, or the licensee or certificate holder is actively serving in the military outside the country.
(5) An inactive license or certificate may be renewed. 
(6) Failure to provide all of the information required by this section renders any application for renewal incomplete and not eligible for renewal.
(b) A limited permit cannot be renewed. 
NOTE

Authority cited: Sections 134, 144, 152.6, 462 and 2570.20, Business and Professions Code. Reference: Sections 134, 144, 152.6, 462, 2570.5, 2570.9, 2570.10 and 2570.11, Business and Professions Code; and Section 11105(b)(10), Penal Code. 
HISTORY

1. New article 3 (sections 4120-4130) and section filed 2-28-2002; operative 2-28-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 9).
2. Amendment of subsections (a), (a)(1) and (a)(3) filed 11-15-2006; operative 11-15-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 46).
3. Amendment of subsections (a)(2) and (a)(3), new subsection (a)(4), subsection renumbering, new subsection (a)(6) and amendment of Note filed 2-24-2010; operative 3-26-2010 (Register 2010, No. 9).
§4121. Renewal of Expired License or Certificate; Application; Fees; Effective Date of Renewal.
Note     •     History

Except as otherwise provide in the Code, a license or certificate which has expired may be renewed at any time within five years after its expiration on filing of an application for renewal, and payment of all accrued and unpaid renewal fees. If a license or certificate is renewed after its expiration, the licensee or certificate holder, as a condition precedent to renewal, shall also pay a delinquency fee. Renewal under this section shall be effective on the date on which the application is filed, on the date on which the renewal fee is paid, or on the date on which the delinquency fee, if any, is paid, whichever last occurs. If so renewed, the license or certificate shall continue in effect through the expiration date provided in section 4120 above which next occurs after the effective date of renewal, when it shall expire if it is not renewed. 
NOTE

Authority cited: Section 2570.20, Business and Professions Code. Reference: Sections 163.5, 2570.9 and 2570.10, Business and Professions Code. 
HISTORY

1. New section filed 2-28-2002; operative 2-28-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 9).
2. Amendment filed 11-15-2006; operative 11-15-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 46).
§4122. Inactive Status.
Note     •     History

Upon written request, the board may grant inactive status to a license or certificate holder under the following conditions: 
(a) At the time of application for inactive status, the holder's license or certificate shall be current and not suspended, revoked, or otherwise punitively restricted by the board. 
(b) The holder of an inactive license or certificate shall not engage in any activity for which a license or certificate is required. 
(c) An inactive license or certificate shall be renewed during the same time period in which an active license or certificate is renewed. The holder of an inactive license or certificate need not comply with any continuing education requirement for renewal of an active license. 
(d) The renewal fee for a license or certificate in an active status shall apply also for a renewal of a license or certificate in an inactive status, unless a lesser renewal fee is specified by the board. 
(e) In order for the holder of an inactive license or certificate to restore his or her license or certificate to an active status, he or she shall comply with all of the following: 
(1) Pay the renewal fee. 
(2) If the board requires completion of continuing education for renewal of an active license, complete continuing education equivalent to that required for a single renewal period of an active license or certificate, unless a different requirement is specified by the board on a case-by-case basis. 
NOTE

Authority cited: Sections 462, 700, 701 and 2570.20, Business and Professions Code. Reference: Sections 462, 700, 701 and 2570.11, Business and Professions Code. 
HISTORY

1. New section filed 2-28-2002; operative 2-28-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 9).
§4123. Limited Permit.
Note     •     History

(a) To qualify for a limited permit, a person must have applied to the National Board for Certification in Occupational Therapy (NBCOT) to take the licensing examination within four (4) months of completing the education and fieldwork requirements for licensure or certification and request NBCOT provide their examination score report be forwarded to the Board.
(1) Upon receipt from NBCOT, the applicant must forward to the Board a copy of the Authorization to Test (ATT) letter.
(2) The applicant must provide documentation or other evidence to the Board, to prove that the applicant requested their examination score be sent from NBCOT to the Board, before a limited permit may be issued.
(3) A limited permit shall only be valid for three (3) months from the date of issuance by the Board, upon receipt of a failing result, or two (2) weeks following the expiration of the applicants' eligibility to test period, whichever occurs first.
(4) The limited permit holder must immediately notify the Board of the results of the examination.
(5) The limited permit holder must provide to the Board the name, address and telephone number of his or her employer and the name and license number of his or her supervising occupational therapist (OT). Any change of employer or supervising OT must be provided to the Board, in writing, within 10 days of the change.
(b) The limited permit will be cancelled, and the fee forfeited, upon notification to the Board or the limited permit holder by the test administrator that the holder failed to pass the first examination.
NOTE

Authority cited: Sections 2570.5 and 2570.20, Business and Professions Code. Reference: Sections 2570.5, 2570.6, 2570.7, 2570.9, 2570.16 and 2570.26, Business and Professions Code; and Sections 4100, 4102, 4110, 4111, 4112, 4114, 4120 and 4130, California Code of Regulations.
HISTORY

1. New section filed 12-20-2004; operative 1-19-2005 (Register 2004, No. 52).
2. Amendment of subsection (a)(2), new subsection (a)(4), repealer of subsection (b) and subsection relettering filed 4-10-2008; operative 5-10-2008 (Register 2008, No. 15).
3. Amendment of subsection (a), new subsection (a)(2) and subsection renumbering filed 3-14-2011; operative 4-13-2011 (Register 2011, No. 11).
§4125. Representation.
Note     •     History

(a)(1) Unless licensed as an occupational therapist by the Board, a person may not use the professional abbreviations “O.T.” or “O.T./L.,” or refer to themselves as an “Occupational Therapist” or use any other words, letters, symbols, manner, or means with the intent to represent that the person practices or is authorized to practice occupational therapy in California.
(2) Unless licensed as an occupational therapist by the Board, and currently registered with the National Board for Certification in Occupational Therapy (NBCOT), a person may not use the professional abbreviations “O.T.R.,” or “O.T.R./L.,” or refer to themselves as “Occupational Therapist, Registered,” or “Registered Occupational Therapist” or use any other words, letters, symbols, manner, or means, with the intent to represent that the person practices or is authorized to practice occupational therapy in California.
(b)(1) Unless licensed as an occupational therapy assistant, a person may not use the professional abbreviations “O.T.A.,” or “O.T.A./L.,” or refer to themselves as an “Occupational Therapy Assistant,” or use any other words, letters, symbols, manner, or means with the intent to represent that the person practices or is authorized to practice occupational therapy in California.
(2) Unless licensed as an occupational therapy assistant and currently registered with NBCOT, a person may not use the professional abbreviations “C.O.T.A.,” or “C.O.T.A./L.,” or refer to themselves as “Certified Occupational Therapy Assistant,” or use any other words, letters, symbols, manner, or means, with the intent to represent that the person practices or is authorized to practice occupational therapy in California.
(c) Pursuant to section 2570.18 of the Business and Professions Code, the unauthorized representation by an occupational therapist or an occupational therapy assistant constitutes an unfair business practice and false and misleading advertising under Business and Professions Code section 17200 and 17500, respectively, and a violation of section 4170, the Ethical Standards of Practice.
NOTE

Authority cited: Section 2570.20, Business and Professions Code. Reference: Sections 2570.3, 2570.18, 17200 and 17500, Business and Professions Code.
HISTORY

1. New section filed 3-14-2011; operative 4-13-2011 (Register 2011, No. 11).
§4130. Fees.
Note     •     History

Fees are fixed by the board as follows: 
(a) The initial license or certificate fee shall be prorated pursuant to Section 4120(a)(1) and based on a biennial fee of $150. 
(b) The fee for a limited permit is $75. 
(c) For a license that expires on or before December 31, 2006, the annual renewal fee for a license or certificate is $150. 
(d) For a license that expires on or after January 1, 2007, the renewal fee shall be in accordance with the following schedule:
(1) For a license that expires between January 1, 2007, and December 31, 2007, a licensee with an even birth year shall renew for one year and the renewal fee shall be seventy-five dollars ($75).
(2) For a license that expires on or after January 1, 2007, and biennially thereafter, a licensee with an odd birth year shall renew for two years and the renewal fee shall be one hundred fifty dollars ($150).
(3) For a license that expires on or after January 1, 2008, and biennially thereafter, a licensee with an even birth year shall renew for two years and the renewal fee shall be one hundred fifty dollars ($150).
(e) The delinquency fee is one-half of the renewal fee.
(f) The renewal fee for an inactive license or certificate is $25. 
(g) The fee for a duplicate license is $15. 
(h) The fees for fingerprint services are those charged by the California Department of Justice and the Federal Bureau of Investigation. 
NOTE

Authority cited: Sections 122, 144, 163.5 and 2570.20, Business and Professions Code. Reference: Sections 144, 2570.5, 2570.9, 2570.10, 2570.11 and 2570.16, Business and Professions Code. 
HISTORY

1. New section filed 2-28-2002; operative 2-28-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 9).
2. Amendment filed 11-8-2006; operative 11-8-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 45).
3. Amendment of subsection (a) filed 7-27-2009; operative 8-26-2009 (Register 2009, No. 31).
Article 5. Citations
§4140. Issuance of Citations.
Note     •     History

(a) The Board's executive officer, or his or her designee, is authorized to issue citations containing orders of abatement and/or administrative fines pursuant to section 125.9 of the Business and Professions Code against occupational therapists or occupational therapy assistants who have committed any acts or omissions which are in violation of the Occupational Therapy Practice Act or any regulation adopted pursuant thereto. 
(b) The Board's executive officer, or his or her designee, is authorized to issue citations containing orders of abatement, orders of correction, and/or administrative fines pursuant to section 148 of the Business and Professions Code against unlicensed persons who have committed any acts or omissions which are in violation of the Occupational Therapy Practice Act or any regulation adopted pursuant thereto. 
(c) Each citation: 
(1) shall be in writing, 
(2) shall describe with particularity the nature of the violation, including specific reference to the provision or provisions of law determined to have been violated, 
(3) may contain one or more of the following: 
(A) an assessment of an administrative fine; 
(B) an order of abatement fixing a reasonable period of time for abatement of the violation; 
(C) an order of correction, 
(4) shall be served on the cited person, in person, or by certified and regular mail at the address of record on file with the Board. Citations served by certified and regular mail shall be deemed “served” on the date of mailing. 
(5) shall inform the cited person that, if he or she desires an informal conference to contest the finding of a violation, the informal conference shall be requested by written notice to the Board within 30 calendar days from service of the citation, 
(6) shall inform the cited person that, if he or she desires a hearing to contest the finding of a violation, the hearing shall be requested by written notice to the Board within 30 calendar days from service of the citation, 
(7) shall inform the cited person that failure to pay the fine within 30 calendar days of the date of service, unless the citation is being appealed, may result in disciplinary action being taken by the Board. 
(d) If a citation is not contested and the fine is not paid, the full amount of the assessed fine shall be added to the fee for renewal of the license. A license shall not be renewed without payment of the renewal fee and fine. 
(e) The sanction authorized under this section shall be separate from, and in addition to, any civil or criminal remedies. 
NOTE

Authority cited: Sections 125.9, 148 and 2570.20, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code. 
HISTORY

1. New article 5 (sections 4140-4143) and section filed 8-7-2002; operative 9-6-2002 (Register 2002, No. 32).
§4141. Assessment of Administrative Fines.
Note     •     History

(a) Where citations include an assessment of an administrative fine, the fine shall be not less than $50 or exceed $5,000 for each violation. Each violation shall be classified according to the nature of the violation and shall indicate the classification on the face thereof as follows: 
(1) Class “A” violations shall not be less than $1,001 nor more than $5,000. Class “A” violations are violations that the executive officer, or his or her designee, has determined involve a person who, while engaged in the practice of occupational therapy, has violated a statute or regulation relating to the Occupational Therapy Practice Act. Class “A” violations are more serious in nature and may include, but are not limited to, violations which resulted in or had significant potential for patient harm and where there is no evidence that revocation or other disciplinary action is required to ensure public safety. Such violations include, but are not limited to, failing to provide direct in-sight supervision of an aide when the aide performed a client related task that resulted in harm to the patient, or failing to provide adequate supervision to an occupational therapy assistant that resulted in harm to the patient, or fraudulent medical billing, or practicing without a current and active license for more than one year, or functioning autonomously as an occupational therapy assistant. A Class “A” violation may be issued to a person who has committed a class “B” violation who has had two or more prior, separate class “B' violations. 
(2) Class “B” violations shall not be less than $501 nor more than $2,500. Class “B” violations are violations that the executive officer, or his or her designee, has determined involve a person who, while engaged in the practice of occupational therapy, has violated a statute or regulation relating to the Occupational Therapy Practice Act. Class “B” violations are less serious in nature and may include, but are not limited to, violations which could have resulted in patient harm. Typically some degree of mitigation will exist. Such violations include, but are not limited to, failing to provide direct in-sight supervision of an aide when the aide performed a client related task that did not result in harm to a patient, or failure to provide adequate supervision to an occupational therapy assistant, limited permit holder, student, or occupational therapy aid, resulting in no patient harm, or providing advanced practice services without board approval, or practicing when the license has been expired or inactive for a period of more than three months but less than one year, or supervising more occupational therapy assistants than allowed by law. A class “B” violation may be issued to a person who has committed a class “C” violation who has two or more prior, separate class “C” violations. 
(3) Class “C” violations shall not be less than $50 nor more than $1,000. Class “C” violations are violations that the executive officer, or his or her designee, has determined involve a person who has violated a statute or regulation relating to the practice of occupational therapy. A class “C” violation is a minor or technical violation which is neither directly or potentially detrimental to patients nor potentially impacts their care. Such violations may include, but are not limited to, practicing when the license has been expired or inactive for a period of three months or less, failing to disclose a conviction or convictions in the application process, or failing to provide a patient or client or the guardian of a patient or client access to their medical records pursuant to Health and Safety Code Section 123110. A class “C” violation may also be issued to a licensee or certificate holder who fails to respond to a written request by the board for additional information relating to a renewal application. 
(4) Class “D” violations shall not be less than $50 nor more than $250. Class “D” violations occur when the executive officer, or his or her designee, has determined that an applicant, licensee, or certificate holder has failed to provide a change of address within 30 days as required by Section 4102. A class “D” violation is a minor technical violation which is neither directly or potentially detrimental to patients nor potentially impacts their care.
(b) In determining the amount of an administrative fine, the executive officer, or his or her designee, shall consider the following factors: 
(1) Gravity of the violation, 
(2) History of previous violations involving the same or similar conduct, 
(3) Length of time that has passed since the date of the violation, 
(4) Consequences of the violation, including potential for patient harm, 
(5) The good or bad faith exhibited by the cited individual, 
(6) Evidence that the violation was willful, 
(7) The extent to which the individual cooperated with the board's investigation, 
(8) The extent to which the individual has remediated any knowledge and/or skills deficiencies, 
(9) Any other mitigating or aggravating factors. 
(c) In his or her discretion, the executive officer, or his or her designee, may issue an order of abatement without levying a fine for the first violation of any provision set forth in subsection (a).
(d) The executive officer, or his or her designee, may assess a fine which shall not exceed five thousand dollars ($5,000) for each violation if the violation involves fraudulent billing.
NOTE

Authority cited: Sections 125.9, 148 and 2570.20, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code. 
HISTORY

1. New section filed 8-7-2002; operative 9-6-2002 (Register 2002, No. 32).
2. Amendment of subsections (a)-(a)(3) and new subsections (a)(4) and (c)-(e) filed 5-21-2008; operative 6-20-2008 (Register 2008, No. 21).
3. Amendment of subsections (a)-(a)(4), repealer of subsections (d)-(d)(4), subsection relettering and amendment of newly designated subsection (d) filed 7-20-2011; operative 8-19-2011 (Register 2011, No. 29).
§4142. Appeal of Citations.
Note     •     History

(a) The cited person may, within 30 calendar days of service of the citation, submit a written request for an informal conference with the executive officer. 
(b) In addition to requesting an informal conference described in subsection (a), a cited person may contest a citation, in whole or in part, by submitting a written request for an administrative hearing to the Board within 30 calendar days of service of the citation. Such hearings shall be conducted pursuant to the Administrative Procedure Act, Chapters 4.5 and 5 (commencing with Section 11400) of Part 1 of Division 3 of Title 2 of the Government Code.
(c) The request for a hearing to contest a citation is not waived if the executive officer affirms the citation at an informal conference. 
(d) The executive officer, or his or her designee, shall within 30 working days from receipt of a written request for an informal conference, hold an informal conference with the cited person. The 30-day period may be extended by the executive officer for good cause. Following the informal conference, the executive officer, or his or her designee, may affirm, modify, or dismiss the citation, including any fine assessed or order of abatement issued. A written order affirming, modifying, or dismissing the original citation shall be served on the cited person within 30 calendar days from the informal conference. If the order affirms or modifies the original citation, said order shall fix a reasonable period of time for abatement of the violation or payment of the fine. 
(e) If the informal conference results in the modification of the findings of violation(s), the amount of the fine or the order of abatement, the citation shall be considered modified, but not withdrawn. A cited person is entitled to a hearing to contest the modified citation if he or she filed a timely request. A cited person is not entitled to an informal conference to contest a modified citation. If a timely request for a hearing was not filed, the decision in the modified citation shall be considered final. 
(f) If the citation is dismissed after the informal conference, the request for a hearing, if any, shall be deemed withdrawn. 
(g) Submittal of a written request for an informal conference as provided in subsection (a) or an administrative hearing as provided in subsection (b), or both, stays the time period in which to pay the fine.
(h) If a written request for an informal conference as provided in subsection (a), or a written request for a hearing as provided in subsection (b), or both, is not submitted to the board within 30 calendar days from service of the citation, the cited person is deemed to have waived his or her right to an informal conference and/or administrative hearing.
NOTE

Authority cited: Sections 125.9, 148 and 2570.20, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code. 
HISTORY

1. New section filed 8-7-2002; operative 9-6-2002 (Register 2002, No. 32).
§4143. Compliance with Citations.
Note     •     History

(a) If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, he or she may request an extension of time within which to complete the correction. Such a request shall be in writing and shall be made within the time set forth for abatement. 
(b) Failure of an applicant to abate the violation or to pay the fine within the time allowed is a ground for denial of licensure or registration. 
(c) If an informal conference or hearing is not requested, payment of the fine shall not constitute an admission of the violation charged and payment of the fine shall be represented as satisfactory resolution of the matter for purposes of public disclosure. 
NOTE

Authority cited: Sections 125.9, 148 and 2570.20, Business and Professions Code. Reference: Sections 125.9 and 148, Business and Professions Code.
HISTORY

1. New section filed 8-7-2002; operative 9-6-2002 (Register 2002, No. 32).
§4144. Disciplinary Guidelines. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 2570.20, Business and Professions Code.  Reference: Sections 125.6, 125.9, 475, 480, 481, 482, 490, 496, 2570.27, 2570.28, 2570.29, 2570.30, 2570.31 and 2570.32, Business and Professions Code; and Section 11425.50(e), Government Code.
HISTORY

1. New section filed 11-22-2004; operative 12-22-2004 (Register 2004, No. 48).
2. Renumbering of former section 4144 to section 4147 filed 6-6-2011; operative 7-6-2011 (Register 2011, No. 23).
§4145. Record Retention.
Note     •     History

(a) Every citation, once it has been resolved by payment of the administrative fine and/or compliance with the order of abatement, shall be purged five (5) years from the date of resolution, except for citations referenced in subsection (b).
(b) No citation shall be purged if issued pursuant to CCR Section 4140(b), and no citation shall be purged for any citation issued for unlicensed practice.
NOTE

Authority cited: Sections 125.9, 148 and 2570.20, Business and Professions Code. Reference: Sections 125.9, 148 and 2570.18, Business and Professions Code. 
HISTORY

1. New section filed 7-20-2011; operative 8-19-2011 (Register 2011, No. 29).
Article 5.5. Standards Related to Denial, Discipline, and Reinstatement of Licenses
§4147. Uniform Standards Related to Substance Abuse and Disciplinary Guidelines.
Note     •     History

(a) In reaching a decision on a disciplinary action under the administrative adjudication provisions of the Administrative Procedure Act (Government Code 11400 et seq.), the Board shall comply with the “Uniform Standards Related to Substance Abuse and Disciplinary Guidelines” [July 2011] which are hereby incorporated by reference. Deviation from these disciplinary guidelines and orders, including the standard terms of probation, is appropriate where the Board in its sole discretion determines that the facts of the particular case warrant such deviation, e.g., the presence of mitigating factors; age of the case; evidentiary problems. Neither the board nor an administrative law judge may impose any conditions or terms of probation that are less restrictive than the Uniform Standards Related to Substance Abuse.
(b) All probationers shall submit and cause each health care employer to submit quarterly reports to the Board. The reports, “Quarterly Written Report (4/2011)” and “Work Performance Evaluation (02/2011)” shall be obtained from the Board and are hereby incorporated by reference.
NOTE

Authority cited: Section 2570.20, Business and Professions Code.  Reference: Sections 125.6, 125.9, 315, 315.2, 315.4, 475, 480, 481, 482, 490, 496, 2570.27, 2570.28, 2570.29, 2570.30, 2570.31 and 2570.32, Business and Professions Code; and Section 11425.50(e), Government Code.
HISTORY

1. New article 5.5 (section 4147) and renumbering of former section 4144 to new section 4147, including amendment of section heading, section and Note, filed 6-6-2011; operative 7-6-2011 (Register 2011, No. 23).
Article 6. Advanced Practices
§4150. Definitions.
Note     •     History

For the purpose of this article: 
(a) “ACOTE” means the Accreditation Council for Occupational Therapy Education. 
(b) “Post professional education and training” means education and training obtained subsequent to the qualifying degree program or beyond current ACOTE standards for the qualifying degree program. 
(c) “Contact hour” means sixty (60) minutes of coursework or classroom instruction. 
(d) “Semester unit” means fifteen (15) contact hours. 
(e) “Quarter unit” means ten (10) contact hours. 
(f) “Rehabilitation of the hand, wrist, and forearm” as used in Code section 2570.2(l) refers to occupational therapy services performed as a result of surgery or injury to the hand, wrist, or forearm. 
(g) “Upper extremity” as used in Code section 2570.3(e) includes education relating to the hand, wrist, or forearm.
(h) “Swallowing” as used in Code section 2570.3 is the passage of food, liquid, or medication through the pharyngeal and esophageal phases of the swallowing process. 
(i) “Instrumental evaluation” is the assessment of any aspect of swallowing using imaging studies that include, but are not limited to, endoscopy and videofluoroscopy. 
(1) “Endoscopic evaluation of swallowing” or “endoscopy” is the process of observing structures and function of the swallowing mechanism to include the nasopharynx, oropharynx, and hypopharynx. 
(2) “Videofluoroscopic swallowing study” or “videofluoroscopy” is the fluoroscopic recording and videotaping of the anatomy and physiology of the oral cavity, pharynx, and upper esophagus using a variety of bolus consistencies to assess swallowing function. This procedure may also be known as videofluorography, modified barium study, oral-pharyngeal motility study and videoradiography. 
NOTE

Authority cited: Sections 2570.3 and 2570.20, Business and Professions Code. Reference: Sections 2570.2 and 2570.3, Business and Professions Code. 
HISTORY

1. New article 6 (sections 4150-4155) and section filed 3-9-2004; operative 3-9-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 11). 
2. Amendment of subsection (c), new subsection (g) and subsection relettering filed 4-28-2011; operative 5-28-2011 (Register 2011, No. 17).
§4151. Hand Therapy.
Note     •     History

(a) Hand therapy services may be performed only when an occupational therapist has demonstrated to the Board that he or she has met the post professional education and training requirements established by this section as follows: 
(1) Education: Completion of 45 contact hours in the subjects listed in Code section 2570.3(e), including 30 hours specifically relating to the hand, wrist, and forearm.
(2) Training: Completion of 480 hours of supervised on-the-job training, clinical internship or affiliation, which may be paid or voluntary, pertaining to hand therapy. 
(b) An occupational therapist providing hand therapy services using physical agent modalities must also comply with the requirements of section 4152. A maximum of 8 contact hours and 60 hours of supervised on-the-job training, clinical internship or affiliation, paid or voluntary, completed under section 4152 will be credited toward the requirements of this section. 
(c) An occupational therapist may provide only those hand therapy services he or she is competent to perform. 
NOTE

Authority cited: Sections 2570.3 and 2570.20, Business and Professions Code. Reference: Sections 2570.2 and 2570.3, Business and Professions Code. 
HISTORY

1. New section filed 3-9-2004; operative 3-9-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 11). 
2. Amendment of subsection (a)(1) filed 4-28-2011; operative 5-28-2011 (Register 2011, No. 17).
§4152. Physical Agent Modalities.
Note     •     History

(a) Physical agent modalities may be used only when an occupational therapist has demonstrated to the Board that he or she has met the post professional education and training requirements established by this section as follows: 
(1) Education: Completion of 30 contact hours in the subjects listed in Code section 2570.3(f). 
(2) Training: Completion of 240 hours of supervised on-the-job training, clinical internship or affiliation, which may be paid or voluntary, pertaining to physical agent modalities. 
(b) An occupational therapist may use only those physical agent modalities he or she is competent to use. 
NOTE

Authority cited: Sections 2570.3 and 2570.20, Business and Professions Code. Reference: Sections 2570.2 and 2570.3, Business and Professions Code. 
HISTORY

1. New section filed 3-9-2004; operative 3-9-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 11). 
§4152.1. Use of Topical Medications.
Note     •     History

(a) As used in this section, “topical medications” means medications applied locally to the skin or underlying tissue where such medications require a prescription or order under federal or state law. The following medications are applicable to the practice of occupational therapy and may be used by an occupational therapist:
(1) Bacteriocidal agents;
(2) Debriding agents;
(3) Topical anesthetic agents;
(4) Anti-inflammatory agents;
(5) Antispasmodic agents; and
(6) Adrenocortico-steroids.
(b) An occupational therapist shall apply or administer topical medications in accordance with this subsection.
(1) Any topical medication applied or administered shall have been ordered on a specific or standing basis by a practitioner legally authorized to order or prescribe such medication pursuant to Business and Professions Code section 2571(a).
(2) An occupational therapist may administer a topical medication by the use of a physical agent modality, only if the occupational therapist is approved by the Board in the advanced practice area of physical agent modalities.
(3) An occupational therapist shall follow written protocols in applying or administering topical medications The protocols shall:
(A) Be prepared by the facility within which the topical medications are being applied or administered;
(B) Be approved by the medical director or equivalent of the facility;
(C) Include a description of each medication, its actions, its indications and contraindications, and the proper procedure and technique for application;
(D) Require that the administration be consistent with the manufacturer's guidelines for any equipment to be used in the administration of the topical medication; and
(E) Be based on research and evidence-based practice, pharmaceutical standards of practice and known desired outcomes.
(4) Supervision of the application or administration of topical medications by an occupational therapy assistant under this section shall be in accordance with Article 9.
(c) Under no circumstance does this section authorize an occupational therapist or occupational therapist assistant to administer a medication via injection.
NOTE

Authority cited: Sections 163.5 and 2570.20, Business and Professions Code.  Reference: Section 2571, Business and Professions Code.
HISTORY

1. New section filed 7-3-2007; operative 8-2-2007 (Register 2007, No. 27).
2. Repealer of subsection (a), subsection relettering, new subsection (b)(2), subsection renumbering and new subsection (c) filed 4-28-2011; operative 5-28-2011 (Register 2011, No. 17).
§4153. Swallowing Assessment, Evaluation, or Intervention.
Note     •     History

(a) The role of an occupational therapist in instrumental evaluations is to observe structure and function of the swallowing mechanism in order to assess swallowing capability and determine swallowing interventions. The occupational therapist may not perform the physically invasive components of the instrumental evaluation. 
(b) Swallowing assessment, evaluation or intervention may be performed only when an occupational therapist has demonstrated to the Board that he or she has met the post professional education and training requirements established by this section as follows: 
(1) Education: Completion of 45 contact hours in the following subjects: 
(A) Anatomy, physiology and neurophysiology of the head and neck with focus on the structure and function of the aerodigestive tract; 
(B) The effect of pathology on the structures and functions of the aerodigestive tract including medical interventions and nutritional intake methods used with patients with swallowing problems; 
(C) Interventions used to improve pharyngeal swallowing function. 
(2) Training: Completion of 240 hours of supervised on-the-job training, clinical internship or affiliation, which may be paid or voluntary, pertaining to swallowing assessment, evaluation or intervention. An occupational therapist in the process of completing the training requirements of this section may practice swallowing assessment, evaluation or intervention under the supervision of an occupational therapist who has been approved under this article, a speech language pathologist with expertise in this area, or a physician and surgeon. 
(c) An occupational therapist may provide only those swallowing assessment, evaluation or intervention services he or she is competent to perform. 
NOTE

Authority cited: Sections 2570.3 and 2570.20, Business and Professions Code. Reference: Sections 2570.2 and 2570.3, Business and Professions Code. 
HISTORY

1. New section filed 3-9-2004; operative 3-9-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 11). 
2. Amendment of subsection (b)(2) filed 4-28-2011; operative 5-28-2011 (Register 2011, No. 17).
§4154. Post Professional Education and Training.
Note     •     History

(a) Post professional education courses shall be obtained at any of the following: 
(1) College or university degree programs accredited or approved by ACOTE; 
(2) College or university degree programs accredited or approved by the Commission on Accreditation in Physical Therapy Education; 
(3) Colleges or universities with Speech and Hearing Programs accredited or approved by the Council on Academic Accreditation in Audiology and Speech-Language Pathology; 
(4) Any approved provider. To be approved by the Board the provider shall submit the following: 
(A) A clear statement as to the relevance of the course to the advanced practice area. 
(B) Information describing, in detail, the depth and breadth of the content covered (e.g., a course syllabus and the goals and objectives of the course) particularly as it relates to the advanced practice area. 
(C) Information that shows the course instructor's qualifications to teach the content being taught (e.g., his or her education, training, experience, scope of practice, licenses held, and length of experience and expertise in the relevant subject matter), particularly as it relates to the advanced practice area. 
(D) Information that shows the course provider's qualifications to offer the type of course being offered (e.g., the provider's background, history, experience, and similar courses previously offered by the provider), particularly as it relates to the advanced practice area; or
(5) A provider that has not been approved by the Board, if the applicant occupational therapist demonstrates that the course content meets the subject matter requirements set forth in sections 2570.3(e) or 2570.3(f) of the Code, or section 4153 of these regulations, and submits the following:
(A) Information describing, in detail, the depth and breadth of the content covered (e.g., a course syllabus and the goals and objectives of the course) particularly as it relates to the advanced practice area.
(B) Information that shows the course instructor's qualifications to teach the content being taught (e.g., his or her education, training, experience, scope of practice, licenses held, and length of experience and expertise on the relevant subject matter), particularly as it relates to the advanced practice area.
(b) Post professional training shall be supervised which means, at a minimum:
(1) The supervisor and occupational therapist have a written agreement, signed and dated by both parties prior to accruing the supervised experience, outlining the plan of supervision and training in the advanced practice area. The level of supervision is determined by the supervisor whose responsibility it is to ensure that the amount, degree, and pattern of supervision is consistent with the knowledge, skill and ability of the occupational therapist, and appropriate for the complexity of client needs and number of clients for whom the occupational therapist is providing advanced practice services.
(2) The supervisor is readily available in person or by telecommunication to the occupational therapist while the therapist is providing advanced practice services.
(3) The supervisor does not have a co-habitative, familial, intimate, business, excluding employment relationships, or other relationship that could interfere with professional judgment and objectivity necessary for effective supervision, or that violates the Ethical Standards of Practice, pursuant to section 4170.
(c) Post professional education and training must be completed within the five years immediately preceding the application for approval in each advanced practice area. 
NOTE

Authority cited: Sections 2570.3 and 2570.20, Business and Professions Code. Reference: Sections 2570.2 and 2570.3, Business and Professions Code. 
HISTORY

1. New section filed 3-9-2004; operative 3-9-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 11). 
2. Amendment of subsections (a)(3), (a)(4) and (a)(4)(C)-(D), new subsections (a)(5)-(a)(5)(B), repealer and new subsection (c) and new subsections (c)(1)-(2) filed 5-31-2005; operative 6-30-2005 (Register 2005, No. 22).
3. Amendment of subsection (d) filed 9-22-2008; operative 10-22-2008 (Register 2008, No. 39).
4. Repealer of subsections (b)-(b)(2), subsection relettering, amendment of newly designated subsections (b)-(b)(1) and new subsection (b)(3) filed 4-28-2011; operative 5-28-2011 (Register 2011, No. 17).
§4155. Application for Approval in Advanced Practice Areas.
Note     •     History

In order to provide any of the advanced practice services set forth in Code section 2570.3(d), an occupational therapist shall apply to the Board and receive approval in that advanced practice area.
(a) To apply for approval, an occupational therapist shall submit to the Board an application as specified in subsections (1), (2), or (3), along with the required documentation.
(1) Applicants seeking approval in the area of Hand Therapy shall submit the Application for Advanced Practice Approval in Hand Therapy (Form APH, Rev. 10/09), hereby incorporated by reference;
(2) Applicants seeking approval in the use of physical agent modalities shall submit the Application for Advanced Practice Approval in Physical Agent Modalities (Form APP, Rev. 10/09), hereby incorporated by reference;
(3) Applicants seeking approval in the area of Swallowing Assessment, Evaluation, or Intervention shall submit the Application for Advanced Practice Approval in Swallowing (Form APS, Rev. 10/09), hereby incorporated by reference;
(b) The documentation must include the following: 
(1) Documented proof of attendance and completion of each course (i.e., certificate of completion or transcript). 
(2) Evidence of the number of contact hours completed for each course for courses that are not Board approved. 
(3) Outline or syllabus of each course for courses that are not Board approved. 
(4) Information describing, in detail, the depth and breadth of the content covered (e.g., a course syllabus and the goals and objectives of the course) as it relates to the advanced practice area.
(5) Resume or credentials of each instructor for courses that are not Board approved. 
(6) Verification of completion of supervised on-the-job training, clinical internship or affiliation reflecting the nature of the training and the number of hours. Such verification must be signed by the supervisor(s) under penalty of perjury. 
(c) An advanced practice application not completed within six months of receipt or notification of deficiency, whichever is later, shall be deemed abandoned.
(d) An application submitted subsequent to the abandonment of a previous application shall be treated as a new application.
NOTE

Authority cited: Sections 2570.3 and 2570.20, Business and Professions Code. Reference: Sections 2570.2 and 2570.3, Business and Professions Code.
HISTORY

1. New section filed 3-9-2004; operative 3-9-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 11). 
2. Amendment of section heading and section filed 9-22-2008; operative 10-22-2008 (Register 2008, No. 39).
3. Amendment of subsection (a), new subsections (a)(1)-(3), amendment of subsections (b)-(b)(2), new subsection (b)(4), subsection renumbering, repealer of subsection (b)(5) and amendment of subsection (b)(6) filed 4-28-2011; operative 5-28-2011 (Register 2011, No. 17).
Article 7. Continuing Competency Requirements
§4160. Definitions.
Note     •     History

For the purpose of this section:
(a) “Continuing competency” means an ongoing process in which an occupational therapy practitioner maintains the knowledge, skills, and abilities necessary to perform his or her professional responsibilities.
(b) “Continuing education unit (CEU)” is an assigned unit of measure for each professional development activity.
(c) “Professional development activity” means an activity (except participation in a course of study leading to an entry-level academic degree or normal and routine employment responsibilities) engaged in subsequent to professional education, primarily concerned with maintaining and increasing the occupational therapy practitioner's knowledge, skill and ability.
(d) “Professional development unit (PDU)” is an assigned unit of measure for each professional development activity.
(e) “Level II occupational therapy and occupational therapy assistant students” are those participating in the fieldwork requirements of the entry-level academic degree program.
NOTE

Authority cited: Sections 2570.10 and 2570.20, Business and Professions Code. Reference: Section 2570.10, Business and Professions Code.
HISTORY

1. New article 7 (sections 4160-4163) and section filed 3-16-2005; operative 4-15-2005 (Register 2005, No. 11).
§4161. Continuing Competency.
Note     •     History

(a) Effective January 1, 2006, each occupational therapy practitioner renewing a license or certificate under Section 2570.10 of the Code shall submit evidence of meeting continuing competency requirements by having completed, during the preceding renewal period, twelve (12) PDUs for each twelve month period, acquired through participation in professional development activities.
(1) One (1) hour of participation in a professional development activity qualifies for one PDU;
(2) One (1) academic credit equals 10 PDUs;
(3) One (1) Continuing Education Unit (CEU) equals 10 PDUs.
(b) Professional development activities acceptable to the board include, but are not limited to, programs or activities sponsored by the American Occupational Therapy Association (AOTA) or the Occupational Therapy Association of California; post-professional coursework completed through any approved or accredited educational institution that is not part of a course of study leading to an academic degree; or otherwise meet all of the following criteria:
(1) The program or activity contributes directly to professional knowledge, skill, and ability;
(2) The program or activity relates directly to the practice of occupational therapy; and
(3) The program or activity must be objectively measurable in terms of the hours involved.
(c) PDUs may also be obtained through any or a combination of the following:
(1) Involvement in structured special interest or study groups with a minimum of three (3) participants. Three (3) hours of participation equals one (1) PDU.
(2) Structured mentoring with an individual skilled in a particular area. For each 20 hours of being mentored, the practitioner will receive three (3) PDUs.
(3) Structured mentoring of a colleague to improve his/her skills. Twenty (20) hours of mentoring equals three (3) PDUs.
(4) Supervising the fieldwork of Level II occupational therapist and occupational therapy assistant students. For each 60 hours of supervision, the practitioner will receive .5 PDU.
(5) Publication of an article in a non-peer reviewed publication. Each article equals five (5) PDUs.
(6) Publication of an article in a peer-reviewed professional publication. Each article equals 10 PDUs.
(7) Publication of chapter(s) in occupational therapy or related professional textbook. Each chapter equals 10 PDUs.
(8) Making professional presentations at workshops, seminars and conferences. For each hour, the practitioner will receive two (2) PDUs.
(9) Attending a meeting of the California Board of Occupational Therapy. Each meeting attended equals two (2) PDUs, with a maximum of six (6) PDUs earned per renewal period.
(10) Attending board outreach activities. Each presentation attended equals two (2) PDUs, with a maximum of four (4) PDUs earned per renewal period.
(d) Partial credit will not be given for the professional development activities listed in subsection (c).
(e) This section shall not apply to the first license or certificate renewal following issuance of the initial license or certificate.
(f) Of the total number of PDUs required for each renewal period, a minimum of one half of the units must be directly related to the delivery of occupational therapy services.
(1) The delivery of occupational therapy services may include: models, theories or frameworks that relate to client/patient care in preventing or minimizing impairment, enabling function within the person/environment or community context. Other activities may include, but are not limited to, occupation based theory assessment/interview techniques, intervention strategies, and community/environment as related to one's practice.
(g) Applicants who have not been actively engaged in the practice of occupational therapy within the past five years completing continuing competency pursuant to section 2570.14(a) of the Code to qualify for licensure/certification shall submit evidence of meeting the continuing competency requirements by having completed, during the two year period immediately preceding the date the application was received, forty (40) PDUs that meet the requirements of subsection (b). The forty PDUs shall include:
(1) Thirty-seven (37) PDUs directly related to the delivery of occupational therapy services;
(2) One (1) PDU related to occupational therapy scope of practice;
(3) One (1) PDU related to occupational therapy framework;
(4) One (1) PDU related to ethical standards of practice for an occupational therapist.
NOTE

Authority cited: Sections 2570.10 and 2570.20, Business and Professions Code. Reference: Section 2570.10, Business and Professions Code.
HISTORY

1. New section filed 3-16-2005; operative 4-15-2005 (Register 2005, No. 11).
2. Amendment of subsection (a), new subsection (d), subsection relettering and amendment of newly designated subsection (f) filed 11-15-2006; operative 11-15-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 46).
3. New subsections (g)-(g)(4) filed 8-7-2008; operative 9-6-2008 (Register 2008, No. 32).
4. Amendment of subsections (a)(1), (c)(4) and (c)(8) and new subsections (c)(9)-(10) filed 8-24-2009; operative 9-23-2009 (Register 2009, No. 35).
§4162. Completion and Reporting Requirements.
Note     •     History

(a) The occupational therapy practitioner shall record the following information for each activity on the renewal form:
(1) the date each course or activity was completed:
(2) the provider, course number, and course title, if applicable;
(3) a description of the course; and
(4) the total number of PDUs.
(b) Records showing participation in each professional development activity must be maintained by the occupational therapy practitioner for four (4) years following the renewal period.
(c) A maximum of three (3) PDUs in excess of the required 12 PDUs may be carried over to the next renewal period for those practitioners renewing after one year. A maximum of six (6) PDUs in excess of the required 24 PDUs may be carried over to the next renewal period for those practitioners renewing after two years.
(d) Any occupational therapy practitioner who is unable to provide records documenting completion of the continuing competency requirements is subject to citation and/or administrative fine or disciplinary action.
NOTE

Authority cited: Sections 2570.10 and 2570.20, Business and Professions Code. Reference: Section 2570.10, Business and Professions Code.
HISTORY

1. New section filed 3-16-2005; operative 4-15-2005 (Register 2005, No. 11).
2. Amendment of subsection (c) filed 11-15-2006; operative 11-15-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 46).
§4163. Exemption from Continued Competency Requirements.
Note     •     History

At the time of applying for renewal of a license or certificate, an occupational therapy practitioner may request an exemption from the continuing competency requirements. The renewal application must provide the following information:
(a) Evidence that during the renewal period prior to the expiration of the license or certificate, the practitioner was residing in another country for one year or longer, reasonably preventing completion of the continuing competency requirements; or
(b) Evidence that the practitioner was absent from California because of military service for a period of one year or longer during the renewal period, preventing completion of the continuing competency requirements; or
(c) Evidence that the practitioner should be exempt from the continuing competency requirements for reasons of health or other good cause which include:
(1) Total physical and/or mental disability for one (1) year or more during the renewal period and the inability to work during this period has been verified by a licensed physician or surgeon or licensed clinical psychologist; or
(2) Total physical and/or mental disability for one (1) year or longer of an immediate family member for whom the practitioner had total responsibility, as verified by a licensed physician or surgeon or licensed clinical psychologist.
NOTE

Authority cited: Sections 2570.10 and 2570.20, Business and Professions Code. Reference: Sections 2570.10 and 2570.11, Business and Professions Code.
HISTORY

1. New section filed 3-16-2005; operative 4-15-2005 (Register 2005, No. 11).
Article 8. Ethical Standards of Practice
§4170. Ethical Standards of Practice.
Note     •     History

A violation of any ethical standard of practice constitutes grounds for disciplinary action. Every person who holds a license, certificate or limited permit issued by the board shall comply with the following ethical standards of practice:
(a) Occupational therapy practitioners shall comply with state and federal laws pertaining to discrimination.
(b) Occupational therapy practitioners shall take reasonable precautions to avoid imposing or inflicting harm upon the client or to his or her property.
(1) Occupational therapy practitioners shall not exploit clients in any manner.
(2) Occupational therapy practitioners shall avoid relationships or activities that interfere with professional judgement and objectivity.
(c) Occupational therapy practitioners shall collaborate with clients, caretakers or other legal guardians in setting goals and priorities throughout the intervention process.
(1) Occupational therapy practitioners shall fully inform the client of the nature, risks, and potential outcomes of any interventions.
(2) Occupational therapy practitioners shall obtain informed consent from clients involved in research activities and indicate in the medical record that they have fully informed the client of potential risks and outcomes.
(3) Occupational therapy practitioners shall respect the client's right to refuse professional services or involvement in research or educational activities.
(4) Occupational therapy practitioners shall maintain patient confidentiality unless otherwise mandated by local, state or federal regulations.
(d) Occupational therapy practitioners shall perform occupational therapy services only when they are qualified by education, training, and experience to do so.
(1) Occupational therapy practitioners shall hold the appropriate credentials for the services they provide.
(2) Occupational therapy practitioners shall refer to or consult with other service providers whenever such a referral or consultation is necessary for the care of the client. Such referral or consultation should be done in collaboration with the client.
(e) Occupational therapy practitioners shall comply with the Occupational Therapy Practice Act, the California Code of Regulations, and all other related local, state, and federal laws.
(f) Occupational therapy practitioners shall provide accurate information about occupational therapy services.
(1) Occupational therapy practitioners shall accurately represent their credentials, qualifications, education, experience, training, and competence.
(2) Occupational therapy practitioners shall disclose any professional, personal, financial, business, or volunteer affiliations that may pose a conflict of interest to those with whom they may establish a professional, contractual, or other working relationship.
(3) Occupational therapy practitioners shall refrain from using or participating in the use of any form of communication that contains false, fraudulent, deceptive statements or claims.
(g) Occupational therapy practitioners shall report to the Board acts constituting grounds for discipline as defined in Section 2570.28 of the Occupational Therapy Practice Act.
NOTE

Authority cited: Section 2570.20, Business and Professions Code.  Reference: Section 2570.20, Business and Professions Code.
HISTORY

1. New article 8 (section 4170) and section filed 7-24-2003; operative 8-23-2003 (Register 2003, No. 30).
2. Amendment of subsection (g) filed 12-17-2008; operative 1-16-2009 (Register 2008, No. 51).
§4175. Minimum Standards for Infection Control.
Note     •     History

(a) Occupational Therapists and Occupational Therapy Assistants must comply with all applicable Standard Precautions.
(b) Standard Precautions combine the major features of Universal Precautions and Body Substance Isolation and are based on the principle that all blood, body fluids, secretions, excretions (except sweat), non-intact skin, and mucus membranes may contain transmissible infectious agents. All contact with these substances is treated as if known to be infectious for Human Immunodeficiency Virus (HIV), Hepatitis, and other transmissible infectious agents. Standard Precautions are also intended to protect patients/clients by ensuring that occupational therapy personnel do not carry infectious agents to patients/clients on their hands or via equipment used during delivery of occupational therapy services. Standard Precautions must be used in the care of all patients/clients, regardless of suspected or confirmed infection status, in all settings in which occupational therapy services are delivered. Standard Precautions include: 
(1) Proper Hand Hygiene 
(A) Avoid unnecessary touching of face, nose and surfaces in close proximity to the patient to prevent both contamination of clean hands from environmental surfaces and transmission of pathogens from contaminated hands to surfaces, during the delivery of healthcare.
(B) When hands are visibly soiled, hands shall be washed with soap and water for a 20-second scrub and 10-second rinse or an antimicrobial hand wash 
(C) If hands are not visibly soiled, an acceptable alternative of hand decontamination is with an alcohol-based hand rub (except in cases of spores, as described below).
(D) Hands shall be washed or decontaminated as follows:
1. Before having direct contact with any patient/client.
2. After contact with blood, body fluids or excretions, mucous membranes, non-intact skin, or wound dressings.
3. After contact with a patient's/client's intact skin (e.g., when assisting with bathing/dressing or lifting a patient).
4. If hands will be moving from a contaminated-body site to a clean-body site during patient/client care.
5. After contact with inanimate objects (including medical equipment) in the immediate vicinity of the patient/client.
6. After removing gloves.
(E) Artificial fingernails or extenders shall not be worn if duties include direct contact with patients at high risk for infection and associated adverse outcomes (e.g., those in ICUs or special care units).
(F) After each patient/client session ends, a practitioner shall wash hands with soap and water or an antimicrobial hand wash if contact with spores (e.g., C. difficile or Bacillus anthracis) is likely to have occurred. The physical action of washing and rinsing hands under such circumstances is required because alcohols, chlorhexidine, iodophors, and other antiseptic agents have poor activity against spores. 
(2) Use of Personal Protective Equipment 
(A) The use of personal protective equipment (PPE) includes observing the following principles of use at all times: 
1. Wear gloves, gowns and mouth/nose/eye protection when the nature of the anticipated patient/client interaction indicates that contact with blood, body fluids, secretions or excretions may occur. Select masks, goggles, face shields and combinations of each according to the need anticipated by the task performed 
2. Prevent contamination of clothing and skin during the process of removing PPE. 
3. Before leaving the patient's/client's room or service area, remove and discard PPE. 
(B) PPE includes the use of disposable medical examination gloves, which must be worn when it can be reasonably anticipated that contact with blood or other potentially infectious materials, mucus membranes, non-intact skin, or potentially contaminated intact skin (e.g. of a patient/client incontinent of stool or urine) could occur. 
1. Non-sterile gloves may be used for all non-surgical procedures. 
2. Wear disposable gloves for cleaning the environment or equipment. 
3. Wear gloves with fit and durability appropriate to the task. 
4. Remove gloves after contact with a patient/client or the surrounding environment (including equipment) using proper technique to prevent hand contamination.
5. Do not wear the same pair of gloves for the care of more than one patient/client.
6. Do not wash gloves for the purpose of reuse since this practice has been associated with the transmission of pathogens.
7. Change gloves during patient/client care if the hands will move from a contaminated body-site to a clean body-site.
(C) PPE includes wearing a gown that is appropriate to the task to protect skin and prevent soiling or contamination of clothing during procedures and patient/client-care activities when contact with blood, body fluids, secretions, excretions is anticipated. Proper use of a gown includes the following:
1. Remove gown and perform hand hygiene before leaving the patient's/client's environment. Place gown in an appropriately-designated area or container for storage, washing, decontamination or disposal.
2. Do not reuse gowns, even for repeated contacts with the same patient.
3. Routine donning of gowns upon entrance into high risk units (e.g. ICU, NICU) is not indicated.
(D) Personal protective equipment does not include lab coats or uniforms, including scrubs. Lab coats and uniforms shall be changed or washed at least daily, or more frequently if visibly soiled.
(E) During an aerosol-generating procedure (e.g. suctioning of the respiratory tract if not using in-line suction catheters) in a patient who is not suspected of being infected with an agent for which respiratory protection is otherwise recommended (e.g. M. tuberculosis, SARS or hemorrhagic fever viruses), wear one of the following: a face shield that fully covers the front and sides of the face, a mask with an attached shield, or a mask and goggles, in addition to gloves and a gown.
(F) Face shields and protective eyewear must be washed and disinfected between each patient or when visibly soiled.
(3) Respiratory hygiene/cough etiquette. Measures shall be implemented to contain respiratory secretions and to prevent droplet and fomites transmission of respiratory pathogens, especially during seasonal outbreaks of viral respiratory infections such as influenza, RSV, adenovirus, or parainfluenza virus. 
(A) A practitioner shall provide tissues and, where practical, use no-touch receptacles (e.g. foot-pedal operated lid or open plastic-lined waste basket) for disposal of tissues.
(B) A practitioner shall wear a mask during all patient/client interactions if the practitioner has any symptoms of respiratory infection.
(4) Patient/client care equipment, instruments, devices, and environment of care.
(A) Equipment, instruments, and devices include, but are not limited to: toys and play equipment, shared craft supplies, computers, multi-use electronic equipment, transfer belts, bandage scissors, debridement utensils, patient lifting and/or transporting devices, commode chairs, bath/shower chairs and benches, and dressing equipment
(B) A practitioner shall follow employer-established policies and procedures for containing, transporting, handling and cleaning patient/client-care equipment and instruments/devices that may be contaminated with blood or body fluids.
(C) In the absence of employer-established policies and procedures for containing, transporting, handling and cleaning patient/client-care equipment and instruments/devices that may be contaminated with blood or body fluids, practitioners are responsible for establishing and following policies and procedures for containing, transporting, handling and cleaning patient/client-care equipment and instruments/devices that may be contaminated with blood or body fluids.
Such policies and procedures must include the use of PPE (e.g. gloves and gowns and masks, worn according to the level of anticipated contamination.
(D) A Practitioner shall follow employer-established policies and procedures for routine and targeted cleaning of environmental surfaces as indicated by the service-delivery setting, the level of patient/client contact and degree of soiling.
(E) In the absence of employer-established policies and procedures for routine and targeted cleaning of environmental surfaces as indicated by the service-delivery setting, the level of patient/client contact and degree of soiling, practitioners are responsible for establishing and following said policies and procedures for routine and targeted cleaning of environmental surfaces.
(F) A Practitioner shall clean and disinfect surfaces that are likely to be contaminated with pathogens, especially those in close proximity to the patient and frequently touched surfaces in the patient care environment. The practitioner is personally responsible for cleaning of shared items and shared surfaces in the occupational therapy setting such as treatment tables, toys, bandage scissors, shared bathing and toileting equipment, and wound care areas, in the absence of an organization-wide housekeeping or environmental cleaning organization.
(G) Select equipment that can be easily cleaned and disinfected. Do not use fabric-based equipment (e.g. chairs, stuffed toys, furry toys, transfer belts) if it will likely be contaminated by body fluids.
(c) Practitioners shall comply with all minimum standards for infection control practices and comply with local, state, or federal recommendations, issued in response to an emergency health and safety situation. 
NOTE

Authority cited: Section 2570.20, Business and Professions Code. Reference: Section 2570.28, Business and Professions Code.
HISTORY

1. New section filed 5-4-2010; operative 6-3-2010 (Register 2010, No. 19).
Article 9. Supervision of Occupational Therapy Assistants, Limited Permit Holders, Students, and Aides
§4180. Definitions.
Note     •     History

In addition to the definitions found in Business and Professions Code sections 2570.2 and 2570.3 the following terms are used and defined herein:
(a) “Client related tasks” means tasks performed as part of occupational therapy services rendered directly to the client.
(b) “Level I student” means an occupational therapy or occupational therapy assistant student participating in activities designed to introduce him or her to fieldwork experiences and develop an understanding of the needs of clients.
(c) “Level II student” means an occupational therapy or occupational therapy assistant student participating in delivering occupational therapy services to clients with the goal of developing competent, entry-level practitioners.
(d) “Level II fieldwork educator” means a licensed occupational therapist or occupational therapy assistant who has a minimum of one year of practice experience following issuance of a license, or other authorization to practice issued by another state's regulatory board.
(e) “Non-client related tasks” means clerical and secretarial activities; transportation of patients/clients; preparation or maintenance of treatment equipment and work area; taking care of patient/client personal needs during treatments; and assisting in the construction of adaptive equipment and splints.
(f) “Periodic” means at least once every 30 days.
NOTE

Authority cited: Sections 2570.13 and 2570.20, Business and Professions Code. Reference: Sections 2570.2, 2570.3, 2570.4, 2570.5, 2570.6 and 2570.13, Business and Professions Code.
HISTORY

1. New article 9 (sections 4180-4184) and section filed 10-26-2004; operative 11-25-2004 (Register 2004, No. 44).
2. New subsection (d), subsection relettering and amendment of newly designated subsection (e) filed 6-3-2010; operative 7-3-2010 (Register 2010, No. 23).
§4181. Supervision Parameters.
Note     •     History

(a) Appropriate supervision of an occupational therapy assistant includes, at a minimum:
(1) The weekly review of the occupational therapy plan and implementation and periodic onsite review by the supervising occupational therapist. The weekly review shall encompass all aspects of occupational therapy services and be completed by telecommunication or onsite.
(2) Documentation of the supervision, which shall include either documentation of direct client care by the supervising occupational therapist, documentation of review of the client's medical and/or treatment record and the occupational therapy services provided by the occupational therapy assistant, or co-signature of the occupational therapy assistant's documentation.
(3) The supervising occupational therapist shall be readily available in person or by telecommunication to the occupational therapy assistant at all times while the occupational therapy assistant is providing occupational therapy services. 
(4) The supervising occupational therapist shall provide periodic on-site supervision and observation of client care rendered by the occupational therapy assistant.
(b) The supervising occupational therapist shall at all times be responsible for all occupational therapy services provided by an occupational therapy assistant, a limited permit holder, a student or an aide. The supervising occupational therapist has continuing responsibility to follow the progress of each client, provide direct care to the client, and assure that the occupational therapy assistant, limited permit holder, student or aide do not function autonomously.
(c) The level of supervision for all personnel is determined by the supervising occupational therapist whose responsibility it is to ensure that the amount, degree, and pattern of supervision are consistent with the knowledge, skill and ability of the person being supervised.
(d) Occupational therapy assistants may supervise:
(1) Level I occupational therapy students;
(2) Level I and Level II occupational therapy assistant students; and
(3) Aides providing non-client related tasks.
(e) The supervising occupational therapist shall determine that the occupational therapy practitioner possesses a current license, certificate or permit to practice occupational therapy prior to allowing the person to provide occupational therapy services.
NOTE

Authority cited: Sections 2570.13 and 2570.20, Business and Professions Code. Reference: Sections 2570.2, 2570.3, 2570.4, 2570.5, 2570.6 and 2570.13, Business and Professions Code.
HISTORY

1. New section filed 10-26-2004; operative 11-25-2004 (Register 2004, No. 44).
2. Amendment of subsections (a)(1)-(3), new subsection (a)(4) and amendment of subsection (e) filed 3-4-2009; operative 4-3-2009 (Register 2009, No. 10).
§4182. Treatments Performed by Occupational Therapy Assistants.
Note     •     History

(a) The supervising occupational therapist shall determine the occupational therapy treatments the occupational therapy assistant may perform. In making this determination, the supervising occupational therapist shall consider the following:
(1) the clinical complexity of the patient/client;
(2) skill level of the occupational therapy assistant in the treatment technique; and
(3) whether continual reassessment of the patient/client status is needed during treatment. This rule shall not preclude the occupational therapy assistant from responding to acute changes in the client's condition that warrant immediate action. The occupational therapy assistant shall inform the supervising occupational therapist immediately of the acute changes in the patient's/client's condition and the action taken.
(b) The supervising occupational therapist shall assume responsibility for the following activities regardless of the setting in which the services are provided:
(1) Interpretation of referrals or prescriptions for occupational therapy services.
(2) Interpretation and analysis for evaluation purposes.
(A) The occupational therapy assistant may contribute to the evaluation process by gathering data, administering standardized tests and reporting observations. The occupational therapy assistant may not evaluate independently or initiate treatment before the supervising occupational therapist performs an assessment/evaluation.
(3) Development, interpretation, implementation, and modifications of the treatment plan and the discharge plan.
(A) The supervising occupational therapist shall be responsible for delegating the appropriate interventions to the occupational therapy assistant.
(B) The occupational therapy assistant may contribute to the preparation, implementation and documentation of the treatment and discharge summary.
NOTE

Authority cited: Sections 2570.13 and 2570.20, Business and Professions Code. Reference: Sections 2570.2, 2570.3 and 2570.13, Business and Professions Code.
HISTORY

1. New section filed 10-26-2004; operative 11-25-2004 (Register 2004, No. 44).
§4183. Treatments Performed by Occupational Therapy Limited Permit Holders and Students.
Note     •     History

(a) Consistent with Code section 2570.4, subdivisions (b) and (c), a Level II student may, at the discretion of the supervising occupational therapy practitioner, be assigned duties or functions commensurate with his or her education and training.
(b) All documented client-related services by the limited permit holder or student shall be reviewed and cosigned by the supervising occupational therapist.
NOTE

Authority cited: Sections 2570.13 and 2570.20, Business and Professions Code. Reference: Sections 2570.2, 2570.3, 2570.4, 2570.5, 2570.6 and 2570.13, Business and Professions Code.
HISTORY

1. New section filed 10-26-2004; operative 11-25-2004 (Register 2004, No. 44).
§4184. Delegation of Tasks to Aides.
Note     •     History

(a) The primary function of an aide in an occupational therapy setting is to perform routine tasks related to occupational therapy services. Non-client related tasks may be delegated to an aide when the supervising occupational therapy practitioner has determined that the person has been appropriately trained and has supportive documentation for the performance of the services.
(b) Client related tasks that may be delegated to an aide include specifically selected routine aspects of an intervention session. In addition to the requirements of Code section 2570.2, subdivisions (a) and (b), the following factors must be present when an occupational therapist delegates a selected aspect of an intervention to an aide:
(1) The outcome anticipated for the aspects of the intervention session being delegated is predictable.
(2) The situation of the client and the environment is stable and will not require that judgment or adaptations be made by the aide.
(3) The client has demonstrated previous performance ability in executing the task.
(4) The aide has demonstrated competence in the task, routine and process.
(c) The supervising occupational therapist shall not delegate to an aide the following tasks:
(1) Performance of occupational therapy evaluative procedures;
(2) Initiation, planning, adjustment, or modification of treatment procedures.
(3) Acting on behalf of the occupational therapist in any matter related to occupational therapy treatment that requires decision making.
(d) All documented client related services shall be reviewed and cosigned by the supervising occupational therapist.
NOTE

Authority cited: Sections 2570.13 and 2570.20, Business and Professions Code. Reference: Sections 2570.2, 2570.4 and 2570.13, Business and Professions Code.
HISTORY

1. New section filed 10-26-2004; operative 11-25-2004 (Register 2004, No. 44).
Division 40. Naturopathic Medicine Committee
Article 1. General Provisions
§4200. Introduction.
Note     •     History

These regulations are adopted by the Naturopathic Medicine Committee (“Committee”) to implement and make specific the Naturopathic Doctors Act, commencing with Section 3610 of the Business and Professions Code. 
NOTE

Authority cited: Section 3622, Business and Professions Code. Reference: Sections 3610 and 3620, Business and Professions Code. 
HISTORY

1. New division 40 (articles 1-11), article 1 (sections 4200-4208) and section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New division 40 (articles 1-11), article 1 (sections 4200-4208) and section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending division heading and section filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
§4202. Location of Principal Office.
Note     •     History

The principal office of the Naturopathic Medicine Committee is located at 1300 National Drive, Suite 150, Sacramento, California 95834. 
NOTE

Authority cited: Sections 3620 and 3622, Business and Professions Code. Reference: Section 3610, Business and Professions Code. 
HISTORY

1. New section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending section filed 4-3-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 14).
5. Change without regulatory effect amending section filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
§4204. Filing of Addresses.
Note     •     History

Each licensee or certificate holder shall have on file at the principal office of the Committee his or her correct mailing and street addresses, which must include a physical business or residence address. In addition, each licensee or certificate holder shall designate an address of record that shall be public information, which may consist of a post office box number or other viable mailing address. Each licensee or certificate holder shall within fourteen (14) days notify the Committee in writing of any changes in his or her mailing or street addresses or address of record, giving both the old and new addresses. 
NOTE

Authority cited: Sections 3620 and 3622, Business and Professions Code. Reference: Section 3624, Business and Professions Code. 
HISTORY

1. New section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order, including amendment of section, transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending section filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
§4206. Definitions.
Note     •     History

For the purpose of the regulations contained in this division, the term: 
(a) “Act” means the provisions of the Naturopathic Doctors Act, Chapter 8.2 (commencing with Section 3610) of Division 2 of the Business and Professions Code. 
(b) “Approved naturopathic medical school” means an educational institution that offers a naturopathic medical educational program approved by the Committee.
(c) “Committee” means the Naturopathic Medicine Committee under the Osteopathic Medical Board within the Department of Consumer Affairs.
(d) “Certificate holder” means a person issued a certificate of registration by the Committee pursuant to Section 3624 of the Code.
(e) “Citizen” means a resident of California.
(f) “Code” means the Business and Professions Code.
(g) “Executive Officer” means the Executive Officer of the Naturopathic Medicine Committee.
(h) For the purposes of subdivision (c) of Section 3644 of the Code, “family member” means the spouse, child, ward (of an appointed guardian within the meaning of Part 2, Chapter 1 of the Probate Code, beginning with §1500), parent or sibling of the person providing the aid.
(i) “Licensee” means a person issued a naturopathic doctor's license by the Committee.
NOTE

Authority cited: Sections 3620 and 3622, Business and Professions Code. Reference: Sections 3610, 3624, 3625, 3630 and 3644, Business and Professions Code. 
HISTORY

1. New section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order, including repealer and new subsections (b)-(i), transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending section filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
§4208. Complaint Disclosure.
Note     •     History

(a) The Committee shall establish and maintain a complaint history report to provide members of the public with complaint information that has been filed with the Committee against persons that are licensed by the Committee or unlicensed persons that are subject to its jurisdiction. 
(b) A complaint that is determined to meet the criteria listed in subsection (e) shall be incorporated into the complaint history report no later than ten (10) days after the conditions of disclosure have been met. Any person may request a complaint history report by telephone, facsimile, electronic mail, in person, or in writing. Such requests for information shall be responded to within ten (10) days. Complaint history reports shall be made available to the requester in writing or by telephone. 
(c) The complaint history report shall contain information about complaints meeting the conditions of disclosure listed in subsection (e) and, if applicable, shall include: 
(1) License status and history; 
(2) Total number of complaints meeting conditions of disclosure; 
(2) Date and nature of the complaints; 
(3) Total number of disciplinary, enforcement and public corrective actions taken by the Committee; 
(4) Brief summary of disciplinary, enforcement and public corrective actions taken by the Committee and Citations that have been satisfactorily resolved shall be reported as such; 
(5) Current status of pending Accusations, Statement of Issues, and Citations filed by the Committee;
(6) Current status of criminal prosecution resulting from a complaint received by the Committee;
(7) Information which is statutorily mandated to be disclosed; 
(8) A description of the type of public information not included in the report, i.e., civil judgements, criminal convictions, unsubstantiated complaints; and 
(9) Disclaimers indicating the report does not constitute endorsement or non-endorsement of a person, and that the report may not contain all available information. 
(d)(1) The complaint history report shall not include any personal information about the complainant or the person against whom the complaint was filed. 
(2) Disclosure of a pending Accusation, Statement of Issues, or Citation against a person under investigation or in the process of legal action shall contain a disclaimer stating that the pending administrative action(s) against the person is/are alleged and no final legal determination has yet been made. The report may also include further disclaimers, or cautionary statements, regarding such pending cases. 
(e) The Committee shall disclose complaint information in a complaint history report when the Committee has determined that the complaint information has a direct and immediate relationship to the health and safety of another person and that one or more of the following have occurred: 
(1) The complaint(s) is serious and that disclosure could provide protection to the public; 
(2) Disclosure of “pattern” complaints may protect the consumer and/or prevent additional harm to the public; 
(3) The complaint(s) has been referred to the Attorney General for filing of an Accusation or Statement of Issues; or 
(4) The complaint(s) has been referred to other law enforcement entity for prosecution. 
(f) Information about a complaint shall not be disclosed in the complaint history report if it is determined by the Executive Officer that any of the following apply: 
(1) Disclosure is prohibited by statute or regulation; 
(2) Disclosure might compromise an investigation or prosecution; or, 
(3) Disclosure might endanger or injure the complainant or a third party. 
NOTE

Authority cited: Sections 3620 and 3622, Business and Professions Code. Reference: Sections 129(e), 148 and 3622, Business and Professions Code; and Section 6253, Government Code. 
HISTORY

1. New section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending section filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
Article 2. Applications
§4210. Place of Filing.
Note     •     History

A completed application for a license or certificate of registration shall be filed with the Committee at its principal office. 
NOTE

Authority cited: Sections 3620 and 3622, Business and Professions Code. Reference: Sections 3624 and 3630, Business and Professions Code. 
HISTORY

1. New article 2 (sections 4210-4218) and section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (sections 4210-4218) and section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending section filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
§4212. License Application; Process.
Note     •     History

(a) A person who desires a license as a naturopathic doctor shall submit an application to the Committee on a form prescribed by the Committee that includes all of the following: 
(1) The applicant's name, mailing and street addresses, telephone numbers, social security number, date and place of birth and the institutions attended that provided naturopathic medical education. 
(2) As to any other health care license or certificate currently or previously held by the applicant: 
(A) The date that a license or certificate was first issued to the applicant, the name of the body that issued the license or certificate, and the status of the license or certificate. 
(B) A statement as to whether or not the applicant has ever been denied a health care license or certificate. 
(C) A statement as to whether or not any type of disciplinary action has ever been taken against a health care license or certificate. 
(D) A statement as to whether the applicant ever voluntarily surrendered a health care license or certificate. 
(3) The date, jurisdiction and official results of any naturopathic licensing examinations taken by the applicant, including the Naturopathic Physicians Licensing Examination (NPLEX). 
(4) A statement as to whether or not the applicant has any condition which in any way impairs their ability to practice naturopathic medicine with reasonable skill and safety, including but not limited to a condition that required admission to an inpatient psychiatric treatment facility, an alcohol or chemical substance dependency or addiction, an emotional, mental or behavioral disorder(s) or other condition. 
(5) Official transcripts embossed with the registrar's seal from an approved naturopathic medical school indicating that the applicant received a degree or diploma from the school. 
(6) A statement as to whether the applicant ever been convicted of any crime other than a minor traffic violation. 
(7) A statement as to whether the applicant intends to furnish or order drugs pursuant to Sections 3640.5 or 3640.7 of the Code and Section 4236. An applicant who intends to furnish or order drugs shall submit written evidence to the Bureau that the licensee has completed at least forty-eight (48) hours of instruction in pharmacology that included the pharmacokinetic and pharmacodynamic principles and properties of the drugs to be ordered or furnished under the provisions of the Act. To comply with this requirement, the instruction must have been offered by one of the following: 
(A) An approved naturopathic medical school; 
(B) An institution of higher learning that offers a baccalaureate or higher degree in medicine, nursing, pharmacy, or public health; or
(C) An educational institution or provider with standards and course content that are equivalent to the instruction provided by subparagraph (A) or (B), as determined by the Committee. 
(8) Proof of completion of Live Scan fingerprinting or for out-of-state applicants a set of original certified fingerprints and fee specified in Section 4240.
(9) A passport-size photograph of the applicant taken within six months immediately preceding filing the application.
(10) A certification under the penalty of perjury as to the contents of the application and any attachments thereto, signed and dated by the applicant. 
(11) A statement authorizing release to the Committee of the information enumerated in the application and any attachments thereto. 
(12) The application fee as specified in Section 4240. The application fee is not refundable. 
NOTE

Authority cited: Sections 3620, 3622 and 3680, Business and Professions Code. Reference: Sections 30, 144, 480, 3620, 3630, 3631, 3633, 3680 and 3681, Business and Professions Code. 
HISTORY

1. New section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order, including amendment of subsections (a)(7) and (a)(7)(B), repealer and new subsection (a)(8) and amendment of subsections (a)(9) and (a)(12), transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending subsections (a), (a)(7)(C) and (a)(11) filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
§4214. Certificate of Registration (Section 3624); Application; Duration.
Note     •     History

(a) A person who desires a certificate of registration shall submit an application to the Committee on a form prescribed by the Committee that includes: 
(1) The applicant's name, mailing and street addresses, telephone numbers, and social security number. 
(2) The following documents from the dean of a naturopathic medical school or naturopathic medical education program approved by the Committee pursuant to section 4230 of this article: 
(A) A written statement that the applicant holds a faculty position at the school and has the necessary qualifications to hold that position. 
(B) A written certification that specifies the applicant will be under his or her direction and will not be permitted to practice naturopathic medicine unless such practice is incidental to and a necessary part of the applicant's duties in relation to the faculty position. 
(C) A list of the applicant's duties in the faculty position. 
(3) Documentary evidence that the applicant is either a citizen of the United States or is legally admitted to United States. 
(b) Within thirty (30) working days of receipt of an application for a certificate of registration as a part of an appointment to a position pursuant to Section 3624 of the Code, the Committee shall inform the applicant in writing that it is either complete and accepted for filing or that it is deficient and what specific information or documentation is required to complete the application. An application is considered complete if it is in compliance with the requirements of Section 3624 of the Code and this section. 
(c) Within sixty (60) days from the date of filing of a completed application, the Committee shall inform the dean in writing of its decision regarding the application and, if appropriate, shall issue the faculty member a certificate of registration. 
(d) A certificate of registration shall expire two years after the date of issuance. To renew the certificate, the certificate holder, prior to the expiration of the certificate, shall: 
(1) Send a written renewal request to the Committee. 
(2) Provide the Committee with a statement from the dean of the approved naturopathic medical school that specifies the certificate holder still holds the faculty position for which the certificate was issued and identifies changes in the certificate holder's duties, if any. 
(e) The dean of an approved naturopathic medical school shall immediately notify the Committee if a certificate holder no longer holds the faculty position for which the certificate was issued. 
(f) Renewal of the certificate is the responsibility of the certificate holder. 
NOTE

Authority cited: Sections 3620 and 3622, Business and Professions Code. Reference: Sections 3620 and 3624, Business and Professions Code. 
HISTORY

1. New section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending subsections (a), (b)-(c), (d)(1)-(2) and (e) filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
§4216. Review of License Application and Processing Times.
Note     •     History

(a) Within one hundred (100) working days after receipt of an application pursuant to section 3630 of the Code for license as a naturopathic doctor, the Committee shall inform the applicant, in writing, whether the application is complete and accepted for filing or that it is deficient and what specific information or documentation is required to complete the application. An application is considered complete if it is in compliance with Sections 3630 through 3633.1 of the Code and Section 4212 of this article. 
(b) Within one hundred (100) working days from the date of filing a complete application, the Committee shall inform the applicant in writing of the decision regarding the application for licensure as a naturopathic doctor. 
NOTE

Authority cited: Sections 3620 and 3622, Business and Professions Code. Reference: Sections 30, 144, 480, 700-704, 3620, 3630, 3631, 3633, 3636, 3644 and 3681, Business and Professions Code. 
HISTORY

1. New section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending section filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
§4218. Abandonment of Application.
Note     •     History

An application for a license or a certificate shall be deemed abandoned and the application fee forfeited when the applicant fails to complete the application within one year after it is originally received by the Committee or within one year after the date of the last notification of deficiency, whichever is later.
NOTE

Authority cited: Sections 142 and 3622, Business and Professions Code. Reference: Sections 142 and 3630, Business and Professions Code. 
HISTORY

1. New section filed 8-16-2005; operative 8-16-2005 (Register 2005, No. 33).
2. Change without regulatory effect amending section filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
Article 3. Examinations
§4220. Examination.
Note     •     History

(a) An applicant shall successfully pass the licensing examination prior to being licensed. The licensing examination shall consist of Part I and Part II of the Naturopathic Physicians Licensing Examination (NPLEX), as administered by the North American Board of Naturopathic Examiners (NABNE), except that successful completion of Part I of the NPLEX is not required for those individuals issued a waiver by NABNE, or NABNE deems the form of the examination “era appropriate.” The passing score on the NPLEX shall be determined by a criterion-referenced passing score procedure. 
(b) The criterion-reference passing score procedure shall meet the standards and guidelines set forth in Section 139 of the Code and the Standards for Educational and Psychological Testing. 
(c) Subdivision (a) shall not apply to applicants who have: 
(1) Filed an application for licensure with the Committee no later than December 31, 2007; and, 
(2) Graduated from an approved naturopathic medical school prior to January 1, 1986; and, 
(3) Passed a naturopathic licensing examination administered by another state. The results of the other state's licensing examination shall be submitted directly to the Committee by the other state's licensing agency or board. 
NOTE

Authority cited: Section 3622, Business and Professions Code. Reference: Sections 139, 3630, 3631, 3633 and 3633.1, Business and Professions Code. 
HISTORY

1. New article 3 (section 4220) and section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New article 3 (section 4220) and section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order, including amendment of subsection (a), transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending subsections (c)(1) and (c)(3) filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
Article 4. Licenses
§4222. Duration and Renewal of License.
Note     •     History

(a) The initial license fee shall be prorated from the month of issuance to the month in which the second birthday of the licensee occurs after the issuance of the license.
(b) A naturopathic doctor's license shall expire at 12 midnight on the last day of the birth month of the licensee during the second year of a two-year term if not renewed.
(c) To renew an unexpired license, a licensee shall, before the time at which the license would otherwise expire, apply for renewal and pay the renewal fee required in Section 4240.
(d) The renewal application shall include all of the following:
(1) A statement by the licensee specifying whether the licensee was convicted of a crime or disciplined by another public agency during the preceding renewal period;
(2) A statement by the licensee that he or she has complied with the continuing education requirements established pursuant to Section 3635 of the Code, as applicable. The licensee shall attach documentation to the renewal application verifying the successful completion of the required continuing education.
(3) A statement by the licensee that his or her representations on the renewal form are true, correct, and contain no material omissions of fact, signed under penalty of perjury.
NOTE

Authority cited: Sections 152.6, 3622 and 3680, Business and Professions Code. Reference: Sections 152.6, 480, 3634 and 3635, Business and Professions Code. 
HISTORY

1. New article 4 (sections 4222-4228) and section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New article 4 (sections 4222-4228) and section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order, including repealer and new section and amendment of Note, transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Editorial correction of subsection (b) (Register 2005, No. 44).
§4224. Display of Licenses.
Note     •     History

A Naturopathic Doctor's license shall be posted prominently under glass or other transparent material in an area frequented by patients. 
NOTE

Authority cited: Sections 104, 3620 and 3622, Business and Professions Code. Reference: Sections 104 and 3630, Business and Professions Code. 
HISTORY

1. New section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
§4226. Renewal of Expired License; Late Renewal Fee.
Note     •     History

(a) Except as otherwise provided in the Code, a license which has expired may be renewed upon the filing of an application for renewal and payment of the renewal fee established in Section 4240.
(b) If a license is renewed more than 30 days after its expiration, the licensee, as a condition precedent to renewal, shall also pay the late renewal fee specified in Section 4240.
(c) Renewal under this section shall be effective on the date on which the renewal application is filed, on the date on which the renewal fee is paid, or on the date on which the late renewal fee, if any, is paid, whichever last occurs. If so renewed, the license or certificate shall continue in effect through the period established in Section 4222(b) of this article, when it shall expire if it is not renewed.
(d) An expired license may be renewed at any time within three (3) years after its expiration. As a condition precedent to renewal, the licensee shall be required to pay all accrued and unpaid renewal fees and any late fees.
(e) A license that is not renewed within three (3) years after its expiration may not be renewed or reissued thereafter, but the holder of the license may apply for and obtain a new license if the following requirements are satisfied:
(1) No fact, circumstance, or condition exists which would justify denial of licensure under Section 480 of the Code.
(2) He or she pays all of the fees which would be required of him or her if he or she were then applying for the license for the first time and all renewal and late fees that have accrued since the date on which he or she last renewed his or her license.
(3) He or she otherwise establishes to the satisfaction of the Committee that with due regard for the public interest, he or she is qualified to practice naturopathic medicine.
The Committee may impose conditions on any license issued pursuant to this subsection as it deems necessary, including taking and passing the examination.
NOTE

Authority cited: Sections 3622, 3634 and 3680, Business and Professions Code. Reference: Sections 3634 and 3680, Business and Professions Code. 
HISTORY

1. New section filed 8-16-2005; operative 8-16-2005 (Register 2005, No. 33).
2. Change without regulatory effect amending subsection (e)(3) filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
§4228. Inactive License.
Note     •     History

(a) A licensee in good standing who desires an inactive license shall submit his or her written request for an inactive license to the Committee at its principal office.
(b) In order to restore an inactive license to active status, the licensee shall submit a written request for reactivation to the Committee and evidence that the licensee has completed the required number of hours of approved continuing education in compliance with this article, as applicable for the renewal period preceding the request to reactivate.
(c) The holder of an inactive license shall continue to pay to the Committee the required biennial renewal fee.
(d) The Committee shall inform a licensee who wishes to activate his or her license in writing within thirty (30) days of receipt of the request specified in subdivision (b) whether the request is complete and accepted for filing or is deficient and what specific information is required. The Committee shall decide within thirty (30) days after the filing of a completed request whether the licensee meets the requirements for activation.
NOTE

Authority cited: Section 3622, Business and Professions Code. Reference: Sections 700-704 and 3636, Business and Professions Code. 
HISTORY

1. New section filed 8-16-2005; operative 8-16-2005 (Register 2005, No. 33).
2. Change without regulatory effect amending section filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
Article 5. Schools
§4230. Approved Naturopathic Medical Education Programs and Schools.
Note     •     History

(a) Those naturopathic medical education programs that are accredited or candidates for accreditation by the Council on Naturopathic Medical Education (CNME) shall be deemed approved by the Committee. 
(b) A current list of approved naturopathic medical schools shall be maintained on file at the principal office of the Committee. 
(c) Nothing in this section shall be construed to prohibit the Committee from disapproving a naturopathic medical school or naturopathic medical educational program that does not comply with the provisions Section 3623 of the Code. 
(d) Approval of a naturopathic medical education program under this section ceases automatically upon the termination by CNME of an institution's accreditation or candidacy for accreditation. 
NOTE

Authority cited: Sections 3622 and 3623, Business and Professions Code. Reference: Sections 3620, 3623 and 3630, Business and Professions Code. 
HISTORY

1. New article 5 (section 4230) and section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New article 5 (section 4230) and section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending section filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
Article 6. Practice of Naturopathic Medicine
§4232. Informed Consent.
Note     •     History

(a) No person issued a certificate of registration pursuant to Section 3624 of the Code shall render naturopathic medical services to a patient in California unless said patient has been informed that the services will be rendered by the certificate holder. 
(b) No student enrolled at an approved naturopathic medical school shall render naturopathic medical services to a patient in California unless said patient has been informed in writing that the services will be rendered by the student and has consented to in writing to receive the services from the student. It shall be the responsibility of the approved school to assure that the necessary consent is obtained. 
NOTE

Authority cited: Sections 3622, Business and Professions Code. Reference: Sections 3624 and 3644, Business and Professions Code. 
HISTORY

1. New article 6 (sections 4232-4236) and section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New article 6 (sections 4232-4236) and section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
§4234. Naturopathic Medical Services Performable.
Note     •     History

(a) A licensee of the Committee may order and perform the following functions: 
(1) Those functions expressly specified in subdivisions (a) and (c) of Section 3640 of the Code. 
(2) The independent prescription and administration of epinephrine to treat anaphylaxis, as specified in Section 3640.7 of the Code. 
(3) The independent prescription of natural and synthetic hormones, as specified in Section 3640.7 of the Code. 
(b) A licensee may order the studies and tests specified in subdivision (b) of Section 3640 of the Code and other diagnostic tests provided that the licensee is clinically competent in this area. A licensee may not interpret the results of the tests or studies so ordered unless the licensee holds an appropriate license. 
(c) A licensee may not perform the following functions: 
(1) The functions specified in Section 3642 of the Code. 
(2) The practice of marriage and family therapy as defined in Section 4980.02 of the Code, unless appropriately licensed. 
(3) The practice of clinical social work and psychotherapy as defined in Section 4996.9 of the Code, unless appropriately licensed. 
(d) A licensee may the utilize all of the routes of administration specified in subdivision (d) of Section 3640 of the Code except for the ocular and intravenous routes of administration. A licensee may only utilize the ocular and intravenous routes of administration if he or she in clinically competent in those areas. 
(e) For the purposes of this section, “clinically competent” means that one possesses and exercises the degree of learning, skill, care and experience ordinarily possessed and exercised by a member of the appropriate discipline in clinical practice. 
NOTE

Authority cited: Sections 3622 and 3640, Business and Professions Code. Reference: Sections 3640, 3640.5, 3640.7 and 3642, Business and Professions Code. 
HISTORY

1. New section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending subsection (a) filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
§4236. Furnishing and Ordering of Drugs.
Note     •     History

(a) In order to furnish or order drugs or dangerous devices pursuant to Section 3640.5 of the Code or prescribe drugs or dangerous devices pursuant to Section 3640.7 of the Code, a licensee shall first obtain a furnishing number from the Committee by submitting written evidence to the Committee of all the information required by Section 4212(a)(7).
(b) The furnishing and ordering of drugs or dangerous devices pursuant to Section 3640.5 of the Code by a licensee is conditional upon all the following: 
(1) Compliance with subdivisions (a), (b), (c), (d), and (f) of Section 3640.5 of the Code. 
(2) Registration with the United States Drug Enforcement Agency, where required. 
(3) The issuance of a furnishing number to the licensee by the Committee. 
(c) The prescribing of drugs or dangerous devices pursuant to Section 3640.7 by a licensee is conditional upon the issuance of a furnishing number to the licensee by the Committee, and registration with the United States Drug Enforcement Agency where required.
(d) A drug order or prescription for a dangerous drug or dangerous device issued by a naturopathic doctor shall comply with the requirements of Section 4040 of the Code.
(e) Furnishing, ordering or prescribing a controlled substance pursuant to Sections 3640.5(f) or 3640.7 of the Code shall be furnished, ordered, or prescribed in compliance with the California Uniform Controlled Substances Act (Division 10 (commencing with Section 11000) of the Health and Safety Code).
NOTE

Authority cited: Sections 3620, 3622 and 3640.5(g), Business and Professions Code. Reference: Sections 3640.5, 3640.7 and 4040, Business and Professions Code; and Section 11164, Health and Safety Code. 
HISTORY

1. New section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order, including amendment of section and Note, transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending subsections (a), (b)(3) and (c) filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
Article 7. Fees
§4240. Fees.
Note     •     History

The following fees are established: 
(a) The application fee for a doctor of naturopathic medicine license shall be four hundred dollars ($400). 
(b) The initial license fee shall be eight hundred dollars ($800), prorated according to the applicant's birth month and the date the license is issued pursuant to Section 4222. No license shall be issued for less than twelve (12) or more than 24 months. The fee for an initial license shall be in accordance with the following schedule:

Initial Licensing Fee Schedule

				   Month Fee Received by the 15th.
Birth 				If received after the 15th, use the next month fee.
Month#	Jan	Feb	Mar	Apr	May	Jun	Jul	Aug	Sep	Oct	Nov	Dec
January	$433	$800	$766	$733	$700	$667	$633	$600	$567	$533	$500	$467
February	$467	$433	$800	$766	$733	$700	$667	$633	$600	$567	$533	$500
March	$500	$467	$433	$800	$766	$733	$700	$667	$633	$600	$567	$533
April	$533	$500	$467	$433	$800	$766	$733	$700	$667	$633	$600	$567
May	$567	$533	$500	$467	$433	$800	$766	$733	$700	$667	$633	$600
June	$600	$567	$533	$500	$467	$433	$800	$766	$733	$700	$667	$633
July	$633	$600	$567	$533	$500	$467	$433	$800	$766	$733	$700	$667
August	$667	$633	$600	$567	$533	$500	$467	$433	$800	$766	$733	$700
September	$700	$667	$633	$600	$567	$533	$500	$467	$433	$800	$766	$733
October	$733	$700	$667	$633	$600	$567	$533	$500	$467	$433	$800	$766
November	$766	$733	$700	$667	$633	$600	$567	$533	$500	$467	$433	$800
December	$800	$766	$733	$700	$667	$633	$600	$567	$533	$500	$467	$433
The Committee must receive payment by the 15th of any given month for the Committee to process and issue the license for that month. If payment is received after the 15th, the license will be process for issuance for the following month
(c) The renewal fee for a license shall be eight hundred dollars ($800). 
(d) The late renewal fee for a license shall be one hundred and fifty dollars ($150).
(e) The fee for processing fingerprint cards shall be the current fee charged by the Department of Justice.
(f) The fee for a duplicate or replacement license shall be twenty-five ($25) dollars. 
NOTE

Authority cited: Sections 122, 3622, 3634, 3680 and 3685, Business and Professions Code. Reference: Sections 122, 144, 3630, 3634, 3680 and 3685, Business and Professions Code. 
HISTORY

1. New article 7 (section 4240) and section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New article 7 (section 4240) and section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order, including amendment of section and Note, transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending subsection (b) filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
Article 8. Citations
§4242. Authority to Issue Citations; Disclosure and Purge of Citation Records.
Note     •     History

(a) The Executive Officer of the Committee or Committee's designee may issue a citation to any person who holds a license from the Committee for a violation of any provision of the Naturopathic Doctors Act or the regulations contained in this division. 
(b) Every citation that is issued pursuant to this article shall be disclosed to an inquiring member of the public. 
(c) Every citation, once it has been resolved by payment of the administrative fine and/or compliance with the order of abatement, shall be purged four (4) years from the date of resolution, except for citations referenced in subdivision (d). 
(d) No citation shall be purged if issued pursuant to section 4254 of this article, and no citation shall be purged for any citation issued against an unlicensed individual using the title of naturopathic doctor; licensed naturopathic doctor; doctor of naturopathic medicine; doctor of naturopathy; naturopathic medical doctor; or, N.D. 
(e) A citation that has been withdrawn or dismissed shall be purged from the Committee's files as soon as administratively feasible, but not later than one year after the withdrawal or dismissal. 
NOTE

Authority cited: Sections 125.9, 3620 and 3622, Business and Professions Code; and Section 6253, Government Code. Reference: Sections 125.9 and 3620, Business and Professions Code; and Section 6253, Government Code. 
HISTORY

1. New article 8 (sections 4242-4254) and section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New article 8 (sections 4242-4254) and section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending subsections (a) and (e) filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
§4244. Citation Format.
Note     •     History

Each citation: 
(a) Shall be in writing; 
(b) Shall describe with particularity the nature of the violation, including specific reference to the provision of the Act or a regulation contained in this division determined to have been violated; 
(c) May contain an assessment of an administrative fine, an order of abatement fixing a reasonable period of time for abatement of the violation, or both an administrative fine and an order of abatement; 
(d) Shall inform the cited person that, if he or she desires a hearing to contest the finding of a violation, that hearing shall be requested by written notice to the Committee within thirty (30) days of the issuance of the citation or assessment; and, 
(e) Shall be served upon the licensee personally or by certified mail. 
NOTE

Authority cited: Sections 125.9 and 3622, Business and Professions Code. Reference: Sections 125.9, 148 and 3620, Business and Professions Code. 
HISTORY

1. New section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending subsection (d) filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
§4246. Administrative Fines for Citations.
Note     •     History

(a) Where citations issued pursuant to Section 4242 of this article include an assessment of an administrative fine, the fine shall be from $250 to $5,000. 
(b) The Executive Officer of the Committee or Committee's designee shall consider the factors specified in Section 4248 when determining the amount of the administrative fine. 
NOTE

Authority cited: Sections 125.9 and 3622, Business and Professions Code. Reference: Sections 125.9, 148 and 3620, Business and Professions Code. 
HISTORY

1. New section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending subsection (b) filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
§4248. Citation Factors.
Note     •     History

The following factors shall be considered when determining the amount of an administrative fine: 
(a) The good or bad faith exhibited by the cited person. 
(b) The nature and severity of the violation. 
(c) Evidence that the violation was willful. 
(d) History of violations of the same or similar nature. 
(e) The extent to which the cited person has cooperated with the Committee. 
(f) The extent to which the cited person has mitigated or attempted to mitigate any damage or injury caused by his or her violation. 
(g) Such other matters as justice may require. 
(h) For the issuance of a citation that includes an administrative fine in excess of $2,500, including a citation issued pursuant to section 4254, the Committee shall determine that at least one of the following circumstances apply: 
(1) The citation involves a violation that presents an immediate threat to the health and safety of another person. 
(2) The citation involves multiple violations of the Act or these regulations that demonstrate a willful disregard of the law. 
(3) The citation involves a violation or violations perpetrated against a senior citizen or disabled person. 
NOTE

Authority cited: Sections 125.9 and 3622, Business and Professions Code. Reference: Sections 125.9, 148 and 3620, Business and Professions Code. 
HISTORY

1. New section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending subsections (e) and (h) filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
§4250. Contest of Citations.
Note     •     History

(a) In addition to requesting a hearing, as provided for in subsection (b)(4) of Section 125.9 of the Code, the person cited may, within ten (10) days after service or receipt of the citation, notify the Executive Officer of the Committee or the Committee's designee in writing of his or her request for an informal conference with the Executive Officer of the Committee or the Committee's designee regarding the acts charged in the citation. The time allowed for the request shall begin the first day after the citation has been served or received. 
(b) The Executive Officer of the Committee or the Committee's designee shall, within thirty (30) days from receipt of the request, hold an informal conference with the person cited and/or his or her legal counsel or authorized representative. At the conclusion of the informal conference, the Executive Officer of the Committee or the Committee's designee may affirm, modify or dismiss the citation, including any administrative fine levied or order of abatement issued. The Executive Officer of the Committee or the Committee's designee shall state in writing the reasons for his or her action and serve or mail, as provided in subdivision (e) of section 4244, a copy of his or her findings and decision to the person cited within fifteen (15) days from the date of the informal conference. The decision shall be deemed to be a final order with regard to the citation issued, including the administrative fine levied and the order of abatement. 
(c) The person cited does not waive his or her request for a hearing to contest a citation by requesting an informal conference after which the citation is affirmed by the Executive Officer of the Committee or the Committee's designee. If the citation is dismissed after the informal conference, the request for a hearing on the matter of the citation shall be deemed to be withdrawn. If the citation, including any administrative fine levied or order of abatement, is modified, the citation originally issued shall be considered withdrawn and a new citation issued. If a hearing is requested for the subsequent citation, it shall be requested within thirty (30) days in accordance with subsection (b)(4) of Section 125.9 of the Code. 
(d) A cited person may not request an informal conference for a citation which was modified following an informal conference. 
NOTE

Authority cited: Sections 125.9 and 3622, Business and Professions Code. Reference: Sections 125.9, 148 and 3620, Business and Professions Code. 
HISTORY

1. New section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending section filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
§4252. Compliance with Order of Abatement.
Note     •     History

(a) The time allowed for abatement of a violation shall begin the first day after the order of abatement has been served or received. If a cited person who has been issued an order of abatement is unable to complete the correction within the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, the person cited may request an extension of time from the Executive Officer of the Committee or the Committee's designee in which to complete the correction. Such a request shall be in writing and shall be made within the time set forth for abatement. 
(b) When an order of abatement is not contested or if the order is appealed and the person or entity cited does not prevail, failure to abate the violation charged within the time specified in the citation shall constitute a violation and failure to comply with the order of abatement. Failure to timely comply with an order of abatement or failure to pay the fine included in the citation within the time allowed may result in disciplinary action being taken by the Committee or other appropriate judicial relief being taken against the person cited. 
NOTE

Authority cited: Sections 125.9 and 3622, Business and Professions Code. Reference: Sections 125.9, 148 and 3620, Business and Professions Code. 
HISTORY

1. New section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending section filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
§4254. Unlicensed Practice.
Note     •     History

The Executive Officer of the Committee or the Committee's designee may issue a citation, in accordance with Section 148 of the Code, against any unlicensed person who is acting in the capacity of a licensee under the jurisdiction of the Committee and who is not otherwise exempt from licensure. Each citation may contain an assessment of an administrative fine, or an order of abatement fixing a reasonable period of time for abatement. Administrative fines shall range from $250 to $5,000 for each violation. Any sanction authorized for activity under this section shall be separate from and in addition to any other civil or criminal remedies. 
NOTE

Authority cited: Sections 125.9, 148 and 3622, Business and Professions Code. Reference: Sections 125.9, 148 and 3620, Business and Professions Code. 
HISTORY

1. New section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending section filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
Article 9. Enforcement
§4256. Substantial Relationship Criteria.
Note     •     History

For the purposes of denial, suspension or revocation of a license or certificate pursuant to Division 1.5 (commencing with Section 475) of the Code, a crime or act shall be considered to be substantially related to the qualifications, functions or duties of a person holding a license or certificate under the Naturopathic Doctors Act if to a substantial degree it evinces present or potential unfitness of a person holding a license or certificate to perform the functions authorized by the license or certificate in a manner consistent with the public health, safety or welfare. Such crimes or acts shall include but not be limited to the following: 
(a) Violating or attempting to violate, directly or indirectly, or assisting in or abetting the violation of, or conspiring to violate any provision of the Naturopathic Doctors Act. 
(b) A conviction of child abuse. 
(c) A conviction as a sex offender. 
(d) The conviction of any crime involving the sale, gift, administration, or furnishing of narcotics, dangerous drugs or dangerous devices, as defined in Section 4022 of the Code. 
(e) A conviction for assault and/or battery, lewd conduct, or driving under the influence of drugs or alcohol. 
(f) A conviction of a crime involving fiscal dishonesty. 
NOTE

Authority cited: Sections 481 and 3622, Business and Professions Code. Reference: Sections 480, 481, 3660 and 3662, Business and Professions Code. 
HISTORY

1. New article 9 (sections 4256-4260) and section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New article 9 (sections 4256-4260) section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
§4258. Criteria for Rehabilitation.
Note     •     History

(a) When considering the denial of a license under Section 480 of the Code, the Committee, in evaluating the rehabilitation of the applicant and his/her present eligibility for a license will consider the following criteria: 
(1) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial. 
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered as grounds for denial under Section 480 of the Code. 
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (1) or (2). 
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant. 
(5) Evidence, if any, of rehabilitation submitted by the applicant. 
(b) When considering the suspension or revocation of a license on the grounds that a naturopathic doctor has been convicted of a crime, the Committee, in evaluating the rehabilitation of such person and his/her eligibility for a license will consider the following criteria: 
(1) Nature and severity of the act(s) or offense(s). 
(2) Total criminal record. 
(3) The time that has elapsed since commission of the act(s) or offense(s). 
(4) Whether the licensee has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against the licensee. 
(5) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code. 
(6) Evidence, if any, of rehabilitation submitted by the licensee. 
NOTE

Authority cited: Sections 482 and 3622, Business and Professions Code. Reference: Sections 480, 481, 482, 3660 and 3662, Business and Professions Code. 
HISTORY

1. New section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending subsections (a) and (b) filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
§4260. Unprofessional Conduct.
Note     •     History

For the purpose of Sections 3662 and 3663 of the Code, unprofessional conduct includes: 
(a) The obtaining of any fee by fraud or misrepresentation. 
(b) The aiding or abetting of any unlicensed person to practice naturopathic medicine. 
(c) The aiding or abetting of a licensed person to practice naturopathic medicine unlawfully. 
(d) The practice of accepting or receiving any commission or the rebating in any form or manner of fees for professional services, radiograms or prescriptions supplied to patients. This subdivision shall not apply to other services or articles supplied to patients if written disclosure is provided prior to the supplying of the services or articles. 
(e) Advertising in violation of Section 651 of the Code. 
(f) The violation of any of the provisions of law regulating the procurement, dispensing, or administration of dangerous drugs, as defined in Article 7 (commencing with Section 4110) of Chapter 9 of the Code, or controlled substances, as defined in Division 10 (commencing with Section 11000) of the Health and Safety Code. 
(g) The violation of any of the provisions of the Act or the regulations contained in this division. 
(h) The clearly excessive prescribing or administering of drugs or treatment, or the clearly excessive use of diagnostic procedures, or the clearly excessive use of diagnostic or treatment facilities, as determined by the customary practice and standards of the naturopathic profession. 
(i) The use of threats or harassment against any patient, licensee or certificate holder for providing evidence in any possible or actual disciplinary action, or other legal action; or the discharge of an employee primarily based on the employee's attempt to comply with the provisions of the Act or this division or to aid in the compliance. 
(j) The suspension or revocation of a license issued, or discipline imposed, by another state or territory on grounds which would be the basis of discipline in this state. 
(k) The alteration of a patient's record with intent to deceive. 
(l) The presence of unsanitary or unsafe office conditions, as determined by the customary practice and standards of the naturopathic medical profession. 
(m) The abandonment of the patient by the licensee, without written notice to the patient that treatment is to be discontinued and before the patient has ample opportunity to secure the services of another licensee. 
(n) The willful misrepresentation of facts relating to a disciplinary action to the patients of a disciplined licensee. 
(o) The use of fraud in the procurement of any license or certificate issued pursuant to the Act. 
(p) Any action or conduct which would have warranted the denial of the license. 
(q) The aiding or abetting of a licensed doctor of naturopathic medicine to practice naturopathic medicine in a negligent or incompetent manner. 
(r) Gross negligence. 
(s) Repeated negligent acts. To be repeated, there must be two or more negligent acts or omissions. An initial negligent act or omission followed by a separate and distinct departure from the applicable standard of care shall constitute repeated negligent acts. 
(1) An initial negligent diagnosis followed by an act or omission medically appropriate for that negligent diagnosis of the patient shall constitute a single negligent act. 
(2) When the standard of care requires a change in the diagnosis, act, or omission that constitutes the negligent act described in paragraph (1), including, but not limited to, a reevaluation of the diagnosis or a change in treatment, and the licensee's conduct departs from the applicable standard of care, each departure constitutes a separate and distinct breach of the standard of care. 
(t) Incompetence. 
(u) The use of any controlled substance, as defined in Division 10 (commencing with Section 11000) of the Health and Safety Code, or any dangerous drug as defined in Article 7 (commencing with Section 4110) of Chapter 9 of the Code, or alcoholic beverages or other intoxicating substances, to an extent or in a manner dangerous or injurious to the licensee, any person, or the public to the extent that such use impairs his or her ability to conduct with safety to the public the practice authorized by his or her license or certificate. 
(v) The conviction of a charge of violating any federal statute or rule, or any statute or rule of this state, regulating controlled substances, as defined in Division 10 (commencing with Section 11000) of the Health and Safety Code, or any dangerous drug as defined in Article 7 (commencing with Section 4110) of Chapter 9 of the Code, or the conviction of more than one misdemeanor, or any felony, involving the use or consumption of alcohol or drugs, if the conviction is substantially related to the practice of naturopathic medicine. The record of conviction or certified copy thereof, certified by the clerk of the court or by the judge in whose court the conviction is had, shall be conclusive evidence of a violation of this section; a plea or verdict of guilty or a conviction following a plea of nolo contendere is deemed to be a conviction within the meaning of this section. 
(w) Performing or holding oneself out as being able to perform professional services beyond the scope of one's competence, as established by one's education, training, or experience. 
(x) Permitting a student enrolled in an approved naturopathic medical under one's supervision or control to perform, or permitting the student to hold himself or herself out as competent to perform, professional services beyond the student's level of education, training, or experience. 
NOTE

Authority cited: Sections 3620 and 3622, Business and Professions Code. Reference: Sections 650, 651, 3660, 3662 and 3663, Business and Professions Code. 
HISTORY

1. New section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
Article 10. Advertising
§4262. Advertising.
Note     •     History

A licensed naturopathic doctor may advertise the provisions of professional services authorized to be provided by such license in a manner authorized by Section 651 of the Code so long as such advertising does not promote the excessive or unnecessary use of such services. 
NOTE

Authority cited: Sections 651 and 3622, Business and Professions Code. Reference: Section 651, Business and Professions Code. 
HISTORY

1. New article 10 (section 4262) and section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New article 10 (section 4262) section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
Article 11. Naturopathic Corporations
§4264. Professional Relationships, Responsibilities and Conduct.
Note     •     History

Nothing in the laws or rules relating to naturopathic corporations alters a naturopathic doctor's duties and responsibilities to and professional relationships with his or her patients. Nor do such laws or rules in any way impair the disciplinary powers of the Committee over its licensees or impair any other law or rule pertaining to the standards of professional conduct of naturopathic doctors. 
NOTE

Authority cited: Sections 3622 and 3671, Business and Professions Code. Reference: Sections 3670 and 3671, Business and Professions Code. 
HISTORY

1. New article 11 (sections 4264-4268) and section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New article 11 (sections 4264-4268) section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
4. Change without regulatory effect amending section filed 9-30-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 40).
§4266. Security for Claims Against a Naturopathic Corporation.
Note     •     History

(a) When a naturopathic corporation provides security by means of insurance for claims against it by its patients, the security shall consist of a policy or policies of insurance insuring either the corporation or all the employed licensed persons rendering such naturopathic services against liability imposed by law for damages arising out of the rendering of, or failure to render, naturopathic services by the corporation in an amount for each claim of at least $50,000 multiplied by the number of employed licensed persons rendering such naturopathic services and an aggregate maximum limit of liability per policy year of at least $150,000 multiplied by the number of such employees; provided that the maximum coverage shall not be required to exceed $150,000 for each claim and $450,000 for all claims during the policy year, and provided further that the deductible portion of such insurance shall not exceed $5,000 multiplied by the number of such employees. 
(b) All shareholders of the corporation shall be jointly and severally liable for all claims established against the corporation by its patients arising out of the rendering of, or failure to render, naturopathic services up to the minimum amounts specified for insurance under subdivision (a) hereof except during periods of time when either the corporation or all the employed licensed persons rendering naturopathic services provide and maintain insurance for claims by its patients arising out of the rendering of, or failure to render naturopathic services. Said insurance when provided shall meet the minimum standards established in subdivision (a) above. 
NOTE

Authority cited: Sections 3622 and 3675, Business and Professions Code. Reference: Section 3675, Business and Professions Code. 
HISTORY

1. New section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
§4268. Shares: Ownership and Transfer.
Note     •     History

(a) The shares of a naturopathic corporation may be issued or transferred only to the issuing corporation or to an appropriately licensed person in accordance with Section 13401.5 of the Corporations Code. 
(b) Where there are two or more shareholders in a corporation and one of its shareholders dies, or becomes a disqualified person as defined in Section 13401(e) of the Corporations Code, for a period exceeding ninety (90) days, his or her shares shall be sold and transferred to a licensed person or to the issuing corporation, on such terms as are agreed upon. Such sale or transfer shall not be later than six (6) months after any such death and not later than ninety (90) days after the date the shareholder became a disqualified person. 
(c) A corporation and its shareholders may, but need not, agree that shares sold to it by a person who becomes a disqualified person may be resold to such person if and when he or she again ceases to become a disqualified person. 
(d) The restrictions of subdivision (a) where appropriate and, if appropriate, subdivision (c) of this section shall be set forth in the corporation's by-laws or articles of incorporation. 
(e) The income of the corporation attributable to professional, licensed services rendered while a shareholder is a disqualified person shall not in any manner accrue to the benefit of such shareholder or his or her shares. 
(g) The share certificates of the corporation shall contain either: 
(1) An appropriate legend setting forth the restriction of subdivision (a) where appropriate and where applicable, the restriction of subdivision (c), or 
(2) An appropriate legend stating that ownership and transfer of the shares are restricted and specifically referring to an identified section of the bylaws or articles of incorporation of the corporation wherein the restrictions are set forth. 
NOTE

Authority cited: Sections 3622 and 3675, Business and Professions Code. Reference: Sections 3673 and 3675, Business and Professions Code; and Sections 13401 and 13401.5, Corporations Code. 
HISTORY

1. New section filed 11-8-2004 as an emergency; operative 11-8-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-8-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-8-2005 as an emergency; operative 3-8-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-6-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-8-2005 order transmitted to OAL 7-5-2005 and filed 8-16-2005 (Register 2005, No. 33).
Division 41. Professional Fiduciaries Bureau
§4400. Introduction.
Note     •     History

These regulations are adopted by the Professional Fiduciaries Bureau to implement and make specific the provisions of the Professional Fiduciaries Act, commencing with Section 6500 of the Business and Professions Code. 
NOTE

Authority cited: Section 6517, Business and Professions Code. Reference: Sections 6500 and 6510, Business and Professions Code. 
HISTORY

1. New article 1 (sections 4400-4406) and section filed 11-26-2007 as an emergency; operative 11-26-2007 (Register 2007, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-27-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order transmitted to OAL 5-28-2008 and filed 6-16-2008 (Register 2008, No. 25).
§4402. Mailing Address of Bureau.
Note     •     History

The mailing address of the Professional Fiduciaries Bureau is P.O. Box 989007, West Sacramento, CA 95798-9007. 
NOTE

Authority cited: Section 6517, Business and Professions Code. Reference: Sections 6500 and 6510, Business and Professions Code. 
HISTORY

1. New section filed 11-26-2007 as an emergency; operative 11-26-2007 (Register 2007, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-27-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order, including amendment of section, transmitted to OAL 5-28-2008 and filed 6-16-2008 (Register 2008, No. 25).
§4404. Filing of Address of Record.
Note     •     History

Each licensee shall have on file with the Bureau his or her correct street addresses, which shall include a physical business and residence address. In addition, each licensee shall designate an address of record that shall be public information, which may consist of a post office box number or other viable mailing address. Each licensee shall within fifteen (15) business days notify the Bureau in writing of any changes in his or her street or mailing addresses, giving both the old and new addresses and any changes. 
NOTE

Authority cited: Sections 136 and 6517, Business and Professions Code. Reference: Sections 136, 6510 and 6534, Business and Professions Code. 
HISTORY

1. New section filed 11-26-2007 as an emergency; operative 11-26-2007 (Register 2007, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-27-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order transmitted to OAL 5-28-2008 and filed 6-16-2008 (Register 2008, No. 25).
§4406. Definitions.
Note     •     History

For the purpose of the regulations contained in this division, the term: 
(a) “Act” means the provisions of the Professional Fiduciaries Act, Chapter 6 (commencing with Section 6500) of Division 3 of the Business and Professions Code. 
(b) “Bureau” means the Professional Fiduciaries Bureau within the Department of Consumer Affairs, established pursuant to 6510 of the Business and Professions Code. 
(c) “Licensee” means a person who is licensed under the Professional Fiduciaries Act, Chapter 6 (commencing with Section 6500) of Division 3 of the Business and Professions Code as a “licensed professional fiduciary” pursuant to Section 6536. 
(d) “Consumer,” under the Act, means an individual with whom the licensee has established a fiduciary relationship including: a conservatee when the fiduciary is acting as a court-appointed conservator; a ward when the fiduciary is acting as a court-appointed guardian, a principal when the fiduciary is acting under a durable power of attorney, and a beneficiary when the fiduciary is acting as a trustee. 
(e) Trustee as a Professional Fiduciary -- A person acting as a trustee under the Act is an individual who meets the requirements of paragraph (1) and (2) and shall be licensed as a professional fiduciary unless exempt under the Act. 
(1) Licensing applies to the following persons
(A) An individual acting as trustee for a trust as defined in Section 82 of the Probate Code that includes at least one individual beneficiary, or 
(B) An individual, acting on behalf of an entity appointed as trustee, to perform the functions of a trustee for a trust as defined in Section 82 of the Probate Code that includes at least one individual beneficiary. 
(2) Number of non-family member trustors applies as follows:
A professional fiduciary as defined in Section 6501, includes a person acting as trustee for more than three people or more than three families or a combination of people and families that totals more than three, at the same time, who are not related to the professional fiduciary by blood, adoption, marriage, or registered domestic partnership, unless excluded under the Act. Trustors shall be counted and neither beneficiaries nor trusts shall be counted. 
NOTE

Authority cited: Section 6517, Business and Professions Code. Reference: Sections 6500, 6501, 6502, 6510 and 6530, Business and Professions Code. 
HISTORY

1. New section filed 11-26-2007 as an emergency; operative 11-26-2007 (Register 2007, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-27-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order, including amendment of subsection (e)(2), transmitted to OAL 5-28-2008 and filed 6-16-2008 (Register 2008, No. 25).
Article 2. Application and Licensure
§4420. Place of Filing.
Note     •     History

An application for licensure shall be filed with the Bureau at its designated address. 
NOTE

Authority cited: Section 6517, Business and Professions Code. Reference: Sections 6500, 6510 and 6533, Business and Professions Code. 
HISTORY

1. New article 2 (sections 4420-4428) and section filed 11-26-2007 as an emergency; operative 11-26-2007 (Register 2007, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-27-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order, including amendment of section, transmitted to OAL 5-28-2008 and filed 6-16-2008 (Register 2008, No. 25).
§4422. Application.
Note     •     History

(a) A person applying for a license as a professional fiduciary shall submit an application for licensure to the Bureau and pay the application fee required in Section 4580. 
(b) An application for licensure shall require the applicant to meet the qualifications of Section 6533 of the Business and Professions Code and, in addition, provide the following information: 
(1) For a determination of compliance with the education requirements under subdivision (g) of Section 6533, if applicable, the applicant shall provide the names of the universities or colleges, the dates of graduation, and the applicable degrees awarded. 
(2) For a determination of compliance with the experience requirements under subdivision (g) of Section 6533, if applicable, the applicant shall provide information regarding the qualifying substantive fiduciary responsibilities, including type and dates of experience, and contact information for three references, and shall provide consent for the Bureau to contact the references for verification of specified experience. 
(3) The applicant's physical business address, telephone number, and facsimile number. 
(4) The applicant's designated address of record for public information. 
(5) A list of any license or professional certificate ever held by the applicant, including information regarding the type, state/country, license or certificate number, date issued, status, and whether the license or certificate has been subject to disciplinary action, including revocation or suspension. The applicant may attach a statement of explanation.
(6) Whether the applicant has filed for bankruptcy within the last ten (10) years or held a controlling financial interest in a business when that business filed for bankruptcy within the last ten (10) years, as required by paragraph (7) of subdivision (a) of Section 6534, and the date of the bankruptcy filing. The applicant may attach a statement of explanation. 
(7) Whether the applicant has ever been convicted of a crime. The applicant may attach a statement of explanation.
(8) Whether the applicant has ever been found by a court to have breached a fiduciary duty, the date, case name, court location, and case number associated with each breach of fiduciary duty. The applicant shall submit a record of the court findings and orders related to each specific case. The applicant may file an additional statement of the issues and facts pertaining to each case. 
(9) Whether the applicant has ever been removed as a fiduciary by a court for breach of trust, the date, case name, court location, and case number associated with each removal. Whether all related appeals have been taken or the time to file an appeal has expired. The applicant shall submit a record of the court findings and orders related to each specific case. The applicant may file an additional statement of the issues and facts pertaining to each case. 
(10) Whether the applicant has ever resigned as a fiduciary in a matter in which a complaint has been filed with the court, the date the complaint was filed, the date of the resignation, case name, court location, and case number associated with each resignation, and a statement of the issues and facts pertaining to each allegation. The applicant shall submit a record of the court findings and orders related to each specific case. 
(11) Whether the applicant has ever settled as a fiduciary in a matter in which a complaint has been filed with the court, the date the complaint was filed, the date of the settlement, case name, court location, and case number associated with each settlement, and a statement of the issues and facts pertaining to each allegation. The applicant shall submit a record of the court findings and orders related to each specific case. 
(c) As used in this section “complaint” means a civil complaint, a petition, motion, objection, or other pleading filed with the court against the licensee alleging the licensee has not properly performed the duties of a fiduciary.
NOTE

Authority cited: Section 6517, Business and Professions Code. Reference: Sections 141, 480, 481, 490, 6533, 6534, 6536, 6538, 6539 and 6561, Business and Professions Code. 
HISTORY

1. New section filed 11-26-2007 as an emergency; operative 11-26-2007 (Register 2007, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-27-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order, including amendment of subsections (b)(5)-(7) and (b)(10)-(11) and new subsection (c), transmitted to OAL 5-28-2008 and filed 6-16-2008 (Register 2008, No. 25).
§4424. Review of Application; Processing Time; Issuance of License.
Note     •     History

(a) Within ninety (90) days of receipt of an application for licensure the Bureau shall inform the applicant in writing that it is both complete and accepted for filing or that it is deficient and what specific information or documentation is needed to complete the application. An application is considered complete if it is in compliance with Section 4422. 
(b) Once the application is complete and accepted for filing the Bureau shall inform the applicant in writing within thirty (30) days that he/she are approved or denied for licensure. Once approved for licensure, the applicant shall submit the initial license fee required in Section 4580 subject to the limitation of subdivision (b) of Section 4426 to become a licensed professional fiduciary under the Act. 
NOTE

Authority cited: Section 6517, Business and Professions Code. Reference: Sections 141, 6535, 6536 and 6537, Business and Professions Code. 
HISTORY

1. New section filed 11-26-2007 as an emergency; operative 11-26-2007 (Register 2007, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-27-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order, including amendment of subsection (b), transmitted to OAL 5-28-2008 and filed 6-16-2008 (Register 2008, No. 25).
§4426. Abandonment of Application.
Note     •     History

(a) An application for licensure shall be deemed abandoned and the application fee forfeited when the applicant fails to complete the application within twelve (12) months from the date of notification of deficiency or, if applicable, within twelve (12) months from date of notification of examination eligibility as provided for in Section 4500. 
(b) An application for licensure shall be deemed abandoned when an applicant approved for licensure by the Bureau fails to submit the initial license fee required in Section 4580 within twelve (12) months from the date of approval for licensure. 
NOTE

Authority cited: Section 6517, Business and Professions Code. Reference: Sections 142 and 6533, Business and Professions Code. 
HISTORY

1. New section filed 11-26-2007 as an emergency; operative 11-26-2007 (Register 2007, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-27-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order transmitted to OAL 5-28-2008 and filed 6-16-2008 (Register 2008, No. 25).
§4428. Duration of Initial License Period; First License Renewal Date; Proration of Initial License Fee; Continued Education Requirements for Initial License Period.
Note     •     History

(a) To adjust the duration of the initial license period setting the renewal date for each licensee, a professional fiduciary's initial license shall expire at twelve (12) midnight on the last day of the month in which the second birthday of the licensee occurs after the issuance of the license if not renewed. No license shall be issued for less than twelve (12) or more than 24 months. 
(b) The initial license fee shall be prorated as required in Section 4580. 
NOTE

Authority cited: Sections 152.6 and 6517, Business and Professions Code. Reference: Sections 134, 152.6 and 6541, Business and Professions Code. 
HISTORY

1. New section filed 11-26-2007 as an emergency; operative 11-26-2007 (Register 2007, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-27-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order, including amendment of subsection (a) and repealer of subsection (c), transmitted to OAL 5-28-2008 and filed 6-16-2008 (Register 2008, No. 25).
Article 3. Prelicensure and Continuing Education
§4440. Prelicensing Education Requirements.
Note     •     History

To qualify for licensure under the Act an applicant shall complete thirty (30) hours of prelicensing education credit subject to the conditions of this Article. The following courses shall qualify for prelicensing education credit: 
(a) Any education course taken on or after January 1, 2007 that meets the requirements of an approved education course under Section 4444. 
(b) Any fiduciary management course taken from the California State University, Fullerton, Extended Education Program. 
(c) Any education course taken on or after January 1, 2007 to satisfy the continuing education requirements of Rule 7.1010 and 7.1060 of the California Rules of Court. 
NOTE

Authority cited: Section 6517, Business and Professions Code. Reference: Section 6538, Business and Professions Code.
HISTORY

1. New division 41 (articles 3-4, sections 4440-4484), article 3 (sections 4440-4452) and section filed 11-2-2007 as an emergency; operative 11-2-2007 (Register 2007, No. 44). A Certificate of Compliance must be transmitted to OAL by 4-30-2008 or emergency language will be repealed by operation of law on the following day.
2. Amendment of article 3 heading filed 11-26-2007 as an emergency; operative 11-26-2007 (Register 2007, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-27-2008 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-26-2007 order transmitted to OAL 4-24-2008 and filed 5-19-2008 (Register 2008, No. 21).
§4442. Continuing Education Requirements.
Note     •     History

(a) Annual time requirements.
(1) To renew a license, a licensee shall earn during each annual renewal period a minimum of fifteen (15) hours of continuing education credit from approved education courses as defined in Section 4444 subject to the conditions of this Article. 
(2) Courses qualifying for continuing education credit must be completed following licensure and within the one-year renewal period each cycle. 
(3) A licensee who serves as an instructor in an approved education course for continuing education as provided for in subdivision (a) of Section 4444, may receive 1.5 hours of continuing education course participation credit for each hour of new course instruction presented. A maximum of 6 of the fifteen (15) hours of continuing education credit may be earned under this paragraph.
(4) A maximum of 4 of the fifteen (15) hours of continuing education credit may be earned through independent study under the supervision of an approved education provider pursuant to Section 4446 that supplies evidence of completion. 
(b) Annual subject topic requirements.
(1) Continuing education credit shall be earned by taking approved education courses in at least one of the subject topics as provided for in Section 4444.
(2) At least 2 hours of continuing education credits each year shall be in ethics for fiduciaries. 
NOTE

Authority cited: Section 6517, Business and Professions Code. Reference: Section 6538, Business and Professions Code. 
HISTORY

1. New section filed 11-2-2007 as an emergency; operative 11-2-2007 (Register 2007, No. 44). A Certificate of Compliance must be transmitted to OAL by 4-30-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order, including amendment of section, transmitted to OAL 4-24-2008 and filed 5-19-2008 (Register 2008, No. 21).
§4443. Continued Education for First License Renewal.
Note     •     History

For the initial license period established pursuant to Section 4428, each licensee must comply with the continued education requirements of Section 4442. 
NOTE

Authority cited: Sections 152.6 and 6517, Business and Professions Code. Reference: Sections 134 and 152.6, Business and Professions Code. 
HISTORY

1. New section filed 11-26-2007 as an emergency; operative 11-26-2007 (Register 2007, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-27-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order, including amendment of section, transmitted to OAL 4-24-2008 and filed 5-19-2008 (Register 2008, No. 21).
§4444. Approved Education Courses.
Note     •     History

(a) Eligible education courses, as defined in subdivision (b), offered or approved by an approved education provider listed in Section 4446, are approved education courses that meet the prelicensing and continuing education requirements of this Article. 
(b) Programs, seminars, and courses of study that are relevant to fiduciary responsibilities of estate management or of fiduciary responsibilities of the person for at least one of the subject topics as specified in subdivision (e), that address the areas of proficiency, competency, and performance of a fiduciary, and impart knowledge and increase understanding of the fiduciary profession or of the California judiciary or the legal process as it relates to the administration of fiduciary responsibilities are eligible education courses. 
(c) An approved education course may be offered in a real-time classroom setting, delivered by video presentation from a remote location or by other delivery means, including online. 
(d) An approved education course may include independent study, subject to the limitations of paragraph (4) of subdivision (a) of Section 4442, if the education provider supplies evidence of completion. A course is not independent study if the education provider requires evidence of comprehension prior to issuing a certificate of completion, as required in subdivision (c) of Section 4448.
(e) Subject topics for eligible education courses, as defined in subdivision (b), include the following: 
(1) Conservatorship; 
(2) Guardianship; 
(3) Trust administration; 
(4) Durable Power of Attorney; 
(5) The California court system including court jurisdiction and responsibilities; the state and federal constitution, California statutes, rules of court, case law, administrative law, and current issues in the California court system relevant to the fiduciary profession; 
(6) Ethics for fiduciaries. 
NOTE

Authority cited: Section 6517, Business and Professions Code. Reference: Section 6538, Business and Professions Code. 
HISTORY

1. New section filed 11-2-2007 as an emergency; operative 11-2-2007 (Register 2007, No. 44). A Certificate of Compliance must be transmitted to OAL by 4-30-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order, including amendment of subsections (b) and (e), transmitted to OAL 4-24-2008 and filed 5-19-2008 (Register 2008, No. 21).
§4446. Approved Education Providers.
Note     •     History

(a) Approved education providers may include accredited educational institutions, professional associations, professional continuing education entities, public or private for-profit or not-for-profit entities, and court-connected groups. An “accredited educational institution” is a college or university, including a community or junior college, accredited by a regional accrediting organization recognized by the Council for Higher Education Accreditation.
(b) The following educational entities that offer or approve eligible education courses as defined in subdivision (a) of Section 4444, in accordance with the requirements of Section 4448, are approved education providers of courses that meet the prelicensuring and continuing education requirements of this Article: 
(1) An accredited educational institution; 
(2) An education provider offering courses sponsored by a local court of the State of California;
(3) An education provider offering courses approved by the California State Bar for continuing education;
(4) An accountancy organization or an education provider, if the education qualifies with the California State Board of Accountancy for continuing education credit for renewal of an individual license as a Certified Public Accountant; 
(5) An education provider offering courses registered with the Certified Financial Planner Board of Standards, Inc.; 
(6) An education provider offering courses approved by the California Department of Insurance.
(7) An education provider of continuing education courses approved by the California Board of Registered Nursing; 
(8) An education provider offering courses approved by the California Board of Psychology.
(9) An education provider offering courses approved by the California Board of Behavioral Sciences;
(10) The California Department of Mental Health, Social Services and Developmental Services; 
(11) The Professional Fiduciary Association of California; 
(12) The California State Association of Public Administrators, Public Guardians, and Public Conservators; 
(13) The National Guardianship Association and its state affiliates; 
(14) The National Association of Professional Geriatric Care Managers; 
(15) The American Bar Association; 
(16) The American Society of Aging;
(17) The Gerontological Society of America; 
(18) The National Association of Social Workers;
(19) The National College of Probate Judges; 
(20) The National Elder Law Foundation;
(21) The American Bankers Association and its training providers; and,
(22) The Cannon Financial Institute.
NOTE

Authority cited: Section 6517, Business and Professions Code. Reference: Section 6538, Business and Professions Code. 
HISTORY

1. New section filed 11-2-2007 as an emergency; operative 11-2-2007 (Register 2007, No. 44). A Certificate of Compliance must be transmitted to OAL by 4-30-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order, including amendment of section, transmitted to OAL 4-24-2008 and filed 5-19-2008 (Register 2008, No. 21).
§4448. Requirements for Education Providers.
Note     •     History

Each education provider shall: 
(a) Ensure that the instructors teaching qualified education courses are proficient and knowledgeable in the subject matter; 
(b) Monitor and evaluate the quality of courses, curricula, instructors, and instructor training;
(c) Maintain records of attendance or independent study and distribute to each participant a certificate of completion that identifies the education provider and documents the subject taught, the date of completion of the education course, and the amount of education credit offered; 
(d) Maintain documentation of approved education courses offered for prelicensing and continuing education credit under this article for a period of at least five years from the date the education course was offered; and
(e) Provide to the Bureau upon request any documentation of approved education courses for prelicensing and continuing education credit, including records of attendance or independent study. 
NOTE

Authority cited: Section 6517, Business and Professions Code. Reference: Section 6538, Business and Professions Code. 
HISTORY

1. New section filed 11-2-2007 as an emergency; operative 11-2-2007 (Register 2007, No. 44). A Certificate of Compliance must be transmitted to OAL by 4-30-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order transmitted to OAL 4-24-2008 and filed 5-19-2008 (Register 2008, No. 21).
§4450. Proof of Compliance of Prelicensing Education.
Note     •     History

Each applicant is responsible for ensuring compliance with the prelicensing education requirements of this Article. 
(a) To demonstrate compliance an applicant shall sign under penalty of perjury on an application form, as provided for in Section 4422, provided by the Bureau that they have completed thirty (30) hours of approved prelicensing education courses. 
(b) An applicant shall maintain documentation of completion of prelicensing education courses for a period of at least three years from the date of the issuance of the license. 
(c) Each applicant shall provide any information requested by the Bureau within ten (10) business days of the request, to determine compliance with the prelicensing education requirements of the Act. 
NOTE

Authority cited: Section 6517, Business and Professions Code. Reference: Section 6538, Business and Professions Code. 
HISTORY

1. New section filed 11-2-2007 as an emergency; operative 11-2-2007 (Register 2007, No. 44). A Certificate of Compliance must be transmitted to OAL by 4-30-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order, including amendment of subsections (a) and (c), transmitted to OAL 4-24-2008 and filed 5-19-2008 (Register 2008, No. 21).
§4452. Proof of Compliance of Continuing Education Requirements.
Note     •     History

Each applicant is responsible for ensuring compliance with the continuing education requirements of this Article. 
(a) To demonstrate compliance a licensee shall sign under penalty of perjury on an annual renewal application form provided by the Bureau that they have completed fifteen (15) hours of approved continuing education courses. 
(b) A licensee shall maintain documentation of completion of continuing education courses for a period of at least three years from the date of renewal. 
(c) Each licensee shall provide any information requested by the Bureau within ten (10) business days of the request, to determine compliance with the continuing education requirements for license renewal. 
NOTE

Authority cited: Section 6517, Business and Professions Code. Reference: Section 6538, Business and Professions Code. 
HISTORY

1. New section filed 11-2-2007 as an emergency; operative 11-2-2007 (Register 2007, No. 44). A Certificate of Compliance must be transmitted to OAL by 4-30-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order, including amendment of subsection (c), transmitted to OAL 4-24-2008 and filed 5-19-2008 (Register 2008, No. 21).
Article 4. Code of Ethics
§4470. General Principles.
Note     •     History

(a) A licensee's fiduciary duties recognized under this Article are based upon the fiduciary relationship established with the consumer as follows: 
(1) A licensee's relationship to a conservatee when acting as a court appointed conservator; 
(2) A licensee's relationship to a ward when acting as a court appointed guardian; 
(3) A licensee's relationship to a principal when acting under a durable power of attorney; and,
(4) A licensee's relationship to a beneficiary when acting as a trustee. 
(b) The licensee shall comply with all local, state, and federal laws and regulations developed by the courts and the Judicial Council as a minimum guide for the fulfillment of the fiduciary duties recognized under this Article. 
(c) The licensee shall protect all rights of the consumer that relate to licensee's fiduciary duties to the consumer. 
(d) The licensee shall refrain from representing the consumer in areas outside the scope of legal authority. 
(e) The licensee shall seek competent professional advice whenever appropriate for the benefit of the consumer.
NOTE

Authority cited: Sections 6517 and 6520, Business and Professions Code. Reference: Section 6520, Business and Professions Code. 
HISTORY

1. New article 4 (sections 4470-4484) and section filed 11-2-2007 as an emergency; operative 11-2-2007 (Register 2007, No. 44). A Certificate of Compliance must be transmitted to OAL by 4-30-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order, including amendment of subsections (b) and (c), transmitted to OAL 4-24-2008 and filed 5-19-2008 (Register 2008, No. 21).
3. Editorial correction of subsection (a) (Register 2008, No. 39).
§4472. Decision Standards.
Note     •     History

(a) The provisions under this section apply to those licensed fiduciaries acting in the capacity of a conservator, guardian, or agent under durable power of attorney for health care or for finances. 
(b) The licensee shall provide the consumer with every reasonable opportunity to exercise those individual choices that the consumer is capable of exercising. 
(c) When the licensee is making decisions on behalf of the consumer, the licensee shall use every reasonable good faith effort to ascertain the desires of the consumer prior to making any decisions, and shall make decisions therefore predicated on the ascertained desires of the consumer, unless doing so would violate the licensee's fiduciary duties to the consumer or impose an unreasonable expense on the estate. 
(d) If after every reasonable good faith effort the desires of the consumer cannot be ascertained or if exercising them would violate the licensee's fiduciary duties to the consumer or impose an unreasonable expense on the estate, the licensee shall make decisions that are in the best interest of the consumer. 
(e) Decisions made on behalf of the consumer shall take into consideration all known ethnic, religious, social and cultural values of the consumer whenever possible. 
NOTE

Authority cited: Sections 6517 and 6520, Business and Professions Code. Reference: Section 6520, Business and Professions Code. 
HISTORY

1. New section filed 11-2-2007 as an emergency; operative 11-2-2007 (Register 2007, No. 44). A Certificate of Compliance must be transmitted to OAL by 4-30-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order, including amendment of subsections (c) and (d), transmitted to OAL 4-24-2008 and filed 5-19-2008 (Register 2008, No. 21).
§4474. Confidentiality.
Note     •     History

(a) The licensee shall closely guard against the disclosure of personal information regarding the consumer except when such disclosure is required by law or necessary to protect the best interest of the consumer. 
(b) Disclosure of consumer information shall be limited to what is lawful, necessary and relevant to the issue being addressed. 
NOTE

Authority cited: Sections 6517 and 6520, Business and Professions Code. Reference: Section 6520, Business and Professions Code. 
HISTORY

1. New section filed 11-2-2007 as an emergency; operative 11-2-2007 (Register 2007, No. 44). A Certificate of Compliance must be transmitted to OAL by 4-30-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order, including amendment of subsection (b), transmitted to OAL 4-24-2008 and filed 5-19-2008 (Register 2008, No. 21).
§4476. Conflict of Interest.
Note     •     History

(a) The licensee shall avoid actual conflicts of interest, and consistent with the licensee's fiduciary duties, shall not engage in any activity where there is the reasonable appearance of a conflict of interest. 
(b) The licensee shall not engage in any personal, business, or professional interest or relationship that is or reasonably could be perceived as self-serving or adverse to the best interest of the consumer. 
(c) The licensee shall protect the rights of the consumer and the estate against infringement by third parties. 
NOTE

Authority cited: Sections 6517 and 6520, Business and Professions Code. Reference: Section 6520, Business and Professions Code. 
HISTORY

1. New section filed 11-2-2007 as an emergency; operative 11-2-2007 (Register 2007, No. 44). A Certificate of Compliance must be transmitted to OAL by 4-30-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order transmitted to OAL 4-24-2008 and filed 5-19-2008 (Register 2008, No. 21).
§4478. Residential Placement.
Note     •     History

(a) The provisions under this section apply to those licensed fiduciaries acting in the capacity of a conservator, guardian, or agent under durable power of attorney for health care. 
(b) The licensee shall be informed and aware, and consider the options and alternatives available when establishing the consumer's place of residence. 
(c) The licensee shall use every reasonable good faith effort to ascertain the desires of the consumer prior to making any decisions when establishing the consumer's residence, unless doing so would violate the licensee's fiduciary duties to the consumer or impose an unreasonable expense on the estate. 
(d) If after every reasonable good faith effort the desires of the consumer cannot be ascertained or if exercising them would violate the licensee's fiduciary duties to the consumer or impose an unreasonable expense on the estate, the licensee shall select the least restrictive and appropriate residence that is available and necessary to meet the needs of the consumer that are in the best interest of the consumer. 
(e) The licensee shall not remove the consumer from his or her home or separate the consumer from family and friends unless such removal is appropriate and in the best interest of the consumer. 
(f) The licensee shall seek professional evaluations and assessments whenever appropriate to determine whether the current or proposed placement of the consumer represents the least restrictive and appropriate residence that is available and necessary to meet the needs of the consumer that are in the best interest of the consumer. 
(g) The licensee shall monitor the placement of the consumer on an on-going basis to ensure its continued appropriateness, and shall make changes whenever necessary that are in the best interest of the consumer. 
(h) The licensee shall take all action necessary to protect the consumer from financial and/or physical harm or abuse.
NOTE

Authority cited: Sections 6517 and 6520, Business and Professions Code. Reference: Section 6520, Business and Professions Code. 
HISTORY

1. New section filed 11-2-2007 as an emergency; operative 11-2-2007 (Register 2007, No. 44). A Certificate of Compliance must be transmitted to OAL by 4-30-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order, including amendment of subsections (b)-(d) and new subsection (h), transmitted to OAL 4-24-2008 and filed 5-19-2008 (Register 2008, No. 21).
§4480. Care, Treatment and Services.
Note     •     History

(a) The provisions under this section apply to those licensed fiduciaries acting in the capacity of a conservator, guardian, or agent under durable power of attorney for health care. 
(b) The licensee shall protect the personal and pecuniary interests of the consumer. 
(c) The licensee shall use every reasonable good faith effort to ascertain the desires of the consumer prior to making any decisions regarding all care, treatment, or services, unless doing so would violate the licensee's fiduciary duties to the consumer or impose an unreasonable expense on the estate. 
(d) If after every reasonable good faith effort the desires of the consumer cannot be ascertained or if exercising them would violate the licensee's fiduciary duties to the consumer or impose an unreasonable expense on the estate, the licensee shall make decisions regarding care, treatment, and services that are in the best interest of the consumer. 
(e) The licensee shall be cognizant of his or her own limitations of knowledge, and shall seek professional evaluations and assessments whenever appropriate to determine whether the current or proposed care, treatment, and services are appropriate and in the best interest of the consumer. 
(f) The licensee shall monitor the care, treatment, and services on an on-going basis to ensure its continued appropriateness, and shall make changes whenever necessary that are in the best interest of the consumer. 
NOTE

Authority cited: Sections 6517 and 6520, Business and Professions Code. Reference: Section 6520, Business and Professions Code. 
HISTORY

1. New section filed 11-2-2007 as an emergency; operative 11-2-2007 (Register 2007, No. 44). A Certificate of Compliance must be transmitted to OAL by 4-30-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order, including amendment of subsections (c) and (d), transmitted to OAL 4-24-2008 and filed 5-19-2008 (Register 2008, No. 21).
§4482. Management of the Estate.
Note     •     History

(a) The licensee shall protect the assets of the estate.
(b) The licensee shall pursue claims against others when it reasonably appears to be in the best interest of the consumer or the estate to do so. 
(c) The licensee shall defend against actions or claims against the estate when it reasonably appears to be in the best interest of the consumer or the estate to do so. 
(d) The licensee may incur expenses that are appropriate to the estate, in relation to the assets, overall investment strategy, purpose, and other relevant information and circumstances when investing and managing estate assets. 
(e) Consistent with the licensee's fiduciary duties, the licensee shall manage the assets of the estate in the best interest of the consumer. 
(f) The licensee shall manage the estate with prudence, care and judgment, maintaining detailed fiduciary records as required by law. 
NOTE

Authority cited: Sections 6517 and 6520, Business and Professions Code. Reference: Section 6520, Business and Professions Code. 
HISTORY

1. New section filed 11-2-2007 as an emergency; operative 11-2-2007 (Register 2007, No. 44). A Certificate of Compliance must be transmitted to OAL by 4-30-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order, including amendment of subsection (d), transmitted to OAL 4-24-2008 and filed 5-19-2008 (Register 2008, No. 21).
§4484. Limitation or Elimination of Fiduciary Powers; Restoration of Capacity; Termination of Fiduciary Relationship.
Note     •     History

(a) When appropriate and in the best interest of the conservatee, licensed conservators under the Act shall not oppose and, in appropriate circumstances shall seek, limitations on the licensee's powers or authority to act, elimination of unnecessary or no-longer necessary powers, or termination of the proceeding and restoration of the conservatee's legal capacity. 
(b) In all fiduciary relationships subject to the Act, when appropriate and in the best interest of the consumer, the licensee shall take all reasonable steps to facilitate termination of the fiduciary relationship. 
(c) In all fiduciary relationships subject to the Act, the licensee shall not oppose or interfere with efforts to terminate the licensee's fiduciary relationship with a consumer for any reason other than as necessary or appropriate to protect or promote the best interest of that consumer. 
NOTE

Authority cited: Sections 6517 and 6520, Business and Professions Code. Reference: Section 6520, Business and Professions Code. 
HISTORY

1. New section filed 11-2-2007 as an emergency; operative 11-2-2007 (Register 2007, No. 44). A Certificate of Compliance must be transmitted to OAL by 4-30-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order transmitted to OAL 4-24-2008 and filed 5-19-2008 (Register 2008, No. 21).
Article 5. Examination
§4500. Examination.
Note     •     History

(a) Once an applicant is deemed eligible to take the licensing examination, the applicant has twelve (12) months in which to achieve a passing score. If an applicant initially fails to pass the examination the applicant may sit for re-examination a maximum of four times within the twelve (12) month eligibility period not to exceed one re-examination attempt every 30 days.
(b) The licensing examination shall include a portion that is specific to California law.
NOTE

Authority cited: Sections 6517 and 6539, Business and Professions Code. Reference: Sections 6518, 6533 and 6539, Business and Professions Code. 
HISTORY

1. New article 5 (section 4500) and section filed 11-26-2007 as an emergency; operative 11-26-2007 (Register 2007, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-27-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order, including amendment of subsection (a) and repealer and new subsection (b), transmitted to OAL 5-28-2008 and filed 6-16-2008 (Register 2008, No. 25).
Article 6. License Denial
§4520. Substantially Related Criteria for Denial of License.
Note     •     History

For purposes of denial of a license pursuant to Division 1.5 (commencing with Section 475) of the Business and Professions Code, a crime or act shall be considered to be substantially related to the qualifications, functions or duties of a professional fiduciary if to a substantial degree it demonstrates present or potential unfitness of a person holding a license to perform the functions authorized by the license in a manner consistent with the public health, safety or welfare. Such crimes or acts shall include but not be limited to fiscal dishonesty or breach of fiduciary responsibilities of any kind. 
NOTE

Authority cited: Sections 481 and 6517, Business and Professions Code. Reference: Sections 481, 6536 and 6537, Business and Professions Code. 
HISTORY

1. New article 6 (sections 4520-4522) and section filed 11-26-2007 as an emergency; operative 11-26-2007 (Register 2007, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-27-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order transmitted to OAL 5-28-2008 and filed 6-16-2008 (Register 2008, No. 25).
§4522. Rehabilitation Criteria for Denial of License.
Note     •     History

When considering the denial of a license under Section 480 or 6536 of the Business and Professions Code, the Bureau, in evaluating the rehabilitation of the applicant and his or her present eligibility for a license, shall consider the following criteria: 
(a) The nature and severity of the act(s) or crime(s) under consideration as grounds for denial. 
(b) Evidence of any act(s) or crime(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial which also could be considered grounds for denial under Sections 480 and 6536. 
(c) The time that has elapsed since commission of the act(s) or crime(s) referred to in subdivision (a) or (b). 
(d) The extent to which the applicant has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against the applicant. 
(e) Evidence, if any, of rehabilitation submitted by the applicant. 
NOTE

Authority cited: Sections 482 and 6517, Business and Professions Code. Reference: Sections 482, 6536 and 6537, Business and Professions Code. 
HISTORY

1. New section filed 11-26-2007 as an emergency; operative 11-26-2007 (Register 2007, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-27-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order transmitted to OAL 5-28-2008 and filed 6-16-2008 (Register 2008, No. 25).
Article 7. Reporting Duties of Licensee
§4540. Annual Reporting Requirements of Licensee.
Note     •     History

(a) A licensee is required to file an annual statement that complies with the requirements of Section 4542, within sixty (60) days from the date of issuance of a license as a professional fiduciary. A licensee may be subject to cite or fine or disciplinary action for failure to comply with this subdivision. 
(b) A licensee is required to file an annual statement that complies with the requirements of Section 4542 no later than sixty (60) days prior to the expiration of the license. A licensee may be subject to cite or fine or disciplinary action for failure to comply with this subdivision. 
(c) If an annual statement is filed electronically, the licensee shall fill out the form completely and print and mail in a signed copy within five business days of the electronic filing. The signed copy must be received by the Bureau within the timeframes established in subdivisions (a) and (b) for compliance. 
NOTE

Authority cited: Section 6517, Business and Professions Code. Reference: Sections 6534 and 6561, Business and Professions Code. 
HISTORY

1. New article 7 (sections 4540-4542) and section filed 11-26-2007 as an emergency; operative 11-26-2007 (Register 2007, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-27-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order, including amendment of section heading and section, transmitted to OAL 5-28-2008 and filed 6-16-2008 (Register 2008, No. 25).
§4542. Annual Statement.
Note     •     History

(a) As provided for in the Act, each annual statement shall include the following information: 
(1) Current addresses and telephone and facsimile numbers for licensee's place of business and place of residence. 
(2) The licensees designated address of record for public information. 
(3) A list of any other license or professional certificate held by licensee, including information regarding the type, state/county, license or certificate number, date issued, status, and whether the license or certificate has been subject to disciplinary action, including revocation or suspension. The licensee may attach a statement of explanation.
(4) The case name, type of case, date of appointment, court location, and case number for all matters where the licensee has ever been appointed by the court to serve as a fiduciary. 
(5) The names of the licensee's current conservatees and wards, and the respective case names, court locations, and case numbers; and the names and dates of beginning services for all trusts and estates currently administered by the licensee, and if applicable, the respective case names, court locations, and case numbers for the trusts and estates currently administered by the licensee. 
(6) The aggregate dollar value of all assets currently under the licensee's supervision as a professional fiduciary. 
(7) The case names, court locations, and case numbers of all conservatorships and guardianships that are closed, and the dates of closure, for which the licensee served as the conservator or guardian; and the names of all trusts or other estates that are closed for which the licensee served as the trustee or personal representative and the dates of closure, and if applicable, the case names and case numbers for the trusts or other estates that are closed for which the licensee served as the trustee or personal representative. 
(8) Whether the licensee or a family member of the licensee holds any ownership or beneficial interests in any businesses or other enterprises that have received payment from a client of the licensee, including the names of the applicable businesses or other enterprises, the names of the respective clients, and the dates of any payments received. 
(9) The names of any persons or entities that have an interest in the licensee's professional fiduciary business. 
(10) Whether the licensee has filed for bankruptcy or held a controlling financial interest in a business when that business filed for bankruptcy in the last ten (10) years and the date of the bankruptcy filing. The licensee may attach a statement of explanation. 
(11) Whether the licensee has been convicted of a crime. The licensee may attach a statement of explanation. 
(12) Whether the licensee has been found by a court to have breached a fiduciary duty, the date, case name, court location, and case number associated with each breach of fiduciary duty. The licensee shall submit a record of the court findings and orders related to each specific case. The licensee may file an additional statement of the issues and facts pertaining to each case. 
(13) Whether the licensee has been removed as a fiduciary by a court for breach of trust, the date, case name, court location, and case number associated with each removal. Whether all related appeals have been taken or the time to file an appeal has expired. The licensee shall submit a record of the court findings and orders related to each specific case. The licensee may file an additional statement of the issues and facts pertaining to each case. 
(14) Whether the licensee has resigned as a fiduciary in a matter in which a complaint has been filed with the court, the date the complaint was filed, the date of resignation, the case name, court location, and case number associated with each resignation, and a statement of the issues and facts pertaining to each allegation. The licensee shall submit a record of the court findings and orders related to each specific case. 
(15) Whether the licensee has settled as a fiduciary in a matter in which a complaint has been filed with the court, the date the complaint was filed, the date of the settlement, the case name, court location, and case number associated with each settlement, and a statement of the issues and facts pertaining to each allegation. The licensee shall submit a record of the court findings and orders related to each specific case. 
(b) Unless otherwise indicated, each annual statement filed with the Bureau shall report updated information reflecting any changes from the date of reporting the information on the application for licensure as a professional fiduciary or from the date of signing the last report as required by law, whichever is applicable, to the present. 
(c) As used in this section “complaint” means a civil complaint, a petition, motion, objection, or other pleading filed with the court against the licensee alleging the licensee has not properly performed the duties of a fiduciary.
NOTE

Authority cited: Section 6517, Business and Professions Code. Reference: Sections 141, 480, 481, 490, 6534, 6536, 6560 and 6561, Business and Professions Code. 
HISTORY

1. New section filed 11-26-2007 as an emergency; operative 11-26-2007 (Register 2007, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-27-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order, including amendment of subsections (a)(3)-(5), (a)(7), (a)(10)-(11) and (a)(14)-(b) and new subsection (c), transmitted to OAL 5-28-2008 and filed 6-16-2008 (Register 2008, No. 25).
§4560. Renewal.
Note     •     History

(a) A license may be renewed for a period of twelve (12) months.
(b) For license renewal, a licensee shall have met the annual reporting requirements of subdivision (b) of Section 4540, show proof of compliance with the continuing education requirements of Section 4442, and submit the renewal fee as required in Section 4580.
(c) For the first license renewal following the initial license period as provided in Section 4428, each licensee shall comply with the continued education requirements of Section 4442.
NOTE

Authority cited: Sections 152.6 and 6517, Business and Professions Code. Reference: Sections 152.6, 6538, 6541, 6561 and 6592, Business and Professions Code. 
HISTORY

1. New article 8 (sections 4560-4562) and section filed 6-16-2008; operative 6-16-2008 (Register 2008, No. 25).
§4562. Delinquency.
Note     •     History

(a) Except as otherwise provided by law, a license which has expired may be renewed upon the filing of an application for renewal and payment of the renewal fee.
(b) If a license is renewed more than thirty (30) days after its expiration, the licensee, as a condition prior to renewal, shall also pay the late delinquency fee required in Section 4580.
NOTE

Authority cited: Section 6592, Business and Professions Code. Reference: Sections 163.5, 6541 and 6592, Business and Professions Code.
HISTORY

1. New section filed 6-16-2008; operative 6-16-2008 (Register 2008, No. 25).
Article 9. Fees
§4580. Fees.
Note     •     History

The following fees are established: 
(a) The application fee for a professional fiduciary license shall be four hundred dollars ($400). 
(b) The initial license fee shall be six hundred dollars ($600) for the first twelve (12) months plus a prorated amount of the renewal fee required in subdivision (c) to adjust the duration of the initial license period to set the renewal date for each licensee as provided in Section 4428. 
(c) The renewal fee for a license shall be seven hundred dollars ($700). 
(d) The delinquency fee for a license shall be one hundred and fifty dollars ($150). 
(e) The fee for a duplicate or replacement license shall be twenty-five dollars ($25). 
NOTE

Authority cited: Sections 6517 and 6592, Business and Professions Code. Reference: Sections 122, 134, 152.6, 163.5, 6533, 6541 and 6592, Business and Professions Code. 
HISTORY

1. New article 9 (section 4580) and section filed 11-26-2007 as an emergency; operative 11-26-2007 (Register 2007, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-27-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order transmitted to OAL 5-21-2008 and filed 6-17-2008 (Register 2008, No. 25).